Title 3 Programs and Services

Title 1 Global Provisions Title 2 Rights and Responsibilities of Licensees Title 4 Admissions and Educational Standards Title 5 Discipline Title 6 Governance Title 7 JNE Rules and Miscellaneous Provisions

Title 3 rules conform to the rules structure adopted in 2007 with the exception of the Division 2 Chapter 2 Articles I – XI rules for particular areas of legal specialization.

Division 1. Prospective Licensees

Chapter 1. Practical Training of Law Students

Download PDF

Rule 3.1 Practical Training of Law Students Program

Practical Training of Law Students is a program that allows a supervised law student certified by the State Bar to negotiate and appear on behalf of a client in the limited circumstances permitted by Rule of Court 9.42 and these rules.1

Rule 3.1, adopted effective July 1, 2010.

Rule 3.2 Eligibility

(A) To be considered for the State Bar program for Practical Training of Law Students a law student must meet the eligibility requirements of Rule of Court 9.42(c).

(B) Other qualifications notwithstanding, a person is ineligible to apply for certification who 

  1. is licensed to practice law in any jurisdiction; or
  2. has not taken the first California Bar Examination for which he or she is eligible.

Rule 3.2, adopted effective July 1, 2010.

Rule 3.3 Application

(A) To apply to be a certified law student, an eligible applicant must 

  1. register as a general applicant for admission to the practice of law in California(2) and
  2. submit an Application for Practical Training of Law Students Program(3) with
    1. the fee(4) set forth in the Schedule of Charges and Deadlines;
    2. a current e-mail address not to be disclosed on the State Bar’s Web site or otherwise to the public without the applicant’s consent;
    3. a Declaration of Law School Official attesting that the law student meets the eligibility requirements of these rules and is qualified to be a certified law student, absent any subsequent notification to the contrary that the official agrees to provide; and
    4. a Declaration of Supervising Attorney attesting that for a specified period the attorney will supervise the applicant as required by these rules.

(B) Upon approval of the application, the State Bar issues a “Notice of Law Student Certification” (“notice”) stating that the applicant is a certified participant in the program for Practical Training of Law Students for the period stated in the notice(5). 

Rule 3.3, adopted effective July 1, 2010.

Rule 3.4 Permitted activities

(A) A certified law student may engage only in the activities permitted by Rule of Court 9.42(d) under the conditions prescribed by that rule.

(B) Nothing in this rule prohibits a certified law student from providing advice or representation that might be provided by anyone who is not a licensee of the State Bar of California.

Rule 3.4, adopted effective July 1, 2010; amended effective January 25, 2019.

Rule 3.5 Duties of certified law student

A certified law student must

(A) act as a certified law student only during the period stated in the Notice of Law Student Certification(6);

(B) at all times comply with Rule of Court 9.42 and these rules;

(C) maintain a current e-mail address with the State Bar;

(D) upon ceasing to be eligible for the program, promptly inform the State Bar and cease any activity that a certified law student is permitted to perform; and

(E) not claim in any way to be a licensee of the State Bar of California.

Rule 3.5, adopted effective July 1, 2010; amended effective January 25, 2019.

Rule 3.6 Supervising Attorney

(A) “Supervising Attorney” is an active licensee of the State Bar of California in good standing who agrees to supervise a certified law student as required by these rules.7 A licensee who is inactive, suspended, or subject to discipline, or who has resigned or been disbarred may not be a Supervising Attorney. In these rules, “Supervising Attorney” may also refer to a government agency attorney whom the Supervising Attorney delegates to supervise the permitted activities of a certified law student.

(B) A Supervising Attorney must 

  1. be an active licensee of the State Bar of California who has practiced law in California or taught law in a law school as a full-time occupation for at least the two years before supervising a certified law student;
  2. supervise the permitted activities of a certified law student as specified by Rule 9.42(d);
  3. personally assume professional responsibility for any activity a certified law student performs pursuant to these rules;
  4. provide training and counsel that prepares a certified law student to satisfactorily perform an activity permitted by these rules in a manner that best serves the interest of a client;
  5. read, approve, and sign any document prepared by the certified law student for a client;
  6. supervise at one time no more than five certified law students or twenty-five if employed full-time to supervise law students in a law school or government training program; and
  7. promptly notify the State Bar that he or she no longer meets the requirements of these rules or that his or her supervision is ending before the period stated in the Notice of Certification.

Rule 3.6, adopted effective July 1, 2010; amended effective January 25, 2019.

Rule 3.7 Designation as certified law student

  1. A certified law student may use the title “Certified Law Student” and no other in connection with activities performed as a certified law student.
  2. On written materials prepared pursuant to these rules, a certified law student must use the title Certified Law Student with his or her name and provide the name of his or her Supervising Attorney.

Rule 3.7, adopted effective July 1, 2010.

Rule 3.8 Duration of certification

(A) Subject to the exceptions set forth in this rule, a certified law student may perform an activity that complies with these rules for the period stated in the Notice of Law Student Certification and only while the supervising attorney identified in the application supervises the student. A request to change the supervising attorney requires a new application.

(B) A student who graduates from law school during the period stated in the Notice of Law Student Certification and then takes the first California Bar Examination for which he or she is eligible may participate in the program until the State Bar releases results for that examination.

(C) Certification terminates before the end of the period stated in the Notice of Law Student Certification if 

  1. the certified law student no longer meets the eligibility requirements of these rules;
  2. the certified law student requests that certification terminate on an earlier date;
  3. the certified law student fails to take the first California Bar Examination for which he or she is eligible; or
  4. the State Bar revokes certification(8).

Rule 3.8, adopted effective July 1, 2010.

Rule 3.9 Revocation of certification

The State Bar may revoke certification for noncompliance with any applicable rule or law(9). The State Bar must provide the certified law student a written notice of revocation. The revocation is effective ten days from the date of its transmission.

Rule 3.9, adopted effective July 1, 2010.

Rule 3.10 Request for review of revocation

A certified law student whose certification has been revoked may request review of the revocation. The request must be in writing and received by the State Bar no more than fifteen days from the date of transmission of the notice. Within sixty days of receiving the request, the State Bar must provide the certified law student with a written determination affirming or denying the revocation. The determination constitutes the final action of the State Bar.

Rule 3.10, adopted effective July 1, 2010.

  1. Rule of Court 9.42(a).

  2. Rule 4.3(G) defines “general applicant.” Rule 4.16(B) explains the Application for Admission.
  3. See Rule 4.16(B).
  4. Rule of Court 9.42(f).
  5. See Rule 3.8.
  6. See Rule 3.8.
  7. Rule of Court 9.42(a)(2).
  8. See Rule 3.9.
  9. Rule of Court 9.42(e).

Division 2. Attorney Licensees

Chapter 1. Sections

REPEALED

Senate Bill 36, effective January 1, 2018, amended Section 6031.5 of the Business and Professions Code to transfer the functions and activities of the previously existing State Bar Sections to the new private, nonprofit corporation, defined as the Association.

Consequently, the Board of Trustees approved the technical changes to the Rules of the State Bar that included the repeal of Title 3, Division 2, Chapter 1 Sections, (i.e., Rules 3.50-3.57, effective January 25, 2019.) (SEE Board of Trustees Agenda Item #703 JANUARY 2019.)

Chapter 2. Legal Specialization and Articles I - X1

Download PDF

Article 1. General provisions

Rule 3.90 California Board of Legal Specialization

(A) The California Board of Legal Specialization (“board”) is appointed by the Board of Trustees of the State Bar of California to establish a program to encourage attorney competence by certifying as legal specialists attorneys who have demonstrated proficiency in specified areas of law(1). This chapter sets forth the rules for those certified specialists.

(B) The seven member board consists of the following members, including a chair and vice-chair, each entitled to vote: 

  1. at least five attorney members; and

  2. up to two non-attorneys.

(C) The board may recommend that the Board of Trustees approve additional areas of legal specialization and their related certification standards.

(D) The board may recommend that the Board of Trustees authorize other entities to grant certification. The rules applicable to such entities are set forth elsewhere in this title(2).

Rule 3.90 adopted effective January 1, 2014; amended effective May 17, 2019.

Rule 3.91 Certification standards

The Board of Trustees adopts certification standards for each specialty to supplement these rules.

Rule 3.91 adopted effective January 1, 2014.

Rule 3.95 Conflicts of interest

(A) To avoid a conflict of interest that may interfere or appear to interfere with impartial evaluation of an applicant, a board or working group member considering an application must immediately disclose to the chair of the board or working group any significant past or present relationship with the applicant, whether familial, professional, political, social, or financial.

(B) A board or working group member who believes that the length or nature of a relationship would unduly influence or appear to influence evaluation of an applicant may in no way participate in or attempt to influence the evaluation. Representing opposing parties in a legal matter does not necessarily require recusal.

(C) If a board or working group member believes recusal is not required and the chair disagrees, the determination of the chair prevails. Factors the chair is to consider in making the determination include the date of the relationship, its duration, and whether it is more than casual or incidental.

(D) A board or working group member may in no way participate in or attempt to influence board or commission consideration of his or her own application for certification.

Rule 3.95 adopted effective January 1, 2014; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.96 Confidentiality

(A) A certified specialist’s certification is public information.

(B) Examination development, examination administration, examinations, grading materials, scores, references, and other records are confidential, unless otherwise provided by these rules or by law.

(C) This rule does not preclude disclosure of information about an applicant or certified specialist by and between the board and the State Bar’s Office of Chief Trial Counsel or the Office of General Counsel in furtherance of the State Bar’s regulatory and disciplinary responsibilities.

(D) A board member may be removed by the Board of Trustees for a breach of confidentiality.

Rule 3.95 adopted effective January 1, 2014; amended effective July 24, 2015; amended effective May 17, 2019.

Article 2. Certified specialists

Rule 3.110 Certification requirements in general

(A) In these rules “applicant” means an initial applicant for certification or an application for recertification, unless otherwise specified. An applicant must establish proficiency in the specialty area by meeting the following requirements: 

  1. be an active licensee in good standing of the State Bar and not currently in disciplinary proceedings or on disciplinary or criminal probation;

  2. submit an application with an application fee; and

  3. meet the requirements of these rules and any relevant standards regarding

    1. education;

    2. practice and tasks;

    3. examination; and

    4. references familiar with the applicant’s proficiency in performing tasks relied upon for certification in the specialty area.

(B) An applicant must submit the application within eighteen months of the date on which the applicant took the examination. An applicant may request an extension of up to eighteen months for completion of all requirements. Requests are granted for good cause shown.

Rule 3.110 adopted effective January 1, 2014; amended effective July 24, 2015; amended effective January 25, 2019; amended effective May 17, 2019.

Rule 3.111 Fees and deadlines

(A) These rules refer to fees and deadlines that are set forth in the Schedule of Charges and Deadlines(3). 

(B) A certified specialist who fails to make timely payment of a required fee will be notified of the delinquency and may be assessed a late charge. Failure to pay the annual fee or late charge within thirty days of notice of delinquency may result in suspension of certification.

Rule 3.111 adopted as Rule 3.112 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015.

Rule 3.112 Application for Certification

(A) An Application for Certification must be submitted with an application fee.

(B) An application is deemed abandoned and ineligible for a refund of the application fee if 

  1. the application is not complete within sixty days of receipt by the State Bar, unless an extension has been granted;

  2. the application is complete but the applicant fails to provide additional information requested by the State Bar within ninety days of the request; or

  3. an applicant fails to complete any other certification application requirement.

(C) Certification requirements completed for an abandoned application may be used for a subsequent application.

(D) An applicant may apply for certification in more than one specialty.

Rule 3.112 adopted as Rule 3.113 effective January 1, 2014; renumbered effective July 24, 2015.

Rule 3.113 Reporting requirement

Every applicant and every certified specialist has an ongoing duty to comply with these rules and any relevant standards and to promptly disclose any information that might affect eligibility for certification(4) or that the State Bar Act requires the licensee to report to the State Bar(5). 

Rule 3.113 adopted as Rule 3.114 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective January 25, 2019; amended effective May 17, 2019.

Rule 3.114 Education

(A) State Bar-approved legal specialist education or State Bar-approved legal specialist education alternative must be completed in the specialty area of law as follows: 

  1. by applicants for initial certification: at least forty-five hours in the three years immediately preceding the application; and

  2. by certified specialists: at least thirty-six hours during the specialist’s Minimum Continuing Legal Education (MCLE) compliance period. The specialist must report specialty education compliance to the State Bar when reporting MCLE compliance(6).

(B) A provider intending to offer specialty education must be approved by the State Bar as a Multiple Activity Provider in a specialty area of law(7) or must file an application to the State Bar for approval of a single education activity designed to attain or maintain proficiency in a specialty area of law.

(C) The State Bar may grant specialty education credit for education that meets certification requirements,8 8 Rule 2.84. inclusive of activities approved for MCLE credit9 9 See Rules 2.51; 2.80; 2.81; 2.82 and 2.83. as well as credit for MCLE requirements for legal ethics, elimination of bias, and competence issues.10 10 Rule 2.72.

(D) The State Bar may grant specialty education credit to a certified specialist who mentors an applicant or a prospective applicant for certification as well as to the mentored applicant or prospective applicant, provided the specialty education is documented to the satisfaction of the board and otherwise meets the requirements of these rules.11 11 Rule 2.86.

(E) A certified specialist who fails to report specialty education compliance as set forth in section (A)(2) of this rule will be notified of the delinquency and may be assessed a noncompliance fee as set forth in the Schedule of Charges and Deadlines. Failure to report or pay the noncompliance fee by the final deadline for MCLE reporting may result in suspension of certification.
 

Rule 3.114 adopted as 3.115 effective January 1, 2014; renumbered effective July 24, 2015; amended effective May 17, 2019; amended effective November 21, 2025.

Rule 3.115 Practice and task requirements

In the five years immediately preceding the Application for Certification, an applicant must complete the tasks prescribed by the relevant standards with proficiency; demonstrate current substantial involvement in the practice; and spend at least twenty-five percent of the time given to occupational endeavors practicing law in the specialty in which certification is sought. The State Bar’s acceptance or rejection of the computation is final.

Rule 3.115 adopted as Rule 3.116 effective January 1, 2014; renumbered effective July 24, 2015; amended effective May 17, 2019.

Rule 3.116 Examination

(A) An applicant must pay an examination registration fee and take and pass a written examination that tests knowledge of the substantive law and procedures of a legal specialty. The State Bar determines the scope, format, topics, grading process, and passing score of the examination.

(B) Results reported to applicants are final. Applicants are not entitled to receive their examination answers or to see their scores.

(C) Upon approval of a new area of legal specialization by the Board of Trustees, the State Bar may approve for a period of no more than two years satisfactory completion of one or more alternative tasks in lieu of a written examination.

Rule 3.116 adopted as Rule 3.117 effective January 1, 2014; renumbered effective July 24, 2015; amended effective May 17, 2019.

Rule 3.117 References

An applicant must provide references from attorneys or judges whom the applicant has identified as familiar with the applicant’s proficiency in performing the tasks required for certification. At least three positive references must be provided unless the relevant standards require more. The State Bar may seek additional references.

Rule 3.117 adopted as Rule 3.118 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.118 Waivers and modifications

(A) A certified specialist who serves full-time in a state or federal court of record as a judge, magistrate, commissioner, or referee or as an administrative law judge is exempt during the period of service from the annual fee required of a certified specialist and from recertification requirements. The specialist is not eligible for the fee waiver until the service officially begins; any fee paid prior to that time is not refundable.

(B) The State Bar may waive or permit modification of a certification requirement.

Rule 3.118 adopted as Rule 3.119 effective January 1, 2014; renumbered effective July 24, 2015; amended effective May 17, 2019.

Rule 3.119 Recertification

(A) To maintain certification in a specialty area, a certified specialist must recertify every five years, which includes submitting a completed application(12), paying fees(13), and meeting education, practice and task, and reference requirements as specified by the State Bar.

(B) If permitted by the relevant standards, education or practice and task requirements completed in the last six months of certification that exceed recertification requirements may be applied to the next certification period.

(C) An applicant who fails to pay fees will be notified of the delinquency and may be assessed a late charge. Failure to pay fees or any assessed late charge within 30 days of the notice of delinquency may result in suspension of certification.

(D) Action on an application for recertification is governed by the process applicable to action on an initial application(14). 

(E) Certified specialists who choose not to recertify will be terminated from the legal specialization program.

Rule 3.119 adopted as Rule 3.124 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.120 Denial of certification or recertification

An applicant may be denied certification or recertification for

(A) failure to timely file a completed application, pass the examination for certification, meet the practice and task requirements, obtain at least three positive references, or pay all certification or recertification fees;

(B) pending disciplinary charges in the State Bar Court, transfer to inactive status, suspension, resignation, or disbarment in California;

(C) pending disciplinary charges, other disciplinary actions, suspension, resignation, or disbarment in another jurisdiction or before another regulatory body that has licensing or professional disciplinary authority over the applicant;

(D) prior discipline;

(E) lack of candor, including any material omissions or material false representations or misstatements made in an Application for Certification or Application for Recertification, or to a working group member, the board, or the State Bar;

(F) failure to report information the applicant must report to the State Bar(15) and to the board(16); or

(G) information bearing negatively on proficiency that is obtained from references.

Rule 3.120 adopted as Rule 3.111 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.121 State Bar action on application

(A) Within 180 days of receipt of an application, the State Bar must grant or deny certification or advise the applicant that 

  1. it requires additional time or information to consider the application; or

  2. because of substantial and credible concerns regarding the applicant’s qualifications, it is allowing the applicant to withdraw the application or to request n informal conference to address the concerns(17).

(B) The State Bar must grant or deny certification no later than 180 days after 

  1. an informal conference with an applicant;

  2. the date of a scheduled conference at which the applicant failed to appear; or,

  3. if an applicant did not request a conference, the date of the notice regarding the State Bar’s concerns.

Rule 3.121 adopted as Rule 3.120 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.122 Informal conference

(A) An applicant notified of the State Bar’s concerns regarding his or her application may request an informal conference within thirty days of the date of the notice. The conference must be held within one year of the State Bar’s receipt of the request. The applicant’s failure to attend the conference entails no negative inference.

(B) An informal conference may be recorded as the State Bar deems appropriate. The applicant may attend with counsel; make a written or oral statement; and present documentary evidence. Counsel is limited to observation and may not participate. The State Bar may require the applicant to provide further documentation or information after the conference.

Rule 3.122 adopted as Rule 3.121 effective January 1, 2014; renumbered effective July 24, 2015; effective May 17, 2019.

Rule 3.123 Request for review of State Bar denial application and Board action on request for review of the State Bar’s denial of application

(A) An applicant notified that the State Bar had denied the applicant’s application for certification may request the board to review the decision. Within 120 days of receiving a request for review of the Stat Bar’s denial of application for certification, the board must make a determination to 

  1. grant certification;

  2. direct the State Bar to further consider the application and report back within 100 days; or

  3. deny certification.

(B) If the board intends to deny certification, it must notify the applicant of its reasons for doing so and allow the applicant thirty days to withdraw the application, provide further support for it, or request a hearing before the board.

(C) Within ninety days of receiving a timely request for hearing, the board will schedule a hearing. Following the hearing, the board may then continue to deny certification. The applicant must be provided with written notice of the reasons for the board’s denial.

(D) Within thirty days of deciding to grant certification, the board must notify the applicant that certification begins on a specified date for a five-year period. Certification may be terminated sooner as provided by these rules or upon the request of a certified specialist. Certification remains in effect pending final action on a timely application for recertification, except where certification is suspended or revoked pursuant to Rule 3.124.

(E) The board may postpone action on an application 

  1. when a disciplinary recommendation has been made by the State Bar Court or another body that has licensing or professional disciplinary authority over the applicant; or

  2. if the applicant is on probation as a result of a disciplinary recommendation; or

  3. upon an applicant’s suspension, resignation, disbarment or another status change not entitling an applicant to practice law in any jurisdiction where admitted to practice law.

Rule 3.123 adopted as Rule 3.122 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.124 Suspension or revocation of certification

(A) Certification may be suspended by the State Bar when a disciplinary recommendation has been made by the State Bar Court, or upon transfer to inactive status, suspension, resignation, or disbarment in California; or pending disciplinary charges, other disciplinary actions, suspension, resignation, or disbarment in another jurisdiction or before another regulatory body that has licensing or professional disciplinary authority over the certified specialist. Certification may otherwise be revoked or suspended by the State Bar for failure to comply with a material requirement of these rules or any relevant standard(18). 

(B) If the State Bar intends to suspend or revoke certification, it must notify the certified specialist of its reasons for doing so and allow the applicant thirty days either to respond in writing to the State Bar that suspension or revocation would be inappropriate or to request a hearing before the board. The response or request for hearing must be supported by any additional relevant evidence. Suspension or revocation of certification is final if the specialist fails to provide a timely written response or a request for hearing.

(C) The board must consider a timely response to a notice of intent to suspend or revoke certification of a certified specialist within ninety days of receiving the response. The board may then continue certification with or without conditions, or suspend or revoke certification. The certified specialist must be provided with written notice of the reasons for the board's action. A decision to continue certification with or without conditions is final.

(D) Within ninety days of receiving a timely request for hearing, the board will schedule a hearing. Following the hearing, the board may then continue certification with or without conditions, suspend or revoke certification. The certified specialist must be provided with written notice of the reasons for the board’s action.

Rule 3.124 adopted as Rule 3.125 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015; amended effective May 17, 2019.

Rule 3.125 Appeal of certification denial, suspension, or revocation

An applicant who is denied certification or recertification pursuant to Rule 3.120 (C)-(G) or a certified specialist whose certification is suspended or revoked pursuant to Rule 3.124(B) or (C) may file a petition for hearing in the State Bar Court in accordance with the rules of that court with the fee set forth in the Schedule of Charges and Deadlines no later than thirty days after the notice of denial, suspension or revocation is served on the applicant or certified specialist. A copy of the petition must be served on the board and the Office of Chief Trial Counsel at the San Francisco office of the State Bar.

Rule 3.125 adopted as Rule 3.126 effective January 1, 2014; renumbered effective July 24, 2015; amended effective July 24, 2015.

Rule 3.126 Designation as certified specialist

Certification may be indicated by “Certified by The State Bar of California,” the logo of the certified specialization program, or both. Certification is individual and may not be attributed to a firm. Anyone whose certification has been revoked or suspended may not claim to be certified specialist.

Rule 3.126 adopted as Rule 3.123 effective January 1, 2014; renumbered effective July 24, 2015; amended effective May 17, 2019.

  1. See Rule of Court 9.35.

  2. Rule 3.900 et seq.

  3. See Rule 1.20(L).

  4. Rule 3.110.

  5. Business and Professions Code § 6068(o).

  6. Rules 2.70 and 2.71.

  7. See Rule 2.52 and Rule 3.600 et seq.

  8. Rule 2.84. 

  9. See Rules 2.51; 2.80; 2.81; 2.82 and 2.83. 

  10. Rule 2.72.

  11. Rule 2.86.

  12. Following the process outlined in Rule 3.112. 

  13. See Rule 3.111

  14. Rules 3.122-3.124 and 3.126.

  15. For example, see Business and Professions Code §§ 6068(o)(1)-(7) and 6086.8(c).

  16. Rule 3.113. 

  17. See Rule 3.122.

  18. Rule of Court 9.35(d).

Article I. Appellate Law

Download PDF

Article II. Bankruptcy Law

Download PDF

Article III. Criminal Law

Download PDF

Article IV. Estate Law

Download PDF

Article V. Family Law

Download PDF

Article VI. Franchise Law

Download PDF

Article VII. Immigration Law

Download PDF

Article VIII. Taxation Law

Download PDF

Article IX. Workers' Compensation Law

Download PDF

Article X. Admiralty and Maritime Law

Download PDF

Article XI. Legal Malpractice Law

Download PDF

Chapter 3. Law Corporations

(Formerly Chapter 2; renumbered effective November 4, 2011.)

Download PDF

Rule 3.150 Scope

(A) Subject to Supreme Court approval, the State Bar is authorized by law to establish and enforce rules for corporations that practice law in California.1 To practice law in California, a corporation must be certified by the California Secretary of State and registered by the State Bar. These rules refer to such a corporation as a law corporation.

(B) These rules do not reiterate or supersede the State Bar Act,2 statutory requirements for law corporations,3 or any other legal requirement.4

(C) For law corporations, the governmental agency referred to in the Professional Corporation Act is the State Bar.5

Rule 3.150 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.151 Eligibility

A corporation, including a nonprofit public benefit corporation that applies to register as a law corporation must meet statutory requirements.6

Rule 3.151 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.152 Application to register as a law corporation

(A) To apply to register as a law corporation an applicant must 

  1. submit an Application to Register as a Law Corporation7 with the fee set forth in the Schedule of Charges and Deadlines; and

  2. provide the proof of security for claims required by Rule 3.158.8

(B) The name under which the law corporation intends to practice law must include a designation of corporate existence such as “Professional Corporation,” “Prof. Corp.,” "Corporation,” “Corp,” “Incorporated,” or “Inc.”9

(C) The effective date of registration as a law corporation is the date an applicant files a complete application.10 The State Bar has discretion to grant a later effective date requested by the applicant.

Rule 3.152 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.153 Amendment or abandonment of incomplete application

If the State Bar notifies an applicant that an Application to Register as a Law Corporation is incomplete or otherwise fails to meet application requirements, it must provide the applicant at least sixty days to amend the application. If the applicant fails to meet application requirements within this time, the application is deemed withdrawn.

Rule 3.153 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.154 Duties of a law corporation

(A) A law corporation must have a currently effective certificate of registration issued by the State Bar; submit an Annual Renewal with any required fee,11 unless exempt by these rules;12 report to the State Bar within thirty days a change of address or e-mail address; and otherwise comply with these rules and applicable law.

(B) A law corporation may practice law only under the name registered with the Secretary of State and approved by the State Bar. Use of the name must comply with requirements of the Rules of Professional Conduct.13

(C) A law corporation must observe all rules and law that apply to a licensee of the State Bar and must not do or fail to do anything that would constitute a cause for discipline of a licensee.14

(D) A law corporation employing an attorney who has resigned, been disbarred, been suspended from the practice of law, or resigned with charges pending

  1. may not permit the attorney to practice law or represent that he or she is available to practice law and must supervise the performance of any duties assigned to such an attorney;15 and 

  2. must remove the name of any attorney who is disbarred or resigned with charges pending from its business name, signs, advertisements, letterhead, and other materials within sixty days of the disbarment or resignation.16

Rule 3.154 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011; amended effective January 25, 2019.

Rule 3.155 Special reports

(A) A law corporation must submit within forty-five days as a Special Report any change in directors, officers, share ownership, articles of incorporation, or bylaws.17

(B) This rule does not apply to a qualified legal services project or qualified support center18 incorporated as a nonprofit public benefit corporation.19

Rule 3.155 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.156 Annual renewal20

(A) A law corporation must annually renew its authorization to practice law by submitting an Annual Renewal with the fee set forth in the Schedule of Charges and Deadlines. The form must report any changes to the information last provided to the State Bar in an Annual Renewal, a special report, or a Law Corporation Guarantee. If the information required for the guarantee has changed, the renewal must also include a current guarantee executed by all shareholders. The deadline for submission of the Annual Renewal and the amount of the fee are set forth in the Schedule of Charges and Deadlines.

(B) A law corporation that fails to submit a complete Annual Renewal and fee is suspended and is not entitled to practice law. It may be reinstated upon submission within one year of the renewal, fee, and any penalty. If the suspension lasts more than one year, the registration of the law corporation is involuntarily terminated.

(C) This rule does not apply to a qualified legal services project21 or qualified support center22 incorporated as a nonprofit public benefit corporation.23

Rule 3.156 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.157 Shares

(A) A shareholder of a law corporation must be licensed and entitled to practice law.24

(B) The shares of a law corporation must be owned only by that corporation or a shareholder.25

(C) The shares of a deceased shareholder must be sold or transferred to the law corporation or its shareholders within six months and one day following the date of death.26

(D) The share certificates of the law corporation must set forth the preceding restrictions of this rule regarding ownership, sale, or transfer of shares. These restrictions must also be set forth in the articles of incorporation or bylaws.

(E) The shares of a shareholder who is ineligible to practice law or legally disqualified27 to render professional services to the law corporation must be sold or transferred to a qualified shareholder within ninety days after the date of ineligibility or disqualification. The terms of such a sale or transfer of shares must be set forth in the articles, the bylaws, or a written agreement.

(F) The shares of a shareholder disqualified for any reason may be resold to that shareholder upon his or her becoming eligible to practice law.

(G) This rule does not apply to nonprofit public benefit corporations.

Rule 3.157 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.158 Security

(A) Each law corporation must provide the State Bar with proof of security for claims for errors and omissions of the corporation or any person who practices law on behalf of the corporation, on its behalf as an employee or otherwise. The law corporation must provide proof of security with its Application to Register as a Law Corporation and provide new proof of security when that last provided is no longer current. Proof of security must be provided as indicated below. 

  1. All law corporations, except as otherwise provided in this rule, must provide a Law Corporation Guarantee providing that the shareholders jointly and severally agree to pay all claims established against the law corporation for errors and omissions arising out of the rendering of professional services. The guarantee must name each shareholder and be executed by each.28

  2. A nonprofit public benefit corporation29 must provide a certificate of annual insurance.

  3. Law corporations incorporated and registered with the State Bar before October 27, 1971, and that have elected to provide security by insurance, must provide a certificate of insurance.

(B) For purposes of determining the amount required as proof of security, a person who practices law on behalf of a law corporation includes 

  1. any employee, other person, or partnership in which the law corporation is a partner and that the law corporation holds out as being of counsel or otherwise available to practice law on behalf of the law corporation; and

  2. any association that has a continuous relationship with the law corporation for the practice of law, or that the association, with the consent of the law corporation, holds out as being of counsel or otherwise available to practice law on behalf of the association.

(C) The Schedule of Charges and Deadlines sets forth the minimum amount of security that a law corporation must provide annually for a single claim and for all claims, whether against the corporation or a person practicing law on behalf of the corporation.

Rule 3.158 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011. Amended March 2, 2012; amendment approved by the Supreme Court effective December 1, 2014.

Rule 3.159 Voluntary termination of registration

A law corporation may by resolution request that the State Bar terminate its registration. The date of termination will be the date of the resolution, a later date requested by the law corporation, or an earlier date at the discretion of the State Bar. 

Rule 3.159 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011. Amended March 2, 2012; amendment approved by the Supreme Court effective December 1, 2014.

Rule 3.160 Involuntary termination of registration

(A) A law corporation that fails to submit a complete Annual Renewal and fee is suspended and is not entitled to practice law.30

(B) The State Bar may terminate the certification of a law corporation for failure to comply with these rules or applicable law.31 Termination is effective sixty days after it has issued a notice to the law corporation stating the grounds for the termination. The law corporation may request Supreme Court review of the termination.32

Rule 3.160 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

Rule 3.161 Public information

State Bar records regarding the certification of a law corporation are public information, except for correspondence, internal memoranda, complaints, and any other document for which disclosure is prohibited by law.

Rule 3.161 adopted September 22, 2010; approved by the Supreme Court effective April 15, 2011.

  1. Business & Professions Code § 6171.

  2. See especially Business & Professions Code, Article 10, §§ 6160-6172. See also State Bar Rule 1.4. 

  3. See especially Title 1, Part 4, Division 3 of the Corporations Code, commencing with section 13400 (Moscone-Knox Professional Corporation Act). 

  4. See especially Frye v. Tenderloin Housing Clinic, Inc. (2006) 38 Cal.4th 23, 40 Cal.Rptr.3d 221 regarding nonprofit public benefit corporations.

  5. Business & Professions Code § 6160.

  6. Business & Professions Code § 6161 and Corporations Code § 13406.

  7. Business & Professions Code § 6161.

  8. Business & Professions Code § 6171(b).

  9. Business & Professions Code § 6171(c).

  10. Rule 1.24.

  11. Rule 3.156. 

  12. Rule 3.156(C).

  13. Business & Professions Code § 6171(c).

  14. Business & Professions Code § 6167.

  15. Business & Professions Code § 6133. See Rule 1-311, Rules of Professional Conduct of the State Bar of California.

  16. Business & Professions Code § 6132.

  17. Business & Professions Code § 6162.

  18. Business & Professions Code §§ 6213(a) and 6213(b). 

  19. Corporations Code § 13406(c).

  20. Business & Professions Code §§ 6161.1, 6163.

  21. Business & Professions Code § 6213(a). 

  22. Business & Professions Code § 6213(b). 

  23. Corporations Code § 13406(c).

  24. Business & Professions Code § 6165.

  25. Corporations Code § 13406(a).

  26. Business & Professions Code §§ 6171(a) & 6171.1.

  27. Business & Professions Code §§ 6166, 6171(a), and Corporations Code § 13401(e).

  28. Business & Professions Code § 6171(b).

  29. Corporations Code § 13406(b).

  30. Rule 3.156(B).

  31. Business & Professions Code § 6169. 

  32. Rule of Court 9.13(d). And see Business & Professions Code § 6170.

Chapter 4. Limited Liability Partnerships

(Formerly Chapter 3; renumbered effective November 4, 2011.)

Download PDF

Rule 3.170 Scope

Under California law, a limited liability partnership that provides professional legal services is not entitled to limitation of liability for acts, errors, or omissions arising out of the rendering of such services unless the partnership has a currently effective certificate of registration issued by the State Bar(1). These rules apply to California limited liability partnerships issued a certificate of registration by the State Bar in accordance with these rules(2). These rules refer to such certified partnerships as “limited liability partnerships.”

Rule 3.170 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011. Amended March 2, 2012; amendment approved by the Supreme Court effective December 1, 2014.

Rule 3.171 Eligibility

(A) A limited liability partnership certified by the California Secretary of State pursuant to Corporations Code Sections 16953 or 16959 may apply for State Bar certification as a limited liability partnership, provided each partner is an active licensee of the State Bar(3), licensed and entitled to practice law in another jurisdiction, or a law corporation that is licensed or entitled to practice law.

(B) A partner or an employee of a limited liability partnership who practices law in California must be an active licensee of the State Bar or otherwise authorized to practice law in California.

(C) The name proposed for the limited liability partnership must include "Registered Limited Liability Partnership,” “Limited Liability Partnership,” “L.L.P.,” “LLP,” “R.L.L.P.,” or “RLLP.”

Rule 3.171 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011; amended effective January 25, 2019.

Rule 3.172 Application for certification as a limited liability partnership

(A) To apply to be certified as a limited liability partnership an applicant must 

  1. submit an Application for Certification as a Limited Liability Partnership with the application fee set forth in the Schedule of Charges and Deadlines;

  2. submit on a separate State Bar form a statement that the limited liability partnership has complied with any security requirement prescribed by statute(4) and these rules; and

  3. verify compliance with the eligibility requirements of these rules; a partner licensed in a foreign country but not in California or any other United States jurisdiction must provide by a certificate issued by the authority having final jurisdiction over the practice of law verifying admission to the practice law, the date of admission, and current good standing, along with an English translation if the certificate is not in English.

(B) The effective date of certification as a limited liability partnership is the date the State Bar receives a complete application(5). The State Bar has discretion to grant a later effective date requested by the applicant.

Rule 3.172 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011. Amended March 2, 2012; amendment approved by the Supreme Court effective December 1, 2014.

Rule 3.173 Amendment or abandonment of incomplete application

If the State Bar notifies an applicant that an Application for Certification as a Limited Liability Partnership is incomplete or otherwise fails to comply with application requirements, it must provide the applicant at least sixty days to amend the application. If the applicant fails to meet application requirements within this time, the application is deemed withdrawn.

Rule 3.173 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.174 Duties of a limited liability partnership

(A) To maintain certification as a limited liability partnership in California, a limited liability partnership must have a currently effective certificate of registration issued by the State Bar, submit an Annual Renewal with any required fee(6), and otherwise comply with these rules and applicable law.

(B) The limited liability partnership may practice law only under the name certified by the Secretary of State and approved by the State Bar(7). Use of the name must comply with the requirements of the Rules of Professional Conduct(8).

(C) A limited liability partnership employing an attorney who has resigned, been disbarred, been suspended from the practice of law, or resigned with charges pending 

  1. may not permit the attorney to practice law or represent that he or she is available to practice law and must supervise the performance of any duties assigned to such an attorney(9); and

  2. must remove the name of any attorney who is disbarred or resigned with charges pending from its business name, signs, advertisements, letterhead, and other materials within sixty days of the disbarment or resignation(10).

Rule 3.174 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.175 Special reports

A limited liability partnership must report within forty-five days any change in name used for the practice of law, partner authorized to act on its behalf, address, or e-mail address.

Rule 3.175 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.176 Annual renewal

(A) A limited liability partnership must annually renew its certification as a limited liability partnership by submitting an Annual Renewal with the fee set forth in the Schedule of Charges and Deadlines. The Annual Renewal must report any changes to the information last provided in an Annual Renewal or Special Report. The deadline for submission of the Annual Renewal and the amount of the fee are set forth in the Schedule of Charges and Deadlines.

(B) A limited liability partnership that fails to submit a complete Annual Renewal and fee is suspended and loses its status as a limited liability partnership. It may be reinstated upon submission within one year of the renewal, fee, and any penalty. If the suspension lasts more than one year, the certification of the limited liability partnership is involuntarily terminated.

Rule 3.176 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.177 Security

(A) A limited liability partnership must maintain security for claims against it for acts, errors, and omissions arising out of the practice of law as required by Corporations Code Section 16956(a)(2).

(B) The security for claims required by Corporations Code Section 16956(a)(2) includes 

  1. any person, law corporation, or other entity that practices law on behalf of the limited liability partnership or that the limited liability partnership holds out as being of counsel or otherwise available to practice law on its behalf; and

  2. any association that has a continuous relationship with the limited liability partnership for the practice of law or that holds out the limited liability partnership, with the consent of the limited liability partnership, as being of counsel or otherwise available to practice law on behalf of the association.

Rule 3.177 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.178 Voluntary termination of certification

To terminate State Bar certification, a limited liability partnership must provide the State Bar with a document certified by the Secretary of State showing that the limited liability partnership is no longer a limited liability partnership. The termination is effective as of the date that the Secretary of State dissolved the limited liability partnership.

Rule 3.178 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

Rule 3.179 Involuntary termination of certification

(A) The State Bar must terminate certification of a limited liability partnership if there is only one partner in the limited liability partnership or it is notified that the limited liability partnership has been suspended by the California Secretary of State. Termination is effective immediately.

(B) A limited liability partnership that is suspended for more than one year for failure to submit a complete Annual Renewal and fee is terminated(11). Termination is effective the day after the one year anniversary of the suspension.

(C) The State Bar may terminate the certification of a limited liability partnership for failure to comply with these rules or applicable law. Except as this rule provides otherwise, termination is effective sixty days after the State issues a notice to the limited liability partnership stating the grounds for the termination. The partnership may request Supreme Court review of any termination(12).

Rule 3.179 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011. Amended March 2, 2012; amendment approved by the Supreme Court effective December 1, 2014.

Rule 3.180 Public information

State Bar records regarding the certification of a limited liability partnership are public information, except for correspondence, internal memoranda, complaints, and any other document for which disclosure is prohibited by law.

Rule 3.180 adopted March 6, 2010; approved by the Supreme Court effective November 1, 2011.

  1. Corporations Code § 16306(f). 

  2. Business and Professions Code §§ 6174-6174.5.

  3. Business and Professions Code § 6125.

  4. Business and Professions Code § 6174.5.

  5. Rule 1.24.

  6. Rule 3.176.

  7. Corporations Code § 16952. 

  8. See especially Rules of Professional Conduct, Rule 7.5.

  9. Business & Professions Code § 6133. See Rule 5.3.1, Rules of Professional Conduct of the State Bar of California.

  10. Business & Professions Code § 6132.

  11. Rule 3.176(B).

  12. Rule of Court 9.13(d).

Chapter 5. Lawyer Assistance Program

(Formerly Chapter 6; renumbered effective November 4, 2011.) 

Download PDF

Rule 3.240 Lawyer Assistance Program 

The board has created the Lawyer Assistance Program (“LAP”) to satisfy, in part, the requirements of Business and Professions Code Sections 6230 et seq. 

Rule 3.240 adopted effective January 9, 2010; amended effective January 1, 2012; amended effective January 25, 2019; amended effective January 1, 2025. 

Rule 3.241 Definitions

For purposes of this chapter, the following terms are defined as follows:

(A) “Candidate for Admission” means an applicant who has applied for admission to the State Bar or a law student enrolled in law school who intends to seek admission to the State Bar.

(B) “Clinical Review Team” includes all clinicians and clinical staff responsible for making LAP admissions determinations, LAP completion determinations, and other recommendations related to LAP participation.

(C) “Committee” means the Lawyer Assistance Program Oversight Committee established pursuant to Business and Professions Code Section 6231.

(D )“Eligible Participant” is an active, inactive, or former licensee of the State Bar or aCandidate for Admission to the State Bar.

(E) “LAP” means the Lawyer Assistance Program, a component of the Attorney Diversion and Assistance Program established under Business and Professions Code Sections 6230 et seq.

(F) “Monitored LAP” means the LAP program described in Rule 3.244.

(G) “Participation Agreement” means an agreement to participate in professional monitoring as demonstrated by signing a LAP monitoring plan and associated enrollment documents.

(H) “Support Services LAP” means the LAP program described in Rule 3.245.

Rule 3.241 adopted effective January 9, 2010; amended effective January 1, 2025.

Rule 3.242 Lawyer Assistance Program Oversight Committee

(A) The Committee is authorized to establish and implement criteria for LAP participation and completion, and to otherwise oversee LAP operation.

(B) The board annually appoints a Committee chair and vice chair. To be eligible for appointment, a Committee member must have served on the Committee for at least one year and have at least one year remaining in their term. A member seeking appointment or reappointment must provide a written statement of qualifications in accordance with instructions of the current chair.

Rule 3.242 adopted effective January 9, 2010; amended effective November 16, 2018; amended effective January 1, 2025.

Rule 3.243 Confidentiality 

Except as permitted by law or these rules, participant information provided to or obtained by LAP or any of its agents is confidential. A participant may waive confidentiality with respect to limited information specified in a waiver form provided by LAP by signing the form and returning it to LAP(3).

Rule 3.243 adopted effective January 9, 2010; amended effective January 1, 2025. Rule 3.244 Monitored LAP

(A) Monitored LAP describes the following program and is open to Eligible Participants who have volunteered or been ordered or required to participate and have a diagnosis recognized in the most recent update to the Diagnostic and Statistical Manual of Mental Disorders affecting competency and is considered treatable by treatment protocols that theClinical Review Team determines can be monitored by LAP.

(B) Monitored LAP shall include rehabilitation programming, activities, testing, support, and other monitoring designed, approved, and overseen by the Clinical Review Team.

(C) The Committee will establish minimum requirements for successful completion ofMonitored LAP. The most current requirements will be provided to each participant upon enrollment.

(D) Criteria for successful completion of LAP by a participant could include morethan the minimum current requirements established pursuant to 3.244(C) based on the judgment and recommendation of the Clinical Review Team.

(E) A participant may be terminated from LAP if the Clinical Review Team determines that the participant has failed to comply with the Participation Agreement.

(F) Participation in Monitored LAP does not relieve a participant of any duty required by agreement or stipulation with the Office of Chief Trial Counsel, by court order, or any law relating to attorney conduct or discipline.

Rule 3.244 adopted effective January 9, 2010; amended effective January 1, 2018; amended effective January 25, 2019; amended effective January 1, 2025.

Rule 3.245 Support Services LAP

(A) Support Services LAP describes the following program and is open to all Eligible Participants who request to participate.

(B) Support Services LAP shall provide confidential support, resources, and outreach consistent with Article 15 (commencing with section 6230) of Chapter 4 of Division 3 of the Business & Professions Code, as may be amended.

Rule 3.245 adopted effective January 9, 2010; amended effective January 25, 2019; amended effective January 1, 2025. 

Rule 3.246 Costs and Fees 

An Eligible Participant is responsible for all LAP-related expenses and may be charged a reasonable fee for administrative costs. Financial assistance is available to Eligible Participants as provided by these rules. 

Rule 3.246 adopted effective January 9, 2010; amended effective November 16, 2018; amended effective January 25, 2019; amended effective January 1, 2025. 

Rule 3.247 Financial Assistance

(A) A participant of Monitored LAP may qualify for financial assistance in the form of a grant from the State Bar.

(B) The Committee will establish eligibility criteria for financial assistance and periodically review it to determine if it requires updating and to ensure that the total grant amount does not compromise the financial needs of effectively administering LAP. Eligibility for financial assistance will be based solely on financial need.

(C) The most current eligibility criteria will be publicly available on the State Bar website.

(D) To be considered for a grant, the participant must submit a completed application provided by LAP and provide all requested information.

(E) A participant who received financial assistance before the effective date of this rule is bound by the terms of any agreement applicable to that assistance.

Rule 3.247 adopted effective January 9, 2010; amended effective January 25, 2019; amended effective January 1, 2025.

3. Business & Professions Code § 6234

Chapter 6. Pro Bono Practice Attorneys

(Formerly Chapter 8; renumbered effective November 4, 2011.)

Download PDF

Rule 3.325 Definitions

(A) The “Pro Bono Practice Program” is a program for active licensees of the State Bar who would otherwise be inactive to provide free legal assistance exclusively for a pro bono legal services provider.

(B) A “pro bono practice attorney” is an active licensee of the State Bar who would otherwise be inactive but who provides free legal assistance exclusively for the Pro Bono Practice Attorney Program and engages in no other activities that require active status.

(C) For the purposes of the Pro Bono Practice Program, a “pro bono legal services provider ”may be a qualified legal services provider; the no-fee panel or pro bono clinic of a certified lawyer referral service; a court-based self-help center; or a nonprofit that provides free legal services to or on behalf of indigent Californians and has been approved by the State Bar as a pro bono legal services provider for the purposes of thePro Bono Practice Program. To be approved by the State Bar, a nonprofit must annually provide to the State Bar for review: 

  1. The organization’s mission statement;

  2. An active Certificate of Status from the California Secretary of State as a nonprofit corporation;

  3. The organization’s retainer agreement(s) that outlines for clients the scope of representation provided, confirms that the services will be provided at no cost, and indicates services may be provided by a pro bono attorney;

  4. A list of all current California-licensed attorneys employed at the organization; and

  5. Proof of malpractice insurance coverage.

The organization’s mission statement must include or relate to improving the law and the legal system, serving the indigent, or increasing access to justice in California. The State Bar shall have discretion in evaluating and approving submitted materials to ensure pro bono legal services providers meet program requirements. The State Bar shall publish on its website a list of nonprofits approved as pro bono legal services providers for purposes of the Pro Bono Practice Program.

(D) A “qualified legal services provider” receives or is eligible to receive funds from the Legal Services Trust Fund Program as either 

  1. A “qualified legal services project,” which provides legal services in civil matters without charge to indigent persons(1); or

  2. A “qualified legal services support center,” which provides legal training, legal technical assistance, or advocacy support without charge to qualified legal services projects(2).

(E) A “certified lawyer referral service” is, for the purposes of the Pro Bono Practice Program, the no-fee panel or pro bono panel or clinic of a lawyer referral service certified by the State Bar as meeting statutory criteria(3).

(F) A “court-based self-help center” is, for the purposes of the Pro Bono Practice Program, a self-help program that is in compliance with California Rule of Court 10.960.

Rule 3.325 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective July 20, 2012; amended effective January 25, 2019; amended effective July 18, 2024.

Rule 3.326 Waiver of annual license fees

The State Bar waives annual active license fees for licensees who act exclusively as pro bono practice attorneys for an entire fee cycle pursuant to this chapter. Licensees who are pro bono practice attorneys for less than a fee cycle must pay annual license fees. To be eligible for fee waiver in an upcoming fee cycle, the attorney must apply to the pro bono practice program on or before the annual fee deadline. If an attorney has already paid inactive fees, the State Bar waives any fees associated with transferring to active status as part of the pro bono practice program application process. Any fees already paid by the licensee will not be refunded.

Rule 3.326 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective January 25, 2019; amended effective July 18, 2024.

Rule 3.327 Eligibility requirements 

To serve as a pro bono practice attorney, a licensee must

(A) be a licensee in good standing with no disciplinary charges pending at the time of application to the Pro Bono Practice Program;

(B) have no record of public discipline during the three years preceding the application;

(C) submit an application annually for the Pro Bono Practice Program; and

(D) be certified by the State Bar as a pro bono practice attorney.

Rule 3.327 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective July 20, 2012; amended effective January 25, 2019; amended effective July 18, 2024.

Rule 3.328 Waiver of an eligibility requirement

The Program Director may waive a pro bono practice attorney program eligibility requirement the extent to which a licensee otherwise meets the requirements, the need for legal assistance in a particular place, or a licensee’s experience in providing pro bono legal assistance. An applicant seeking an eligibility requirement waiver must indicate the request upon application.

Rule 3.328 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective July 20, 2012; amended effective January 25, 2019; amended effective July 18, 2024.

Rule 3.329 Responsibilities of a pro bono practice attorney

A pro bono practice attorney must

(A) provide legal assistance exclusively as a Pro Bono Practice Attorney and not otherwise engage in activities that require active status;

(B) provide legal assistance for a pro bono legal services provider;

(C) accept no compensation for legal services, except for reimbursement of expenses incurred while rendering services under these rules;

(D) comply with State Bar Rules on Minimum Continuing Legal Education and all other rules and laws applicable to active State Bar licensees;

(E) notify the State Bar within thirty days of withdrawing from the program;

(F) agree with the pro bono legal services provider to provide a minimum number of pro bono legal services annually, 100 hours being the recommended minimum;

(G) annually report the number of pro bono legal services provided to the pro bono legal services provider;

(H) submit an application annually; and

(I) disclose any disciplinary charges to the qualified legal services provider, certified lawyer referral service or court-based self-help center as part of the attorney’s continuing duty.

Rule 3.329 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective July 20, 2012; amended effective January 25, 2019; amended effective July 18, 2024.

Rule 3.330 Responsibilities of a pro bono legal services provider

A pro bono legal services provider that uses the services of a pro bono practice attorney must

(A) confirm that a licensee applying to serve as a pro bono practice attorney for the provider will be accepted as a volunteer if the State Bar certifies the licensee as a pro bono practice attorney;

(B) provide no compensation to the pro bono practice attorney, except for reimbursement of expenses;

(C) notify the State Bar within thirty days of the pro bono practice attorney withdrawing from the program;

(D) provide adequate support and supervision to each pro bono practice attorney;

(E) agree with the pro bono practice attorney to provide a minimum number of hours of pro bono legal services annually, 100 hours being the recommended minimum; and

(F) ensure the pro bono practice attorney annually reports the number of hours or pro bono legal services provided.

Rule 3.330 adopted effective July 20, 2007, amended effective July 11, 2008; amended effective July 20, 2012; amended effective January 25, 2019; amended effective July 18, 2024.

  1. Business & Professions Code §§ 6213-6214.5.

  2. Business & Professions Code §§ 6213 and 6215. 

  3. Business & Professions Code § 6155.

Division 3. Non-Licensee Attorneys

Chapter 1. Multijurisdictional Practice

Article 1. Registered Military Spouse Attorney

https://www.calbar.ca.gov/sites/default/files/portals/0/documents/rules/Rules_Title3_Div3-Ch1-MJP-RLAA.pdf

Rule 3.350 Definitions

(A) A “Registered Military Spouse Attorney” is an attorney who meets the eligibility requirements of Rule 9.41.1 of the California Rules of Court (“Rule 9.41.1”) and is registered by the State Bar as a Registered Military Spouse Attorney.

(B) “Registered” means that the State Bar has issued a certificate of registration to an attorney it deems eligible to practice law as a Registered Military Spouse Attorney.

Rule 3.350 adopted effective March 1, 2019.

Rule 3.351 Application

(A) To apply to register as a Registered Military Spouse Attorney, an attorney who meets the eligibility and employment requirements of Rule 9.41.1 must

  1. submit an Application for Registration(1) as an attorney applicant for admission to the State Bar of California with the fee set forth in the Schedule of Charges and Deadlines(2);

  2. submit an Application for Registered Military Spouse Attorney(3) with the fee set forth in the Schedule of Charges and Deadlines;

  3. meet State Bar requirements for acceptable moral character;

  4. submit to the State Bar of California a declaration signed by the attorney agreeing that he or she will be subject to the disciplinary authority of theSupreme Court of California and the State Bar of California and attesting that he or she will not practice law in California other than under supervision of a California attorney during the time he or she practices law as a military spouse attorney in California; and

  5. submit a Declaration signed by the supervising attorney(4)

(B) An application to practice law as a Registered Military Spouse Attorney may be denied for failure to comply with eligibility or application requirements or a material misrepresentation of fact.

Rule 3.351 adopted effective March 1, 2019.

Rule 3.352 Duties of Registered Military Spouse Attorney

An attorney employed as Registered Military Spouse Attorney must

(A) annually renew registration as a Registered Military Spouse Attorney and submit the fee set forth in the Schedule of Charges and Deadlines;

(B) practice for no more than a total of five years as a Registered Military Spouse Attorney;

(C) meet the Minimum Continuing Legal Education (MCLE) requirements set forth in Rule 9.41.1;

(D) report a change of supervising attorney in accordance with StateBar requirements;

(E) use the title “Specially Registered Attorney” in connection with activities performed as a Registered Military Spouse Attorney;

(F) not imply or claim in any way to be a licensed attorney of the State Bar of California;

(G) maintain with the State Bar an address of record that is the current California office address of the attorney’s employer and a current e-mail address;

(H) report to the State Bar within thirty days:

  1. a change in status in any jurisdiction where admitted to practice law, such as transfer to inactive status, disciplinary action that affects the attorney’s status of good standing, suspension, resignation, disbarment, or a functional equivalent;

  2. termination of supervision by the supervising attorney; or

  3. any information required by the State Bar Act, such as that required by sections 6068(o) and 6086.8(c) of the California Business and Professions Code, or by other legal authority;

(I) be supervised by a qualifying supervising attorney who meets the requirements of Rule 9.41.1;

(J) submit a new application to register as a Registered Military Spouse Attorney before beginning employment with a new qualifying supervising attorney; and

(K) otherwise comply with the requirements of Rule 9.41.1 and these rules.

Rule 3.351 adopted effective March 1, 2019.

Rule 3.353 Duties of employer

A qualifying supervising attorney who meets the requirements of Rule 9.41.1 must

(A) complete the Application for Approval, and be approved by the State Bar, as a qualifying supervising attorney;

(B) complete and sign a Declaration before supervising a Registered Military Spouse Attorney, attesting that he or she

  1. is a qualified supervising attorney;

  2. to supervise Registered Military Spouse Attorney (“attorney”) and otherwise comply with the requirements of Rule 9.41.1 and these rules;

  3. deems the attorney, on the basis of reasonable inquiry, to be of good moral character;

  4. agrees to notify the State Bar of California, in writing, within thirty days if

    1. the attorney has terminated employment; 

    2. the attorney is no longer eligible for employment as required by Rule 9.41.1 and these rules; 

    3. the supervising attorney no longer meets the requirements of these rules; 

    4. their status as a qualifying supervising attorney has changed; or 

    5. he/she has changed their office address.

Rule 3.354 Termination of Registration

(A) Registration as a Military Spouse Attorney terminates

  1. as required by Rule 9.41.1;

  2. upon imposition of discipline for misconduct by a professional or occupational licensing authority;

  3. upon admission to the State Bar of California;

  4. upon repeal of Rule 9.41.1 or termination of the Registered Military Spouse Attorney program; or

  5. upon request.

(B) An attorney whose registration has been terminated under these rules is not permitted to practice law in California and must submit a new application and comply with Rules of Court, rule 9.9.5 governing attorney fingerprinting to register as a Registered Legal Aid Attorney in order to practice law in California.

(C) A notice of termination is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a termination is subject to the disciplinary procedures of the State Bar.

Rule 3.354 adopted effective March 1, 2019.

Rule 3.355 Reinstatement after termination

An attorney terminated as a Registered Military Spouse Attorney who seeks reinstatement must meet all eligibility and application requirements of these rules.

Rule 3.355 adopted effective March 1, 2019.

Rule 3.356 Public information

State Bar records for attorneys permitted to practice law as Registered Military Spouse Attorney are public to the same extent as licensed attorney records.

Rules 3.556 adopted effective March 1, 2019

  1. See Rule 4.16(B). 

  2. See Rule 4.3(B).

  3. See Rules of Court, rule 9.41.1.

  4. See Rules of Court, rule 9.41.1(a)(3)(F)

Article 2. Registered Legal Aid Attorneys

Download PDF

Rule 3.360 Definitions

(A) A “Registered Legal Aid Attorney” is an attorney who meets the eligibility requirements of Rule 9.45 of the California Rules of Court (“Rule 9.45”) and is registered by the State Bar as a Registered Legal Aid Attorney.

(B) “Registered” means that the State Bar has issued a certificate of registration to an attorney it deems eligible to practice law as a Registered Legal Aid Attorney.

(C) An “eligible legal aid organization” is an entity or law school that meets the requirements of Rule of Court 9.45(a)(1).

Rule 3.360 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.361 Application

(A) To apply to register as a Registered Legal Aid Attorney, an attorney who meets the eligibility and employment requirements of Rule 9.45 must 

  1. submit an Application for Registration(1) as an attorney applicant for admission to the State Bar of California with the fee set forth in the Schedule of Charges and Deadlines(2);.

  2. submit an Application for Registered Legal Aid Attorney(3) with the fee set forth in the Schedule of Charges and Deadlines;

  3. meet State Bar requirements for acceptable moral character; and

  4. submit a Declaration signed by the attorney from the eligible legal aid organization who will be providing the required supervision.

(B) An application to practice law as a Registered Legal Aid Attorney may be denied for failure to comply with eligibility or application requirements or a material misrepresentation of fact.

Rule 3.361 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.362 Duties of Registered Legal Aid Attorney

An attorney employed as Registered Legal Aid Attorney must

(A) annually renew registration as a Registered Legal Aid Attorney and submit the fee set forth in the Schedule of Charges and Deadlines;

(B) practice for no more than a total of five years as a Registered Legal Aid Attorney;

(C) meet the Minimum Continuing Legal Education (MCLE) requirements set forth in Rule 9.45;

(D) report a change of attorney supervisor in accordance with State Bar requirements;

(E) use the title “Registered Legal Aid Attorney” and no other in connection with activities performed as a Registered Legal Aid Attorney;

(F) not claim in any way to be a licensed attorney of the State Bar of California;

(G) maintain with the State Bar an address of record that is the current California office address of the attorney’s employer and a current e-mail address;

(H) report to the State Bar within thirty days: 

  1. a change in status in any jurisdiction where admitted to practice law and engaged in the practice of law, such as transfer to inactive status, disciplinary action, suspension, resignation, disbarment, or a functional equivalent;

  2. termination of employment with the eligible legal aid organization; or

  3. any information required by the State Bar Act, such as that required by sections 6068(o) and 6086.8(c) of the California Business and Professions Code, or by other legal authority;

(I) submit a new application to register as a Registered Legal Aid Attorney before beginning employment with a new eligible legal aid organization; and

(J) otherwise comply with the requirements of Rule 9.45 and these rules.

Rule 3.362 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.363 Duties of employer

An employer who meets the requirements of Rule 9.45 for an eligible legal aid organization must

(A) complete the Application for Approval as Eligible Legal Aid Organization and be approved by the State Bar as an eligible employer;

(B) complete a Declaration signed by the supervising attorney of the Eligible Legal Aid Organization before employing a Registered Legal Aid Attorney, attesting that it 

  1. is an eligible legal aid organization;

  2. agrees to supervise the Registered Legal Aid Attorney (“attorney”) and otherwise comply with the requirements of Rule 9.45 and these rules;

  3. deems the attorney, on the basis of reasonable inquiry, to be of good moral character;

  4. agrees to notify the State Bar of California, in writing, within thirty days if 

    1. the attorney has terminated employment;

    2. the attorney is no longer eligible for employment as required by Rule 9.45 and these rules;

    3. the supervising attorney no longer meets the requirements of these rules;

    4. its status as an eligible legal aid organization has changed; or

    5. it has changed its office address.

Rule 3.363 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.364 Suspension of a Registered Legal Aid Attorney registration

(A) Registration as a Legal Aid Attorney is suspended 

  1. for failure to annually register as a Registered Legal Aid Attorney and submit any related fee and penalty set forth in the Schedule of Charges and Deadlines; 

  2. for failure to comply with the Minimum Continuing Legal Education requirement of Rule 9.45 and to pay any related fee and penalty set forth in the Schedule of Charges and Deadlines;

  3. upon voluntary transfer to inactive status, or the functional equivalent in any jurisdiction where admitted to practice law;

  4. for failure to comply the laws or standards of professional conduct applicable to a licensee of the State Bar; or

  5. for failure to meet the eligibility requirements of Rule 9.45(c)(3), (4), (5), (6), and (7).

(B) An attorney suspended under these rules is not permitted to practice law during the suspension.

(C) A notice of suspension is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a suspension is subject to the disciplinary procedures of the State Bar.

Rule 3.364 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.365 Termination of Registration

Permission to practice law as a Registered Legal Services Attorney terminates

(A) Registration as a Legal Aid Attorney terminates 

  1. for failure to meet the eligibility requirements of Rule 9.45(c)(1) or Rule 9.45(c)(2);

  2. upon imposition of discipline for misconduct by a professional or occupational licensing authority;

  3. upon admission to the State Bar;

  4. upon repeal of Rule 9.45 or termination of the Registered Legal Aid Attorney program; or

  5. upon request.

(B) An attorney whose registration has been terminated under these rules is not permitted to practice law in California and must submit a new application and comply with Rules of Court, rule 9.9.5 governing attorney fingerprinting to register as a Legal Aid Attorney in order to practice law in California.

(C) A notice of termination is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a termination is subject to the disciplinary procedures of the State Bar.

Rule 3.365 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.366 Reinstatement after termination

An attorney terminated as a Registered Legal Aid Attorney who seeks reinstatement must meet all eligibility and application requirements of these rules.

Rule 3.366 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.367 Public information

State Bar records for attorneys permitted to practice law as Registered Legal Aid Attorneys are public to the same extent as records of licensed attorneys.

Rule 3.367 adopted effective July 1, 2010; amended effective March 1, 2019.

  1. See Rule 4.16(B). 

  2. See Rule 4.3(B).

  3. See Rule of Court 9.44.

Article 3. Registered In-House Counsel

Rule 3.370 Definitions

(A) An attorney registered as Registered In-House Counsel is an attorney who meets the eligibility requirements of Rule 9.46 of the California Rules of Court (“Rule 9.46”) and is registered by the State Bar as Registered In-House Counsel.

(B) “Registered” means that the State Bar has issued a certificate of registration to an attorney it deems eligible to practice law as Registered In-House Counsel.

(C) A “qualifying institution” is a corporation, a partnership, an association, or other legal entity that meets the requirements of Rule of Court 9.46(a)(1).

(D) “Reside in California” as used in Rule 9.46(c)(8) means to live or be located in California on more than a temporary or transient basis.

Rule 3.370 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.371 Application

(A) To apply to register as Registered In-House Counsel, an attorney who meets the eligibility and employment requirements of Rule 9.46 must 

  1. submit an Application for Registration(1) as an attorney applicant for admission to the State Bar of California with the fee set forth in the Schedule of Charges and Deadlines(2);

  2. submit an Application for Registered In-House Counsel(3) with the fee set forth in the Schedule of Charges and Deadlines;

  3. meet State Bar requirements for acceptable moral character; and

  4. submit a Declaration signed by an officer, a director, or a general counsel of Qualifying Institution(4).

(B) An application to practice law as Registered In-House Counsel may be denied for failure to comply with eligibility or application requirements or a material misrepresentation of fact in the application.

Rule 3.371 adopted effective July 1, 2010; amended effective March 1,2019.

Rule 3.372 Duties of Registered In-House Counsel

An attorney employed as Registered In-House Counsel must

(A) annually renew registration as Registered In-House Counsel and submit the fee set forth in the Schedule of Charges and Deadlines;

(B) meet the Minimum Continuing Legal Education (MCLE) requirements set forth in Rule 9.46;

(C) use the title “Registered In-House Counsel” in connection with activities performed as Registered In-House Counsel;

(D) not claim in any way to be a licensed attorney of the State Bar of California;

(E) maintain an address of record with the State Bar, which must be the current California office address of the attorney’s employer and a current e-mail address;

(F) report to the State Bar within thirty days 

  1. a change in status in any jurisdiction where admitted to practice law and engaged in the practice of law, such as transfer to inactive status, disciplinary action, suspension, resignation, disbarment, or a functional equivalent;

  2. termination of employment with the qualifying institution; or

  3. any information required by the State Bar Act, such as that required by sections 6068(o) and 6086.8(c) of the California Business and Professions Code, or by other legal authority;

(G) submit a new application to register as Registered In-House Counsel before beginning employment with a new qualifying institution(5); and

(H) otherwise comply with the requirements of Rule 9.46 and these rules.

Rule 3.372 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.373 Duties of employer

An employer who meets the requirements of Rule 9.46 for a qualifying institution must

(A) complete the Application for Approval as Qualifying Institution and be approved by the State Bar as a qualifying employer;

(B) complete a Declaration signed by an officer, a director, or a general counsel of the Qualifying Institution, before employing a Registered In-House Counsel, attesting that it 

  1. is a qualifying institution;

  2. deems the attorney, on the basis of reasonable inquiry, to be of good moral character;

  3. agrees to notify the State Bar of California, in writing, within thirty days if 

    1. the attorney has terminated employment;

    2. the attorney is no longer eligible for employment as required by Rule 9.46 and these rules;

    3. its status as a qualifying institution has changed; or

    4. it has changed its office address.

Rule 3.373 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.374 Suspension of Registered In-House Counsel

(A) Registration as In-House Counsel is suspended 

  1. for failure to annually register as Registered In-House Counsel and submit any related fee and penalty set forth in the Schedule of Charges and Deadlines;

  2. for failure to comply with the Minimum Continuing Legal Education requirement of Rule 9.46 and pay any related fee and penalty set forth in the Schedule of Charges and Deadlines;

  3. upon voluntary transfer to inactive status, or the functional equivalent in any jurisdiction where admitted to practice; or

  4. for failure to comply with the laws or standards of professional conduct applicable to a licensee of the State Bar; or

  5. for failure to meet the eligibility requirements of Rule 9.46(c), (3), (4), (5), (6), and (7).

(B) An attorney suspended under these rules is not permitted to practice law.

(C) A notice of suspension is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a suspension is subject to the disciplinary procedures of the State Bar.

Rule 3.374 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.375 Termination of Registration

(A) Registration as In-House Counsel terminates 

  1. for failure to meet the eligibility requirements of Rule 9.46(c)(1) or Rule 9.46(c)(2) upon imposition of discipline for misconduct by a professional or occupational licensing authority;

  2. upon admission to the State Bar;

  3. upon repeal of Rule 9.46 or termination of the Registered In-House Counsel program; or

  4. upon request.

(B) An attorney whose registration has been terminated under these rules is not permitted to practice law in California and must submit a new application and comply with Rules of Court, rule 9.9.5 governing attorney fingerprinting to register as In-House Counsel in order to practice law in California.

(C) A notice of termination is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a termination is subject to the disciplinary procedures of the State Bar.

Rule 3.375 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.376 Reinstatement after termination

An attorney terminated as Registered In-House Counsel who seeks reinstatement must meet all eligibility and application requirements of Rule 9.46 and these rules.

Rule 3.376 adopted effective July 1, 2010; amended effective March 1, 2019

Rule 3.377 Public information

State Bar records for attorneys permitted to practice law as Registered In-House Counsel are public to the same extent as licensed attorney records.

Rule 3.377 adopted effective July 1, 2010; amended effective March 1, 2019.

  1. See Rule 4.16(B). 

  2. See Rule 4.3(B).

  3. See Rule of Court 9.46(d).

  4. Rule of Court 9.46(a)(1).

  5. Rule of Court 9.46(a)(1).

Chapter 2. Out-of-state Attorney Arbitration Counsel

Download PDF

Rule 3.380 Compliance procedure

To appear as Out-of-State Attorney Arbitration counsel, an attorney who meets the eligibility requirements of Code of Civil Procedure § 1282.4 and Rule 9.43 of the California Rules of Court (“Rule 9.43”) must

(A) be retained to appear in an arbitration in California in association with an active licensee of the State Bar of California;

(B) complete the Certificate of Out-of-State-Attorney Counsel for Arbitration, which includes an agreement to comply with the standards of professional conduct required of licensees of the State Bar of California;

(C) serve a copy of the completed certificate with an original signature and provide proof of service in accordance with California law(1) on

  1. the State Bar with the nonrefundable fee prescribed in the Schedule of Charges and Deadlines; and

  2. all other parties and counsel; and

(D) obtain the approval of the arbitrator or the arbitral forum as indicated on the Certificate of Out-of-State-Attorney Counsel for Arbitration.

Rule 3.380 adopted effective July 1, 2010; amended effective January 25, 2019.

Rule 3.381 Duration of certificate

An Out-of-State-Attorney Arbitration Counsel Certificate remains in effect

(A) until resolution of the arbitration matter;

(B) as long as an active licensee of the State Bar of California is associated as attorney of record in the arbitration matter;

  1. Code of Civil Procedure § 1013a.

Chapter 3. Pro Hac Vice

The State Bar of California's Pro Hac Vice Program is governed by Rule 9.40 of the California Rules of Court.

Chapter 4. Foreign Legal Consultants

Download PDF

Rule 3.400 Definitions

(A) A “Registered Foreign Legal Consultant” is a person who meets the eligibility requirements of Rule of Court 9.44 of the California Rules of Court (“Rule 9.44”) and is registered by the State Bar as a Foreign Legal Consultant.

(B) “Registered” means that the State Bar has issued a certificate of registration to a person it deems eligible to practice law as a Foreign Legal Consultant.

Rule 3.400 adopted effective July 1, 2010.

Rule 3.401 Application

(A) To practice law as a Registered Foreign Legal Consultant, a person who meets the eligibility requirements of the Rule 9.44 must 

  1. submit an Application for Registration(1) as an attorney applicant for admission to the State Bar of California with the required certificate and the fee set forth in the Schedule of Charges and Deadlines(2);

  2. submit an Application for Registered Foreign Legal Consultant(3) with the fee set forth in the Schedule of Charges and Deadlines (the Schedule);

  3. meet State Bar requirements for acceptable moral character, which are set forth in the instructions for Application for Registered Foreign Legal Consultant;

  4. submit a letter of recommendation from an authorized representative of the professional body having final disciplinary jurisdiction or a judge of the highest law court or court of original jurisdiction attesting to his or her professional qualifications in the foreign jurisdiction.

(B) An application to practice law as a Registered Foreign Legal Consultant may be denied for failure to comply with eligibility or application requirements or a material misrepresentation of fact.

(C) Upon a showing of undue hardship by the applicant, the State Bar may waive or vary this rule’s requirement of the letter of recommendation attesting to the applicant’s professional qualifications.

Rule 3.401 adopted effective July 1, 2010.

Rule 3.402 Duties of Registered Foreign Legal Consultants

A Foreign Legal Consultant must

(A) annually renew registration as a Registered Foreign Legal Consultant and submit the fee set forth in the Schedule of Charges and Deadlines;

(B) report to the State Bar within thirty days any change in eligibility or the security for claims required by these rules;

(C) at all times maintain the security for claims required by these rules and upon demand promptly provide the State Bar with current evidence of security for claims;

(D) provide legal advice in California exclusively regarding the law of a foreign jurisdiction where he or she is licensed to practice law and which is identified in the Application To Register as a Foreign Legal Consultant;

(E) use the title “Registered Foreign Legal Consultant” and no other in connection with activities performed as a Registered Foreign Legal Consultant;

(F) not claim in any way to be a licensee of the State Bar of California;

(G) maintain an address of record and a current e-mail address with the State Bar; and

(H) otherwise comply with Rule 9.44 and these rules.

Rule 3.402 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.403 Security for claims

A Registered Foreign Legal Consultant must provide evidence of security for claims for pecuniary losses resulting from acts, errors, or omissions in the rendering of legal services. The security assets must be maintained at all times, and the State Bar may require current evidence of security for claims at any time. The evidence

(A) may be a certificate of insurance, a letter of credit, a written guarantee, or a written agreement executed by the applicant;

(B) must be provided in a form acceptable to the State Bar; and

(C) must be computed in United States dollars.

Rule 3.403 adopted effective July 1, 2010.

Rule 3.404 Insurance as security for claims

If insurance serves as security for claims, it must be acceptable to the State Bar and provide the Registered Foreign Legal Consultant a minimum amount of annual insurance and a maximum deductible. These amounts are specified in the Schedule of Charges and Deadlines for a single claim and for all claims.

(A) If the insurance excludes the cost of defense, the Registered Foreign Legal Consultant may reduce the minimum amount of annual insurance as specified in the Schedule.

(B) If the insurance provides for a deductible greater than that specified in the Schedule, the Registered Foreign Legal Consultant must provide a letter of credit or a written agreement as evidence of security for the deductible.

(C) If the insurance is provided by an insurer outside California, the Registered Foreign Legal Consultant must promptly provide, upon request of the State Bar, a copy of the insurance policy and a translation if the policy is not in English.

Rule 3.404 adopted effective July 1, 2010.

Rule 3.405 Letter of credit as security for claims

If a letter of credit serves as security for claims, the Registered Foreign Legal Consultant must maintain the letter of credit at all times in the minimum amount specified in the Schedule of Charges and Deadlines for a single claim and for all claims.

Rule 3.405 adopted effective July 1, 2010.

Rule 3.406 Written guarantee as security for claims

If a written guarantee serves as security for claims, the Registered Foreign Legal Consultant must maintain the written guarantee at all times for a minimum amount in favor of the State Bar. The amount is specified in the Schedule for a single claim and for all claims.

(A) The guarantor must be a California law firm or law corporation, an active licensee of the State Bar, or a financial institution.

(B) The written guarantee must be supported by an independent accountant’s certified financial statements and subsidiary records evidencing that tangible net worth for the most recent fiscal year is equivalent to the minimum amount required for security for claims, exclusive of intangible assets such as good will, licenses, patents, trademarks, trade names, copyrights, and franchises. Net worth may include fifty percent of earned fees that have not been billed and billed fees that have not been collected.

Rule 3.406 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.407 Written agreement as evidence of security for claims

If a Foreign Legal Consultant’s written agreement serves as security for claims, the agreement must be for the minimum amount specified in the Schedule of Charges and Deadlines for a single claim and for all claims.

Rule 3.407 adopted effective July 1, 2010.

Rule 3.408 Suspension of registration as a Foreign Legal Consultant

(A) Registration as a Foreign Legal Consultant is suspended 

  1. for failure to annually register as a Foreign Legal Consultant and submit any related fee and penalty by the date set forth in the Schedule of Charges and Deadlines;

  2. for failure to otherwise comply with or meet the eligibility requirements of Rule 9.44(c) (3), (4), (5), (6), (7), (8), (9), and (10), these rules or with the laws or standards of professional conduct applicable to a licensee of the State Bar.

(B) A Foreign Legal Consultant suspended under these rules is not permitted to practice law during the suspension.

(C) A notice of suspension is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a suspension is subject to the disciplinary procedures of the State Bar.

Rule 3.408 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.409 Termination of Registration

(A) Registration as a Foreign Legal Consultant terminates 

  1. for failure to meet the eligibility requirements of Rule 9.44(c)(1) or Rule 9.44(c)(2);

  2. upon imposition of discipline for misconduct by a professional or occupational licensing authority;

  3. upon admission to the State Bar;

  4. upon repeal of Rule 9.44 or termination of the Foreign Legal Consultants program; or

  5. upon request.

(B) An attorney whose registration has been terminated under these rules is not permitted to practice law in California and must submit a new application and comply with Rules of Court, rule 9.9.5 governing attorney fingerprinting to register as a Foreign Legal Consultant in order to practice law in California.

(C) A notice of termination is effective ten days from the date of receipt. Receipt is deemed to be five days from the date of mailing to a California address; ten days from the date of mailing to an address elsewhere in the United States; and twenty days from the date of mailing to an address outside the United States. Alternatively, receipt is when the State Bar delivers a document physically by personal service or otherwise.

(D) Appeal of a termination is subject to the disciplinary procedures of the State Bar.

Rule 3.409 adopted effective July 1, 2010; amended effective March 1, 2019.

Rule 3.410 Reinstatement after termination

An attorney terminated as a Registered Foreign Legal Consultant who seeks reinstatement must meet all eligibility and application requirements of these rules. Reinstatement is effective from the date of compliance.

Rule 3.410 adopted effective July 1, 2010.

Rule 3.411 Public information

State Bar records for attorneys permitted to practice law as Foreign Legal Consultants are public to the same extent as licensee records.

Rule 3.411 adopted effective July 1, 2010; amended effective March 1, 2019.

  1. See Rule 4.16(B). 

  2. See Rule 4.3(B).

  3. See Rule of Court 9.44.

Division 4. Consumers

Chapter 1. Client Security Fund

Download PDF

Article 1. In general

Rule 3.420 Client Security Fund

(A) Pursuant to statute the Board of Trustees of the State Bar of California has established aClient Security Fund (“Fund”) that may reimburse individuals who have suffered a loss of money or property because of the dishonest conduct of an attorney(1). For the purposes of these rules, an attorney is a current or former licensee of the State Bar of California, a Foreign Legal Consultant registered with the State Bar, or an attorney registered with the State Bar under the Multijurisdictional Practice Program.

(B) Applications for reimbursement must meet the requirements of these rules, and payments from the Fund are solely within the discretion of the State Bar.

(C) No person or entity has a right to reimbursement, and no person or entity, including a creditor or third-party beneficiary, has any right in the Fund.

Rule 3.420 adopted effective January 1, 2010; amended effective January 1, 2012; amended effective March 2, 2012; amended effective January 25, 2019.

Rule 3.421 Client Security Fund Commission

(A) To administer the Client Security Fund, the Board of Trustees of the State Bar ofCalifornia has established a Client Security Fund Commission (“Commission”) to which it appoints five members who serve at its pleasure or until the expiration of a term set by the Board. Three members at most may be present or former licensees of the State Bar or admitted to practice before any court in the United States. The Commission has sole and final authority to determine whether to grant an application for reimbursement from the Client Security Fund and the extent and manner of any payment.

(B) The vote of a majority of the commissioners present and voting at a Commission meeting constitutes the action of the Commission, unless the Commission or its chair has authorized a vote by poll, in which case a majority vote of commissioners then in office constitutes its action.

(C) The Manager of the Office of the Client Security Fund and any other staff who serve as counsel (collectively “Fund Counsel”) must be active licensees of the State Bar and represent the interests of the Commission and those of the Fund. In these rules, Manager may also mean the Manager’s designee.

(D) The reasonable expenses of the Commission and its staff may be charged to the Fund. These expenses include staff salaries and Fund-related costs of administration and litigation.

Rule 3.421 adopted effective January 1, 2010; amended effective January 1, 2012; amended effective January 25, 2019; amended effective May 17, 2019.

Article 2. Requirements for reimbursement; limitations and exclusions

Rule 3.430 General requirements for reimbursement

(A) To qualify for reimbursement, an applicant must establish a loss of money or property that was received by an active attorney who was acting as an attorney or in a fiduciary capacity customary to the practice of law, for instance as an administrator, executor, trustee of an express trust, guardian, or conservator.

(B) The loss must have been caused by dishonest conduct as defined in these rules(2).

(C) The attorney must have a status that meets the requirements of these rules(3).

(D) Even if an application meets these requirements, the Commission and/or Fund Counsel have the discretion to deny or limit reimbursement. No person or entity has a right to reimbursement(4). 

Rule 3.430 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.431 Dishonest conduct

“Dishonest conduct” refers to any of the following:

(A) Theft or embezzlement of money, the wrongful taking or conversion of money or property, or a comparable act.

(B) Failure to refund unearned fees received in advance for services when the attorney performed an insignificant portion of the services or none at all. Such a failure constitutes a wrongful taking or conversion. All other instances of an attorney’s failure to return an unearned fee or the disputed portion of a fee are outside the scope of this provision and not reimbursable under these rules.

(C) Borrowing money from a client without the intention or reasonable ability, present or prospective, of repaying it.

(D) Obtaining money or property from a client for an investment that was not in fact made. Failure of an investment to perform as represented to or anticipated by a client is not dishonest conduct under these rules.

(E) An act of intentional dishonesty or deceit that proximately leads to the loss of money or property.

Rule 3.431 adopted effective January 1, 2010.

Rule 3.432 Required status of attorney

(A) To qualify for reimbursement, an application must establish that the attorney whose dishonest conduct is alleged has 

  1. been disbarred, disciplined, or voluntarily resigned from the State Bar;
  2. died or been adjudicated mentally incompetent; or
  3. because of the dishonest conduct become a judgment debtor of the applicant in a contested proceeding or been convicted of a crime.

(B) The Commission or Fund Counsel may waive provision (A) of this rule Pursuant to guidelines set by the Commission.

Rule 3.432 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.433 Excluded applicants

An applicant is excluded from receiving reimbursement from the Fund who

(A) Is or was related to the attorney as a spouse or domestic partner;

(B) Has a family relationship with the attorney, including one by adoption, as child, parent, grandchild, grandparent, or sibling;

(C) Lives or lived with the attorney;

(D) Has or had a business or other relationship with the attorney as an associate, partner, employee, or employer;

(E) Is or was an insurer, surety, or bonding entity seeking reimbursement for a payment made under a contract or bond covering the dishonest conduct;

(F) Is or was a business entity controlled 

  1. by the attorney; or
  2. by someone with whom the attorney has a personal or business relationship as defined by this rule;

(G) Is or was an assignee, lienholder, or creditor of the attorney or the person who incurred the loss; or

(H) Is a government entity or agency.

Rule 3.433 adopted effective January 1, 2010.

Rule 3.434 Reimbursement limitations and exclusions

(A) For losses occurring on or after January 1, 2009, the maximum allowable reimbursement is $100,000, and cumulative reimbursements to an applicant may not exceed $100,000 with respect to any individual attorney. For losses occurring before January 1, 2009, the maximum allowable reimbursement is $50,000, and cumulative reimbursements to an applicant may not exceed $50,000 with respect to any individual attorney.

(B) The Fund may not reimburse

  1. interest or a consequential loss;
  2. a loss covered by any indemnity, such as insurance, fidelity guarantee, or bond, unless the indemnifier has a cause of action against the applicant for recovery of a payment made for the loss;
  3. attorney fees and other costs paid to recover a reimbursable loss, unless the applicant submits clear and convincing proof that the payments were reasonable and they reduced the amount otherwise reimbursable; or
  4. a loss from a loan or investment, unless it meets the requirements of Rule 3.436.
  5. any criminal penalties or civil judgments, unless all of the following circumstances are met:
    1. the criminal penalty or civil judgment arises out of a transaction connected with the discipline of the attorney(5);
    2. the Supreme Court order imposing suspension or disbarment, or accepting a resignation with a disciplinary matter pending, orders the attorney to pay a monetary sanction;
    3. the Client Security Fund actually receives funds consisting of all or a portion of the ordered monetary sanction;6Id. and
    4. the criminal penalty or civil judgment is otherwise uncollectible.

The total amount reimbursed under this subsection with respect to any attorney cannot exceed the total sanction amount actually received by the Client Security Fund with respect to that attorney. The limits contained in Rule 3.434(A) do not apply to this subsection. Nothing in this subsection is intended to alter the discretion of the Client Security Fund.7See Client Security Fund rules, Rules 3.420(B) and (C), 3.421(A), 3.430(D), and 3.435.

(C) A reimbursable loss of non-monetary property is its fair market value at the time of loss.

Rule 3.434 adopted effective January 1, 2010; amended effective November 19, 2020.

Rule 3.435 Factors that may limit reimbursement

To fulfill the purposes of the Fund, the Commission and/or Fund Counsel may deny reimbursement in whole or in part for any reason, including, but not limited to, the following reasons:

(A) The attorney and applicant participated or intended to participate in illegal or tortious conduct related to the subject matter of the application;

(B) The applicant failed to act reasonably to protect against the loss, considering the circumstances of the transaction, the past dealings with the attorney, and differences in their education and business sophistication;

(C) The nature of the applicant’s loss, its amount, or the financial or administrative circumstances of the Fund require that reimbursement be limited or denied; or

(D) The applicant is a fictitious person.

Rule 3.435 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.436 Attorney-client relationship required to reimburse loan or investment loss

(A) A loss resulting from a transaction proposed by an attorney as a loan or investment with or through the attorney is not reimbursable unless 

  1. it arose out of and in the course of the attorney-client relationship; and
  2. it could not have occurred but for the relationship.

(B) To determine whether a loan or investment meets the requirements of this rule, the Commission and/or Fund Counsel may consider the following factors:

  1. whether authority to practice law in California was required for a principal part of the transaction;
  2. whether the attorney initiated the transaction;
  3. the professional and business reputation of the attorney;
  4. the amount charged for legal services or as a finder’s fee;
  5. the number of prior transactions between the applicant, the attorney, or other attorneys or entities;
  6. the relative bargaining power, education, and business sophistication of the attorney and applicant;
  7. whether normal prudence of the applicant was unduly affected by the attorney-client relationship;
  8. whether the attorney-client relationship allowed the attorney to learn about the applicant’s financial affairs or prospects; and
  9. whether the attorney failed to fully make the disclosures required by the Rules of Professional Conduct, including those regarding his or her financial condition and intended use of the applicant’s money or property.

Rule 3.436 adopted effective January 1, 2010; amended effective May 17, 2019.

Article 3. Applications and action on applications

Rule 3.440 Application for reimbursement

(A) An applicant seeking reimbursement from the Fund must submit a Client Security Fund Application for Reimbursement. The application contains the following statement: “IMPORTANT NOTICE. The State Bar of California has no legal responsibility for the acts of individual attorneys. Payments from the Client Security Fund are solely within the discretion of the State Bar. By applying to the Client Security Fund, the applicant acknowledges that he or she may be giving up the right to pursue a civil action for the same recovery against a third party.”

(B) The application must identify the applicant and the attorney allegedly responsible for the reimbursable loss and set forth a general statement of facts regarding the loss, including its amount, when it was incurred, when it was discovered, and the extent to which it is or has been covered by insurance, fidelity guarantee, bond, or similar indemnity.

(C) The application requires the applicant to acknowledge that he or she has read these rules and agrees to be bound by them; to provide current mailing and email addresses and to promptly notify the State Bar of any change in those addresses; to sign a subrogation and assignment agreement; and to cooperate with the State Bar in its review of the application or in any related disciplinary proceeding or civil action the State Bar brings pursuant to the subrogation and assignment agreement.

(D) The application must be completed in accordance with instructions and executed under penalty of perjury.

(E) An application for reimbursement must be filed no more than four years after the loss was discovered or through reasonable diligence should have been discovered.

(F) An applicant may apply to the Fund without exhausting other remedies.

(G) An applicant need not be represented by a lawyer. If an applicant is represented by a lawyer, the lawyer is encouraged to provide his or her services pro bono publico to maximize the benefits available to the applicant. A lawyer may, however, represent an applicant for a reasonable attorney fee.

Rule 3.440 adopted effective January 1, 2010; amended effective January 21, 2022.

Rule 3.441 Review of applications

(A) The Fund may investigate an application as it deems appropriate.

(B) Upon due consideration of an application, Fund Counsel may close it without prejudice, issue a Notice of Intention to Pay,8See Rule 3.442. or issue a Tentative Decision on behalf of the Commission. If Fund Counsel intends to issue a Tentative Decision, counsel may postpone doing so until the conclusion of any related disciplinary proceeding either pending or contemplated.

(C) In considering applications for reimbursement, the Commission may require further investigation; require submission of declarations under penalty of perjury;9Code of Civil Procedure § 2015.5. conduct hearings at which it receives evidence; administer oaths and affirmations; and compel by subpoena the attendance of witnesses and the production of books, papers and documents. A party who refuses to obey a subpoena is subject to the contempt procedures of Rule 5.70 of the Rules of Procedure of the State Bar.

(D) The Fund may consolidate applications related to one or more respondents when no substantial rights are prejudiced.

(E) When an application involves more than one respondent, the Fund may consider each respondent as the subject of a separate application if no substantial rights are prejudiced.

(F) In the interest of justice and for good cause, Fund Counsel, under guidelines set by the Commission, may waive a requirement of these rules that bars reimbursement of an application otherwise qualified for reimbursement.

(G) An application filed by a husband and wife is deemed to be two separate applications, unless the loss occurred before January 1, 2009. For such a loss, the application is deemed to be a single application.

(H) The applicant and respondent must supply relevant evidence under oath to support allegations or objections based on fact. Proceedings on such evidence need not be conducted according to technical rules applicable to evidence and witnesses. Any relevant evidence is admissible if of the sort that responsible persons customarily rely on in the conduct of serious affairs, even if such evidence might be inadmissible in a civil action.

(I) A decision to reimburse a loss must be based on a preponderance of the evidence.

(J) Testimony presented to the Commission or a fact-finding panel it appoints may be recorded and transcribed in whole or in part as directed by the Commission.

Rule 3.441 adopted effective January 1, 2010; amended effective January 25, 2019; amended effective May 17, 2019.

Rule 3.442 Notice of Intention to Pay

(A) A Notice of Intention to Pay advises an attorney of the allegations made by an applicant and an intention to reimburse the applicant in a stated amount. In compliance with standards set by the Commission, the Manager may issue the notice provided an applicant has 

  1. submitted a complete application in accordance with instructions;
  2. submitted documentation sufficient to confirm the amount of the loss;
  3. provided sufficient evidence of eligibility for reimbursement as required by these rules; and
  4. filed a complaint against the attorney with the State Bar’s Office of the Chief Trial Counsel, unless the Manager waives this requirement.

(B) For applications requesting $5,000.00 or less, prima facie evidence is sufficient to establish eligibility for reimbursement under this rule.

(C) The attorney must be served with a Notice of Intention to Pay in accordance with Rule 3.445.

(D) The attorney has thirty days from the date of service to submit a written objection to a Notice of Intention to Pay. If the attorney objects, the Fund will conduct further review in accordance with these rules. If the attorney does not object, the Fund may pay the applicant the reimbursement amount stated in the notice.

(E) An applicant reimbursed pursuant to a Notice of Intention to Pay may object to the amount of payment by submitting a written objection under penalty of perjury within thirty days of the date on which reimbursement issues. Acceptance of the reimbursement does not waive the right to object. An objection requires further review in accordance with these rules.

Rule 3.442 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.443 Tentative Decisions

(A) Tentative Decisions will be issued by Fund Counsel. A Tentative Decision must be in writing, include a statement of the findings or reasons on which the decision is based, and be served in accordance with Rule 3.445.

(B) The parties have thirty days from the date of service to provide the Fund and the other party a written objection to the Tentative Decision. The objection must state the precise legal and/or factual grounds for the objection and be executed under penalty of perjury. The objection may include supporting documentation; a request for an oral hearing; or, in lieu of a request for an oral hearing additional declarations executed under penalty of perjury.10Code of Civil Procedure § 2015.5.

(C) In lieu of granting an oral hearing, the Commission may require that any facts alleged in an objection to a Tentative Decision be supported by one or more declarations under penalty of perjury.11Code of Civil Procedure § 2015.5.

(D) Notwithstanding the provisions of Rule 3.421 (A), supra, if the Fund receives no timely written objections, a Tentative Decision issued by Fund Counsel may be deemed a Final Decision.

Rule 3.443 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.444 Final Decisions

(A) In a matter where a timely written objection to a Tentative Decision is received, the Commission will issue a Final Decision after providing the parties an opportunity to submit objections, requests, or declarations in response to a Tentative Decision; requiring any additional investigation or conducting an oral hearing it deems necessary; and considering the record relevant to the application.

(B) A Final Decision issued by the Commission 

  1. must be in writing;
  2. may direct or deny reimbursement with or without prejudice;
  3. may establish any conditions for reimbursement deemed appropriate; and
  4. must be served in accordance with Rule 3.445.

(C) A Final Decision of the Commission constitutes the final action of the State Bar.

Rule 3.444 adopted effective January 1, 2010; amended effective May 17, 2019.

Rule 3.445 Service of decisions and Notice of Intention to Pay; Submission of objections

(A) Service of a Notice of Intention to Pay must be made by first-class mail or by electronic service as set forth below in subsections (F) through (J) to the attorney and any lawyer representing the attorney in connection with the application.

(B) Service of a Tentative Decision or a Final Decision must be made by first-class mail or by electronic service as set forth below in subsections (F) through (J) to the applicant,12Rule 3.440(C) requires an applicant to agree to promptly notify the State Bar of a change in address. the attorney, and any lawyer representing either party in connection with the application.

(C) A deceased attorney need not be served with a Tentative Decision or Final Decision. If a Tentative Decision is not served because the attorney is deceased, the time for objecting to the decision may be waived in writing by the applicant. Upon receipt of the waiver, the Tentative Decision may be deemed the Final Decision.

(D) An attorney and a lawyer representing either an attorney or an applicant must be served at the address of record or by electronic service as set forth below in subsections (F) through (J).

(E) An objection to a Notice of Intention to Pay or to a Tentative Decision may be made by first-class mail or by electronic service or electronic transmission to the Client Security Fund as set forth below in subsections (F) through (M).

(F) “Electronic service,” or “serve electronically,” means service of a document, on an applicant, attorney, or any lawyer representing either party, by electronic transmission. Electronic service may be performed directly by the Client Security Fund, a party or other person, by an agent of a party or other person, including the party or other person’s attorney, or through an electronic filing service provider. Prior consent of the party or other person to be served electronically is not required to serve documents as provided in these rules. Electronic service of a document is deemed complete at the time of the electronic transmission of the document.

(G) “Electronic transmission” means the transmission of a document by electronic means to an electronic service address. A document that is served electronically shall have the same legal effect as an original paper document.

(H) “Electronic service address” means an email address at or through which the party or other person is deemed to have authorized electronic service. The electronic service address, as set forth below, is deemed valid to a party or other person if the party or other person has not filed notice of a change of electronic service address with the Client Security Fund: 

  1. For attorneys, the email address provided to the State Bar to facilitate communications by the State Bar with attorneys pursuant to rule 9.9(a)(2) of the California Rules of Court, and
  2. For applicants, the email address provided to the Client Security Fund for communication, including service of documents.

(I) “Electronic signature” means an electronic sound, symbol, or process attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign a document or record created, generated, sent, communicated, received, or stored by electronic means. Electronic signature includes a copy of an original signature placed into the document by electronic means and includes a typographic signature that includes “/s/” followed by the signer’s name, e.g., “/s/ John Doe.” For purposes of these rules, a “digital signature” as defined in subdivision (d) of Section 16.5 of the Government Code is a type of electronic signature. A typewritten name created in a word processing program, regardless of the use of a cursive font, that is not preceded by “/s/” is not an electronic signature unless it otherwise complies with Government Code section 16.5.

(J) If a party does not have an electronic service address or communicates to the Client Security Fund in writing a request not to be served electronically, the Client Security Fund shall serve that party by mail at the party’s address of record or other address provided by that party.

(K) Notwithstanding any provision of law to the contrary, an electronic signature is deemed to be an original signature if either subdivision (L) or subdivision (M) applies.

(L) When a document to be filed or served requires the signature of any person, not under penalty of perjury, the document is deemed to have been signed by the person whose electronic signature is attached or logically associated with the document provided the document was served by the signer or a person acting at the signer’s direction.

(M) When a document to be filed or served electronically provides for a signature under penalty of perjury13See Rule 3.440(D) [application under penalty of perjury]; Rule 3.441(C) [declaration under penalty of perjury]; Rule 3.442(E) [objection to Notice of Intention to Pay]; and Rule 3.443(B) [objection to Tentative Decision]. of any person, the document is deemed to have been signed by the person whose electronic signature is attached or logically associated with the document if the document was served by the person or an agent of the person and either of the following conditions is satisfied:

  1. The declarant has signed the document using an electronic signature and declares under penalty of perjury under the laws of the state of California that the information submitted is true and correct. If the person serving the document is not declarant or declarant’s counsel, the electronic signature must be unique to the declarant, capable of verification, under the sole control of the declarant, and linked to data in such a manner that if the data are changed, theelectronic signature is invalidated; or
  2. The declarant, before serving the document, has physically signed a printed form of the document. The person serving the document represents, by the act of serving electronically, that the declarant has complied with this subdivision. The person serving the document electronically on a party, a party’s lawyer, or the Client Security Fund must maintain the printed form of the document bearing the original signature until final disposition of the case and make it available for review and copying upon the request of the Client Security Fund, Commission, or any party to the proceeding in which it is filed.

14 See Business & Professions Code § 6140.5(d).

Rule 3.445 adopted effective January 1, 2010; amended effective May 17, 2019; amended effective January 21, 2022. 

Article 4. Superior court review; repayment; collection 

Rule 3.450 Superior court review 

The Final Decision of the Commission to grant or deny reimbursement to an applicant may be reviewed in superior court pursuant to a request for review filed by the applicant or attorney in accordance with Code of Civil Procedure section 1094.5. The request must be filed no more than ninety days after the date the decision was served. Rule 3.450 adopted effective January 1, 2010. 

Rule 3.451 Repayment of reimbursement by attorney 

An attorney must repay the Fund for any reimbursement, with simple interest and an assessment of processing costs. The rate of interest, set forth in the Schedule of Charges and Deadlines, is adopted by the Board of Trustees upon the recommendation of the Commission and may not exceed the maximum legal rate. Processing costs are the estimated average processing costs for similar applications in the most recent calendar year for which data is available.14

Rule 3.451 adopted effective January 1, 2010; amended effective January 1, 2012.

Rule 3.452 Enforcement of State Bar rights 

The Office of General Counsel of the State Bar is authorized to collect assignments made by applicants reimbursed by the Client Security Fund and to enforce the State Bar’s rights as permitted by law. To effect collection of an assignment, General Counsel has discretion to disclose information about the application that would otherwise be confidential. 

Rule 3.452 adopted effective January 1, 2010. 

Rule 3.453 Payment Plans for Non-Disbarred and Non-Resigned Licensees Owing Reimbursements

15 Business and Professions Code § 6140.5 (a), (c), (d) and (e).

(A) A non-disbarred and non-resigned licensee whose actions have resulted in a reimbursement to an applicant from the Fund may submit a written request to the State Bar for a payment plan for any outstanding interest on such reimbursement if the following criteria are met:

  1. the reimbursement occurred on or before December 18, 2020;
  2. the payment plan request occurred prior to the licensee’s date of suspension for non- payment of reimbursement from the Fund;
  3. as of the date of the payment plan request, the licensee has paid to the State Bar the full amount of the reimbursement (Principal) and the related processing costs; and
  4. the outstanding interest owed to the State Bar is more than $1,000.

(B) The State Bar may enter into a payment plan prior to the Sunset Date (defined below)with any licensee who meets the criteria set forth in subdivision (A) of this rule.

(C) The payment plan will, at minimum, contain all the following terms and conditions, which the licensee requesting a payment plan must agree to:

  1. a maximum two (2) year term;
  2. equal yearly payments during the term of the payment plan;
  3. a waiver of all objections to and a release of claims regarding licensee’s obligation to pay the Fund for the reimbursement plus processing costs and interest;
  4. a timely yearly payment will be a condition of the licensee’s continued practice of law; and
  5. in the event of default, the entire balance of the payment plan plus any fees will be immediately due and payable, and the State Bar may, without notice to the licensee, exercise all available rights and remedies including recommending to the California Supreme Court that such licensee should be suspended for non-payment and undertaking collection efforts with respect to such balance amount.

(D) This rule shall remain in effect until October 31, 2023 (Sunset Date), and as of the Sunset Date is repealed, unless the Board of Trustees deletes or extends the Sunset Date. The Sunset Date does not affect the validity, enforceability, or the term of the payment plan.

Rule 3.453 adopted effective March 19, 2021.

Article 5. Records

Rule 3.460 Records shared with Chief Trial Counsel

(A) To assist with its investigation and consideration of an application, the Commission and its staff may access confidential records of the Office of Chief Trial Counsel regarding an attorney who is the subject of an application. The records remain confidential despite any such use.

(B) The State Bar Office of Chief Trial Counsel may have access to any Commission records related to an investigation or prosecution.

Rule 3.460 adopted effective January 1, 2010.

Rule 3.461 Public access to records and proceedings

(A) The following are confidential: applications for reimbursement from the Client Security Fund; hearings on applications; deliberations of the Commission; and any records created by staff with regard to an application or related investigation.

(B) If disciplinary charges related to the application have been filed against the attorney, the public may have access to the application; oral hearings the Commission grants to an applicant and attorney; Tentative and Final Decisions; and briefs or pleadings filed by any party to a Commission proceeding; but not to records created by staff with regard to an application or related investigation.

(C) In the interest of public protection, the following information regarding are imbursement is public record: the names of the applicant and respondent; the

(D) amount and date of the reimbursement; and whether disciplinary charges related to the application have been filed.

(E) Copies of public records are available for the fee set forth in the Schedule of Charges and Deadlines.

Rule 3.461 adopted effective January 1, 2010; amended effective May 17, 2019.

  1. Business & Professions Code § 6140.5.
  2. See Rule 3.431.
  3. See Rule 3.432.
  4. Rule 3.420(C).
  5. See Business & Professions Code § 6086.13; Rules of Procedure of the State Bar, Rule 5.137.
  6. Id.

  7. See Client Security Fund rules, Rules 3.420(B) and (C), 3.421(A), 3.430(D), and 3.435.

  8. See Rule 3.442.
  9. Code of Civil Procedure § 2015.5.
  10. Code of Civil Procedure § 2015.5.
  11. Code of Civil Procedure § 2015.5.
  12. Rule 3.440(C) requires an applicant to agree to promptly notify the State Bar of a change in address.
  13. See Rule 3.440(D) [application under penalty of perjury]; Rule 3.441(C) [declaration under penalty of perjury]; Rule 3.442(E) [objection to Notice of Intention to Pay]; and Rule 3.443(B) [objection to Tentative Decision].

  14. See Business & Professions Code § 6140.5(d).

  15. Business and Professions Code § 6140.5 (a), (c), (d) and (

Chapter 2. Fee Arbitration

Download PDF

Download Fee Arbitration Guidelines

Article 1. General Provisions

Rule 3.500 Scope

(A) As required and permitted by statute, the Board of Trustees of the State Bar has adopted these rules for the arbitration and mediation of disputes regarding attorney Fees.1

(B) In this chapter, unless context otherwise requires:

  1. “Appointments Committee” means the committee authorized to appoint Attorney Arbitrators and Lay Arbitrators to serve in the State Bar Fee Arbitration Program;
  2. “Assistant Presiding Arbitrator” means a person to whom the Presiding Arbitrator has delegated duties or who acts in place of the Presiding Arbitrator when they are not available;
  3. “Attorney Arbitrator” means an active licensee in good standing with the State Bar for at least five years or a retired judge who is an active licensee in good standing with the State Bar;
  4. “Award” means the decision of the arbitrator or arbitrators in a Fee Arbitration;
  5. “Client” means the person who directly or through an authorized representative obtains an attorney’s legal services;
  6. “Non-Client” means a person who is not the Client of an attorney but who may be liable for, or entitled to a refund of, the attorney’s Fees; references to “Client” also apply to “Non-Client”;
  7. “Declaration” means a document that is based on personal knowledge and signed under penalty of perjury and otherwise complies with the requirements of Code of Civil Procedure section 2015.5;
  8. “Fee Arbitration” and “Mandatory Fee Arbitration” means the State Bar Fee Arbitration Program governed by this chapter;
  9. “Fee Mediation” means the voluntary State Bar Fee Mediation program governed by article 5 of this chapter and article 13 of chapter 4 of division 3 of the Business and Professions Code;
  10. “Fees” means attorney fees, costs, or both;
  11. “Hearing” means a Fee Arbitration hearing conducted by the State Bar;
  12. “Lay Arbitrator” means a non-attorney who has not been admitted to practice law in any jurisdiction; who has never worked regularly for a court or a law practice of any kind as a paralegal, law clerk, or in any other capacity; or who has never attended law school;
  13. “Presiding Arbitrator” is the arbitrator appointed by the Board of Trustees to supervise the arbitrators in the State Bar’s Fee Arbitration program and to decide the matters indicated by these rules;
  14. “State Bar” includes the staff of the State Bar Fee Arbitration Program or its designee(s) contracted to administer the Fee Mediation program, as applicable in the context of the rule;
  15. “State Bar Fee Arbitration Program” means the arbitration program governed by this chapter and article 13 of chapter 4 of division 3 of the Business and Professions Code;
  16. “Trial” after non-binding arbitration means either an action in the court having jurisdiction over the amount in controversy or arbitration pursuant to the parties’ pre-existing arbitration agreement;
  17. “Received” means when a mailed Request for Arbitration is postmarked, or when a Request for Arbitration or other submission is received by the State Bar by mail or electronically.
  18. “Request for Arbitration” means the initiating submission made by a party requesting Fee Arbitration using the approved State Bar form and paying the appropriate filing fee as established by the State Bar;
  19. “Responsible Attorney” means the attorney determined by the arbitrator or mediator in a Fee Arbitration or Fee Mediation process to be personally responsible for paying a refund of previously paid Fees to a Client.

(C) Unless otherwise provided by rule or law, the Presiding Arbitrator may delegate their duties.

Rule 3.500 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

1Business & Professions Code §§ 6010, 6200-6206.

Rule 3.501 Right to arbitration of fee disputes

(A California law entitles a Client to arbitration of a dispute regarding an attorney’s Fees for legal services. If initiated by a Client, fee arbitration is mandatory for an attorney.2  Fee arbitration is voluntary for a Client unless the parties have agreed in writing to submit their fee disputes to mandatory fee arbitration.3

(B) An attorney must provide the Client with the State Bar-approved notice regarding a Client’s right to arbitrate Fees before or at the time of

  1. service of summons in a lawsuit against the Client for Fees; or
  2. commencing any other proceeding against the Client for Fees under a contract that provides for an alternative to mandatory fee arbitration.4 

(C) Failure to provide the required notice regarding a Client’s right to arbitrate Fees is grounds for dismissal of the lawsuit or other proceeding.5

(D) Where the existence of an attorney-Client relationship is in dispute, the parties may stipulate to submit the issue for determination by the State Bar.

Rule 3.501 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

2Business & Professions Code § 6200(c).
3Business & Professions Code § 6200(c).
4Business & Professions Code § 6201(a).
5Business & Professions Code § 6201(a).

Rule 3.502 Waiver of right to arbitration

(A) A Client's right to request or maintain Fee Arbitration is waived6  if 

  1. a complete Request for Arbitration has not been Received by the State Bar within thirty days of the Client’s receipt of the State Bar-approved notice regarding a Client’s right to arbitrate Fees;7
  2. the Client commences a legal action or files a pleading seeking either of the following:
    1. judicial resolution of a fee dispute subject to arbitration; or
    2. affirmative relief against an attorney for alleged malpractice or professional misconduct; or
  3. the Client receives the State Bar-approved notice regarding a Client’s right to arbitrate Fees but does either of the following before submitting a Request for Arbitration:
    1. answers or otherwise responds to a complaint filed in court by the attorney; or
    2. files a response in another proceeding regarding Fees initiated by the attorney.

(B) If the fee dispute is transferred to a different fee arbitration program after the Request for Arbitration is filed with the State Bar, the date that determines whether the request was made by the thirty-day deadline is one of the following:

  1. the date the request was Received by the State Bar; or
  2. the date ordered by the Presiding Arbitrator.

Rule 3.502 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

6Business & Professions Code § 6201.
7Business & Professions Code § 6201(a).

Rule 3.503 Exclusions

These rules do not apply to8

(A) claims for Fees that are determinable by statute or court order;

(B) claims made by a party requesting arbitration who is not liable for the Fees or entitled to a refund;

(C) claims for damages or other affirmative relief based on alleged malpractice or professional misconduct;

(D) claims for Fees where services were not rendered in California in any material part by an attorney who maintains no office in California, whether the attorney is admitted in California or only in another jurisdiction;9

(E) claims for Fees where the Client has assigned the claim; or

(F) claims between attorneys for division of Fees.

Rule 3.503 adopted effective July 1, 2013.

8Business & Professions Code § 6200(b).
9Business & Professions Code § 6200(b)(1).

Rule 3.504 Representation

A party to Fee Arbitration may be represented by an attorney at their expense.

Rule 3.504 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.505 Original jurisdiction

(A) A fee dispute will be arbitrated by a bar association in the county where the legal services were substantially performed or in the county where at least one attorney involved in the dispute had an office at the time the services were rendered.

(B) Fee Arbitration may be initiated and conducted by the State Bar if

  1. no local bar association program has jurisdiction;
  2. a party submits a Request for Arbitration that explains in a Declaration why the party cannot obtain a fair hearing before the local bar association and the Presiding Arbitrator determines there is good cause for the State Bar to arbitrate the dispute; or
  3. the local bar association that would normally arbitrate the matter demonstrates to the satisfaction of the State Bar that it has no jurisdiction or is otherwise unable to arbitrate the matter.

(C) The State Bar will waive original jurisdiction if a local bar association is willing to accept it, and the parties consent in writing to jurisdiction of the local bar association.

Rule 3.505 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.506 Removal jurisdiction

(A) A fee dispute within the jurisdiction of a local program may be removed to the State Bar when a party seeking removal establishes in a Declaration under penalty of perjury a factual basis for removal and the Presiding Arbitrator determines there is good cause for the State Bar to arbitrate the dispute.

(B) The State Bar serves notice of a request for State Bar jurisdiction on any other party identified in the request and on the local bar association that has jurisdiction. A written reply to the notice may be submitted to the State Bar. The reply must be Received at the State Bar within fifteen days of service of the request.

(C) The Presiding Arbitrator must deny a request for removal of a fee dispute within the jurisdiction of a local program if

  1. another party or the local program would be prejudiced by removal and such prejudice outweighs an allegation of inability to obtain a fair hearing;
  2. during the local fee arbitration proceedings the party requesting removal has acted in a manner inconsistent with the allegation of inability to obtain a fair hearing; or
  3. the party requesting removal has waived any claim of inability to obtain a fair hearing.

(D) A party requesting removal of jurisdiction must provide any additional information the State Bar requires by the deadline it specifies.

(E) The Presiding Arbitrator’s decision regarding a request for removal is final.

Rule 3.506 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.507 [REPEALED]

Rule 3.507 adopted effective July 1, 2013; repealed effective January 1, 2024.

Rule 3.508 Non-binding and binding Fee Arbitration

(A) Fee Arbitration is non-binding unless every party agrees in writing to binding Fee Arbitration. The written agreement must be made after the dispute arises and before the taking of evidence at the Hearing.10

(B) A non-binding Award becomes final and binding unless within thirty days of service of the Award a party requests a Trial.11

(C) A party who initiates a request for binding Fee Arbitration may submit a written election for non-binding Fee Arbitration instead if the respondent

  1. has not replied;
  2. has not agreed to binding Fee Arbitration in the reply; or
  3. has replied and agreed to binding Fee Arbitration, but sought to materially increase the amount in dispute, provided the election is sent to the State Bar within ten days of receipt of the reply.

(D) Parties who have agreed in writing to binding Fee Arbitration may change their election to non-binding Fee Arbitration, provided they all agree in writing before the taking of evidence.

Rule 3.508 adopted effective July 1, 2013; amended effective January 1, 2026

10Business & Professions Code § 6204(a).
11Business & Professions Code § 6203(b).

Rule 3.509 Consolidation

(A) A party may request consolidation of two or more Fee Arbitration matters for Hearing. The request must be in writing. The State Bar will serve a copy of the request on the other parties. A written reply to the request must be submitted to the State Bar within fifteen days of service. The decision of the Presiding Arbitrator regarding a request for consolidation is final.

(B) If an attorney is in arbitration with a Non-Client and the Client then files a Request for Arbitration of the same dispute, the Client is automatically joined to the Fee Arbitration, and the matters are consolidated absent a showing of good cause.

(C) Consolidation does not entitle a party to a refund or reduction of filing fees.

Rule 3.509 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.510 Withdrawal; dismissal

(A) A Client who has requested Fee Arbitration may withdraw from Fee Arbitration

  1. with the written consent of all parties if they have contractually agreed in writing to participate in an arbitration program subject to article 13 of chapter 4 of division 3 of the Business and Professions Code;
  2. with the written consent of all parties if the Fee Arbitration is binding and the matter has not been settled; or
  3. in all other cases, without the consent of other parties if withdrawal occurs before the taking of evidence.

(B) Fee Arbitration requested by an attorney may be dismissed only upon written agreement of each party.

(C) The State Bar or sole arbitrator or panel chair appointed by the State Bar must dismiss Fee Arbitration without prejudice when the parties confirm that the dispute has been settled.

Rule 3.510 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.511 Stay of proceeding12

(A) If an attorney or an attorney’s assignee initiates a legal proceeding in a court or other forum to collect Fees that are otherwise subject to arbitration under article 13 of chapter 4 of division 3 of the Business and Professions Code, the proceeding is automatically stayed by filing a Request for Arbitration. The court or other forum must immediately be notified of the request, on an appropriate form if applicable, and be provided with a copy of the request by

  1. the party requesting Fee Arbitration; or
  2. the plaintiff in a legal proceeding in which the party requesting Fee Arbitration has not appeared or is not subject to jurisdiction of the court or other forum.13 

(B) Upon request, the State Bar may provide a copy of the form to a party so that the party may complete and file the form.

Rule 3.511 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

12Business and Professions Code § 6201(b)-(d).
13Rule of Court 3.650.

Rule 3.512 Confidentiality

(A) A Request for Arbitration, a reply, a State Bar file, an exhibit, an Award, and any other record of a Fee Arbitration proceeding are confidential and may not be disclosed by the State Bar unless disclosure is required by court order.

(B) The Award is confidential except in a judicial challenge to, confirmation of, or enforcement of an Award.

(C) Use of any of the items set forth in rule 3.512(A) for disciplinary investigations or other State Bar proceedings does not violate the confidentiality required by these rules.14

(D) Arbitration of a Fee dispute between an attorney and Non-Client does not abrogate an attorney’s responsibility to exercise independent professional judgment on behalf of a Client or to protect the Client’s confidential information,15 unless the law requires it or the Client consents to allow the disclosure of confidential information for the purposes of the proceeding.

(E) A party’s statement of financial status is confidential and is not provided to an opposing party.

Rule 3.512 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

14Rule 3.546.
15Business & Professions Code § 6068(e); Rule of Professional Conduct 1.6.

Rule 3.513 Service; receipt; dates

(A) Unless these rules provide otherwise, service is by personal delivery or by mail pursuant to Code of Civil Procedure section 1013(a). If a party is represented by counsel, service is required only upon that party’s counsel, except for service of an Award, which is served on the party as well as on counsel.

(B) Service by mail is complete at the time of deposit in the United States mail or in a business facility used to collect and process correspondence for mailing with the United States Postal Service. The time for performing any act commences on the date service is complete and shall not be extended by reason of service by mail.

(C) A Client who is a party to a Fee Arbitration is served at the latest address provided to the State Bar. If a Client fails to advise the State Bar of their current address, the State Bar may close a Client Request for Arbitration or enforcement thirty days after learning that the address is not current.

(D) An attorney who is a party to a Fee Arbitration or who represents a party in a Fee Arbitration is served at the attorney’s address of record with the State Bar.16

(E) A filing or other communication submitted to the State Bar electronically is deemed to be Received on the date of receipt of the transmission. A Request for Arbitration submitted on a weekend or holiday will be deemed Received on the next business day.

(F) Electronic Service

  1. In addition to the methods of service provided for in section (A) of this rule, the parties to a Fee Arbitration presumptively consent to electronic service of documents upon each other pursuant to Code of Civil Procedure section 1010.6(a)(1)(A)-(C), unless they specify in writing that they do not consent.
  2. The parties to a Fee Arbitration presumptively consent to receive electronic service of documents at their designated electronic address from the State Bar in lieu of service by mail, unless they specify in writing that they do not consent.

Rule 3.513 adopted effective July 1, 2013; amended effective July 16, 2020; amended effective September 22, 2022; amended effective January 1, 2024; amended effective January 1, 2026.

16Rule 2.3.

Rule 3.514 Effect of time requirements

The failure of the State Bar or a sole arbitrator or panel appointed by the State Bar to comply with a time requirement of these rules does not by itself deprive the State Bar of jurisdiction, warrant dismissal of a Fee Arbitration, or provide grounds for invalidation or modification of an Award.

Rule 3.514 adopted effective July 1, 2013; amended effective January 1, 2026.

Article 2. State Bar Fee Arbitration Proceedings and Award 

Rule 3.530 Request for Arbitration

(A) When the State Bar has jurisdiction or accepts it in accordance with these rules, a Request for Arbitration may be filed by

  1. a Client; or
  2. an attorney claiming entitlement to Fees from a Client or a Non-Client.

(B) If an attorney requests arbitration, the arbitration may proceed only if the Client consents in writing on the approved form within thirty days of service of the request. Client consent is not required if the Client has previously consented in writing to arbitration of the Fee dispute through an arbitration program subject to article 13 of chapter 4 of division 3 of the Business and Professions Code , or the request is for removal of arbitration initiated by the Client.17

(C) A Client is entitled to appointment of an Attorney Arbitrator whose area of practice is civil law if the fee dispute relates to civil law, or criminal law if the dispute relates to criminal law.18 A Client must make the election in the Request for Arbitration or a reply to the Request for Arbitration.

(D) The State Bar must serve a notice of a Request for Arbitration and any supporting documentation on

  1. any attorney identified in the Request for Arbitration as a respondent, together with the Notice of Attorney Responsibility;
  2. a Client if a request submitted by a Non-Client has not been signed by the Client; and
  3. a Client if an attorney has requested Fee Arbitration and the Client has consented.

(E) A Client’s Request for Arbitration must be Received by the State Bar no later than thirty days from the date of the Client’s receipt of the notice regarding their right to arbitrate Fees.

(F) A Request for Arbitration may be amended up to fifteen days after its receipt by the State Bar. The State Bar may subsequently request clarification that requires amendment of the request. Later amendment by a party may be made only with the permission of the Presiding Arbitrator, or the sole arbitrator or panel chair if assigned. If an amendment increases the amount in dispute, the State Bar may request a corresponding increase in the filing fee from the requesting party.

Rule 3.530 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

17Rule 3.506.
18Business & Professions Code § 6200(e).

Rule 3.531 Reply to Request for Arbitration

(A) A respondent party may submit a reply to a Request for Arbitration to the State Bar within thirty days of service of the request. The State Bar will forward a copy of the reply to the requesting party.

(B) If the Request for Arbitration includes a request to participate in voluntary Fee Mediation and the respondent party, in their reply, agrees to participate, the matter will proceed to voluntary Fee Mediation under the rules set forth in article 5 of this chapter. If the respondent’s reply does not include an agreement to participate in voluntary Fee Mediation, the matter will continue to Mandatory Fee Arbitration under the rules set forth in this chapter.

Rule 3.531 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.532 Disputes below specified amounts

(A) If the amount in dispute is equal to or less than the minimum amount set forth in the Schedule of Charges and Deadlines, the parties are not entitled to a Hearing. Rather, the party requesting Fee Arbitration and any party replying to the request must each submit a complete written statement of the reasons for the dispute, with all supporting documents, written witness testimony, and citations to appropriate authority, if any. The Presiding Arbitrator may then require any party to submit additional information, evidence, and/or authority within thirty days of receipt of the reply to the Request for Arbitration or the deadline for its receipt.

(B) If the amount in dispute is within the range specified in the Schedule of Charges and Deadlines, the dispute will be decided in the manner described in section (A) unless a party to the dispute requests a Hearing. Parties are required to provide the written information and documents described, and within the deadlines referenced, in section (A) regardless of whether the matter is decided on the submission of documents or by a Hearing. Hearings provided under this section will be heard by the Presiding Arbitrator.

Rule 3.532 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.533 Denial of Request for Arbitration; reconsideration

If the State Bar believes, or a party asserts, that a Request for Arbitration is time barred or does not otherwise meet statutory requirements19,  the State Bar must notify the parties and provide them an opportunity to submit additional written evidence or authority in support of State Bar jurisdiction, or provide the initiating party an opportunity to submit new evidence in a written request for reconsideration. A request for reconsideration must be submitted within fifteen days of service of the notice. The request is decided by the Presiding Arbitrator, whose decision is final.

Rule 3.533 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

19Business & Professions Code §§ 6200-6206.

Rule 3.534 Fees; refund

(A) The party requesting Fee Arbitration must submit the filing fee set forth in the Schedule of Charges and Deadlines with the Request for Arbitration or when the State Bar accepts removal of jurisdiction in accordance with these rules.20

(B) Joining a party does not increase the filing fee.

(C)    If the fee dispute is settled, withdrawn, or dismissed, the filing fee will be refunded in accordance with the refund schedule applicable to Fee Arbitration as set forth in the Schedule of Charges and Deadlines.  

(D)    An Award may include an allocation of all or part of a filing fee among the parties.

(E)    The filing fee is the only administrative fee that may be charged for Fee Arbitration. The Hearing room, for either an in-person or remote Hearing by phone or video conference, must be provided without charge.

(F)    Each party is responsible for its own costs, such as those for interpreters and expert witnesses unless payment by the State Bar is otherwise required by law.

Rule 3.534 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

20Rule 3.506.

Rule 3.535 Waiver of filing fee

(A) A party requesting Fee Arbitration may request a waiver of the filing fee by completing and submitting the fee waiver form provided by the State Bar. The State Bar may require that the request submitted by a party be supported by a statement of financial status.

(B) A party’s request for a waiver of the filing fee may be granted, in whole or in part, for good cause, or denied. The fee waiver request is decided by the Presiding Arbitrator, whose decision is final.

Rule 3.535 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.536 Arbitrators

(A) Fee Arbitration must be conducted by a sole Attorney Arbitrator or by a panel of three arbitrators assigned by the State Bar. A panel of three arbitrators must be chaired by an Attorney Arbitrator and include a Lay Arbitrator.  If a three-member panel is assigned, the parties may stipulate to proceed with a sole Attorney Arbitrator conducting the Fee Arbitration.

(B) Whether the State Bar assigns a sole arbitrator or a panel of three arbitrators is determined by the amount in dispute as set forth in the Schedule of Charges and Deadlines.

(C) An Attorney Arbitrator must be a civil or criminal practitioner if a Client has elected such an appointment in the request and the dispute involves the same area of law.21

(D) A Notice of Appointment of Arbitrator must be served:

  1. within sixty days of receipt of a reply to the Request for Arbitration;
  2. within sixty days of the passage of the reply deadline if no reply was received; or
  3. in either case as soon as reasonably possible after the receipt of the reply or the reply deadline.

(E) Arbitrators may request compensation for a Hearing that extends beyond four hours. In order for an arbitrator to receive compensation, the parties must agree in writing prior to the taking of evidence that they will compensate the arbitrator. If this agreement is not timely entered into by the parties, then the arbitrator is not permitted to seek compensation for time beyond four hours. No compensation will be paid to arbitrators for services other than for formal Hearings extending beyond four hours. Compensation is hourly at the rate set forth in the Schedule of Charges and Deadlines and is paid equally by the parties. Any dispute regarding compensation is decided by the Presiding Arbitrator, whose decision is final. Regardless of whether there is or is not an agreement for compensation, the arbitrator retains the authority to control the total length of the proceedings in order to conduct a fair and thorough Hearing.

Rule 3.536 adopted effective July 1, 2013; amended effective January 25, 2019, amended effective September 19, 2019; amended effective January 1, 2026.

21Rule 3.530(C).

Rule 3.537 Disqualification or discharge of arbitrators

(A) A party may disqualify one arbitrator without cause. The State Bar must be notified of the disqualification within ten days of serving the Notice of Appointment of Arbitrator(s).

(B) A party is entitled to unlimited challenges of an arbitrator for cause.

(C) An arbitrator who believes they cannot render a fair and impartial decision or who believes there is an appearance that they cannot render a fair and impartial decision must disqualify themself or accede to a party’s challenge for cause. If the arbitrator believes there are insufficient grounds to accede to a challenge for cause, the Presiding Arbitrator decides the challenge. The decision is final.

(D) Neither a Presiding Arbitrator nor an Assistant Presiding Arbitrator may represent a party in a State Bar Fee Arbitration while serving in these roles.

(E) An arbitrator vacancy due to disqualification or inability to serve must be filled by the State Bar. If a panel member fails to appear at a Hearing, the parties may stipulate in writing that the Hearing may proceed with a single Attorney Arbitrator. In no event may Fee Arbitration proceed with only two arbitrators or a single non-Attorney Arbitrator.

(F) The Presiding Arbitrator may discharge an arbitrator or panel of arbitrators for unreasonable delay or for other good cause at any time up to the service of an Award.

Rule 3.537 adopted effective July 1, 2013; amended effective May 17, 2019; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.538 Contact with arbitrator

A party or a person acting on a party’s behalf may communicate with an arbitrator only

(A) in writing with a copy submitted to the State Bar and all other parties or their counsel;

(B) to schedule a Hearing;

(C) at a Hearing; or

(D) in an emergency.

Rule 3.538 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.539 Hearing procedures

(A) After service of the Notice of Appointment of Arbitrator(s), the Hearing will be scheduled to take place

  1. within forty-five days if a sole arbitrator has been assigned; or
  2. within ninety days if a panel has been assigned.

(B) The sole arbitrator or panel chair may request the parties’ input in scheduling the Hearing. If a Hearing date has not been mutually agreed upon by the parties and sole arbitrator or panel chair, as applicable, within 15 days after service of the Notice of Appointment of Arbitrator(s), the sole arbitrator or panel chair will set a Hearing date, at their sole discretion, within the applicable timeframes listed in section (A) of this rule.  

(C) Within fifteen days of assignment and at least fifteen days before the Hearing, the sole arbitrator or panel chair will serve a Notice of Hearing on each party and the State Bar. Appearance at the Hearing waives any claim of defective service of the notice.

(D) The date of a scheduled Hearing will be extended by fifteen days from the date a new arbitrator is assigned to replace an arbitrator who has been removed because of disqualification or challenge.22

(E) Upon stipulation or application to the assigned sole arbitrator or panel chair, the sole arbitrator or panel chair may continue a matter for good cause shown.

(F) Hearings will convene via a remote communications platform or by video or telephone conference unless the Presiding Arbitrator determines that good cause exists for an in-person Hearing.

Rule 3.539 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

22Rule 3.536.

Rule 3.540 Preparation for Hearing

(A) Discovery is not permitted except as provided by this rule.

(B) Nothing in these rules deprives a Client of the right to inspect and obtain the Client’s file kept by the attorney. A Non-Client does not have the right to inspect the Client’s or attorney’s file.

(C) Before a Hearing the parties

  1. are encouraged to agree to issues not in dispute and to voluntarily exchange documents;
  2. may be required by the sole arbitrator or panel chair to clarify issues, submit additional documentation, or exchange documents, and the sole arbitrator or panel may decline to admit into evidence any document a party was required to exchange but did not; and
  3. may request issuance of a subpoena in accordance with these rules.

(D) A party seeking to have a subpoena issued must submit to the State Bar a completed but unsigned subpoena form approved by the State Bar, with proof of service on all parties. Upon a showing of good cause, the Presiding Arbitrator, or panel chair if appointed, may issue a signed subpoena. The requesting party is responsible for service of the subpoena and any witness fees.

(E) At least ten days before the Hearing a party may submit a written request that the sole arbitrator or panel chair permit the party to

  1. waive personal appearance and submit testimony and exhibits by Declaration under penalty of perjury; or
  2. designate an attorney or non-attorney representative because of inability to attend the Hearing.

(F) The personal representative of a deceased party or the guardian or conservator of an incompetent party may represent the party.

Rule 3.540 adopted effective July 1, 2013; amended effective July 16, 2020; amended effective January 1, 2024; amended effective January 1, 2026.

Rule 3.541 Hearing

(A) Any relevant evidence is admissible at a Hearing if it is of the sort responsible persons customarily rely on in the conduct of serious affairs, regardless of any common law or statutory rule to the contrary.

(B) Evidence relating to claims of malpractice or professional misconduct is admissible only to the extent it affects the Fees to which the attorney is entitled.

(C) Testimony may be given under oath or affirmation administered by the assigned sole arbitrator or panel chair.

(D) The order of proof is determined by the sole arbitrator or panel chair.

(E) Upon a party’s request, the sole arbitrator or panel chair may permit

  1. a Client to be accompanied by another person, absent the objection of a party;
  2. a party or party’s witness to be assisted by an interpreter at the requesting party’s expense unless payment by the State Bar is otherwise required by law;
  3. the attendance of other persons, absent the objection of a party; and
  4. the attendance of witnesses during the Hearing, absent the objection of a party.

(F) A Hearing is closed to the public; recording of any kind is prohibited; and any participant or attendee is bound by the confidentiality requirements of these rules.23

Rule 3.541 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

23Rule 3.512.

Rule 3.542 Arbitration without a Hearing

The parties may stipulate that the sole arbitrator or panel decide all matters without a Hearing and base the decision on the request, the reply, and any other written material submitted by a party, which must be filed with the sole arbitrator or the panel and served on all other parties by the date ordered.

Rule 3.542 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.543 Failure to respond or participate

(A) If a party required to participate in Fee Arbitration fails to do so, the Fee Arbitration may proceed as scheduled and an Award will be made based on the evidence presented. The Award may include findings regarding the willfulness of a party’s failure to appear at the Hearing.

(B) A party who willfully fails to appear at a Hearing is not entitled to request a Trial after non-binding Fee Arbitration. That party has the burden of proving the non-appearance was not willful. The determination of willfulness is made by the court.24

Rule 3.543 adopted effective July 1, 2013; amended effective January 1, 2026.

24Business & Professions Code § 6204(a).

Rule 3.544 Award form and content; approval

(A) Following the Hearing, the original of the signed Award will be submitted to the State Bar by

  1. a sole arbitrator within fifteen days; or
  2. a panel chair within twenty-five days.

(B) The Award must be in writing in the format required by the State Bar and

  1. be signed by the sole arbitrator or at least two concurring panel members and include a dissent, if any, signed by the dissenting panel member;
  2. determine all questions submitted to the panel that are necessary to resolve the controversy;
  3. indicate whether it is binding or non-binding; and
  4. identify all Responsible Attorneys.

(C) The Award may

  1. include relevant findings of fact;
  2. state the circumstances regarding the willfulness of any party’s non-appearance;
  3. be a stipulated Award that incorporates by reference a written settlement agreement reached by the parties before or after assignment of a sole arbitrator or panel;
  4. include a refund of unearned Fees paid to an attorney; and
  5. allocate the filing fee.

(D) The Award may not

  1. include any Fees incurred in preparation for or in the course of the Fee Arbitration proceeding, notwithstanding any contract between the parties providing for such an award or Fees; or
  2. include damages, offset, or any other affirmative relief for malpractice or professional misconduct.

(E) An Award may be made in favor of a party who fails to appear at a Hearing if the evidence so warrants, but may not be made against the absent party solely because of the absence. If only one party appears at the Hearing, an Award may be made; the party who is present must submit any evidence the sole arbitrator or panel chair requires to support the Award. If no party appears or waiver of personal appearance has not been approved, the sole arbitrator or panel may issue an Award based on the evidence submitted.

(F) An Award is not final until the State Bar approves it for procedural compliance. The State Bar serves each party with a copy of the approved Award and the State Bar notice of a party’s post-arbitration rights.

(G) When an Award is issued in a binding Fee Arbitration, there can be no Trial on the issue of Fees, but for reasons set forth in statute25 a trial court may correct,26  vacate,27 or confirm28  a binding Award.

Rule 3.544 adopted effective July 1, 2013; amended effective January 1, 2026.

25Code of Civil Procedure §§ 1285-1287.6.
26Code of Civil Procedure § 1286.8.
27Code of Civil Procedure § 1286.2.
28Code of Civil Procedure § 1286.

Rule 3.545 Correction or amendment of Award

(A) An Award may be corrected or amended by the sole arbitrator or at least two concurring members of a panel. Correction is permitted only for an evident mistake in calculation or a description of a person, thing, or property, or for a defect of form not affecting the merits of the dispute.29 Amendment is permitted when an Award is inadvertently incomplete and amendment does not substantially prejudice the legitimate interests of a party. Unless requested by the arbitrator, no additional testimony or documentary evidence may be submitted.

  1. Any party may submit a written request that the State Bar correct an Award. The requesting party must submit the request to the State Bar with proof of service and serve a copy on each party within ten days after service of the Award. The State Bar must forward a copy of the party’s request to each arbitrator. Any correction or denial of the request will be made by the sole arbitrator or panel chair within thirty days of service of the Award.
  2. A written request to correct an Award does not extend the thirty-day deadline to request a Trial or arbitration after a non-binding Award has been issued.
  3. Any party may submit a written request that the State Bar amend an Award. The requesting party must submit the request to the State Bar with proof of service and serve a copy on any other party at any time prior to judicial confirmation of the Award.

(B) Any party may submit to the State Bar a written objection to a request for correction or amendment.

(C) The State Bar must serve all parties with a corrected or amended Award or denial of a request for correction or amendment.

Rule 3.545 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

29Code of Civil Procedure § 1286.6

Rule 3.546 Referral to Office of Chief Trial Counsel

The State Bar or a sole arbitrator or panel appointed by the State Bar may refer an attorney to the State Bar Office of Chief Trial Counsel for possible disciplinary investigation because of conduct disclosed in a Fee Arbitration proceeding. Such a disclosure does not violate the confidentiality that otherwise applies to the proceeding.

Rule 3.546 adopted effective July 1, 2013; amended effective January 1, 2026.

Article 3. Enforcement

Rule 3.560 Enforcement authority

(A) Upon request, as permitted by law, the State Bar may assist in enforcing a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation requiring the attorney to refund Fees previously paid to the attorney if the attorney has not timely complied with the terms of the final and binding  Award, judgment, stipulated Award, or agreement reached after Fee Mediation.

(B) Upon request, as permitted by law, the State Bar may assist in enforcing a final and binding arbitration award, judgment, stipulated award, or an agreement reached after a fee mediation resulting from a local bar association’s arbitration or mediation program. All rules pertaining to the State Bar’s enforcement of Awards, judgments, stipulated Awards, or Fee Mediation agreements resulting from the State Bar Fee Arbitration and Fee Mediation programs in this chapter also apply to the State Bar’s enforcement of arbitration awards, judgments, stipulated awards, and agreements reached after fee mediation resulting from a local bar association’s arbitration or mediation program.

Rule 3.560 adopted effective July 1, 2013; amended effective January 1, 2026.

Rule 3.561 Request for State Bar Enforcement

(A) A Client may submit a written request for enforcement no earlier than 100 days and no later than four years from the date of service of a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation.30 The request must be in writing on the State Bar Request for Enforcement form.31 The request may include any other party who was awarded or who is liable for a refund of attorney Fees. An Award is not enforceable by the State Bar if it refunds the Client only some or all of the Fee Arbitration filing fee and does not include a refund of attorney’s fees or costs.

(B) Before submitting a Request for State Bar Enforcement, a Client must make a reasonable effort to obtain payment, including at a minimum a written request to the attorney for payment. The State Bar may require proof of such an effort before accepting the request.

(C) The State Bar must serve the Request for State Bar Enforcement on the attorney.

(D) If a Client has filed a petition in a civil court to confirm the Award, the State Bar may abate enforcement until the court enters a judgment confirming the Award.

Rule 3.561 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

30Business & Professions Code § 6203(d)(2).
31Rule 1.24.

Rule 3.562 Attorney response to Request for State Bar Enforcement

(A) Within thirty days of service of a Request for State Bar Enforcement, an attorney must32

  1. provide the State Bar satisfactory proof of compliance with the Award, judgment, stipulated Award, or agreement reached after Fee Mediation;
  2. agree to a payment plan accepted by the State Bar or the Client; or
  3. establish inability to pay or lack of personal responsibility for payment in accordance with statutory requirements33 and the provisions of this rule.

(B) To establish inability to pay, an attorney must support a response to a Request for Enforcement with a completed Attorney’s Statement of Financial Status form signed under penalty of perjury. Any party may challenge the response, and the Presiding Arbitrator may require the parties to submit additional information.

(C) To establish lack of personal responsibility for payment, an attorney must state reasons for this belief in the response to the Client request for State Bar enforcement. The response may name another attorney or other attorneys as responsible for payment. The State Bar must serve each attorney named in the response with the Request for Enforcement and a copy of the attorney’s response. Any counter-response must be submitted within twenty days of service.

(D) After considering the request, the response, and supporting documentation, the Presiding Arbitrator must issue a final order. The final order may

  1. require compliance;
  2. terminate or abate enforcement because the attorney is unable to comply; or
  3. find that another attorney is responsible for payment.

Rule 3.562 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

32Business & Professions Code § 6203(d)(2).

33Professions Code § 6203(d)(2).

Rule 3.563 Payment plans

(A) If the attorney proposes to comply with the Award, judgment, or agreement reached after Fee Mediation by a payment plan, the State Bar shall promptly send the proposed plan to the Client.

(B) The Client may accept or reject a proposed payment plan. If the plan is rejected, the attorney must file a confidential Attorney’s Statement of Financial Status with the State Bar so that the Presiding Arbitrator may

  1. determine that the plan is reasonable and approve it;
  2. reject the plan; or
  3. specify amendments that would make the plan acceptable.

(C) The State Bar shall monitor approved payment plans for compliance. If a Client informs the State Bar that an attorney has failed to comply with the plan, the Presiding Arbitrator may request that the State Bar Court place the attorney on involuntary inactive status,34 unless the attorney provides proof that they

  1. are unable to pay;
  2. have fully refunded the Fees; or
  3. have received approval of a revised payment plan from the Client or the State Bar.

Rule 3.563 adopted effective July 1, 2013; amended effective January 1, 2024; amended effective January 1, 2026.

34Rule 3.565.

Rule 3.564 Administrative penalties; rescission or modification of penalties

(A) Prior to filing a motion in State Bar Court to enroll an attorney as involuntarily inactive, the Presiding Arbitrator may impose administrative penalties35 on an attorney who fails to

  1. comply with a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation that includes a refund of Fees paid to the attorney;
  2. submit a written response to a Client Request for Enforcement of an Arbitration Award; or
  3. cooperate with the State Bar after an initial response to a Request for Enforcement.

(B) An order for administrative penalties may not exceed twenty percent of the amount awarded or $1,000, whichever is greater. Such an order is final. Unpaid penalties are added to the annual license fees for the next calendar year.36

(C) In response to an attorney’s written request made within thirty days of service of an order for administrative penalties, the Presiding Arbitrator may modify or rescind an order for administrative penalties if all of the following conditions are met:

  1. the attorney has complied with the Award, judgment, stipulated Award, or agreement reached after Fee Mediation;
  2. the attorney was not served with the order for administrative penalties; and
  3. the attorney satisfactorily establishes in a Declaration under penalty of perjury that they promptly submitted a request that warranted modification or rescission of the penalties.

(D) Before deciding an attorney’s request to modify or rescind an order for administrative penalties, the Presiding Arbitrator may require the attorney to submit additional information or Declarations under penalty of perjury within a specified time. Failure to comply is grounds for dismissal of the request.

(E) The Presiding Arbitrator may rescind or modify an order imposing administrative penalties, but not if a request was made more than thirty days after service of the order.

(F) The Presiding Arbitrator’s decision to rescind or modify an order imposing penalties is final.

Rule 3.564 adopted effective July 1, 2013; amended effective January 25, 2019; amended effective January 1, 2024; amended effective January 1, 2026.

35See also Rule 3.565.

36Business & Professions Code § 6203(d)(3).

Rule 3.565 Inactive enrollment for noncompliance

The Presiding Arbitrator may move the State Bar Court to enroll an attorney involuntarily inactive37 for failure to

(A) refund Client fees as required by a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation;

(B) agree to or comply with a payment plan;

(C) prove an inability to comply with the terms of a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation; or

(D) prove lack of personal responsibility for compliance with the terms of a final and binding Award, judgment, stipulated Award, or agreement reached after Fee Mediation.

Rule 3.565 adopted effective July 1, 2013; amended effective January 1, 2026.

37Business & Professions Code §§ 6203(d)(1), 6066, and 6125 et seq.

Rule 3.566 Termination of enforcement

State Bar enforcement concludes upon submission of satisfactory proof of compliance with the Award, judgment, stipulated Award, or agreement reached after Fee Mediation. The State Bar will notify the parties that its enforcement efforts have ended.

Rule 3.566 adopted effective July 1, 2013; amended effective January 1, 2026.

Article 4. Appointment and Requirements of Arbitrators

Rule 3.580 Appointment of arbitrators 

(A) To administer the State Bar Fee Arbitration program, the Board of Trustees of the State Bar shall appoint a Presiding Arbitrator and Assistant Presiding Arbitrator(s) who shall serve for a term of four years and may be reappointed.

(B) All Attorney Arbitrators and Lay Arbitrators participating in the State Bar Fee Arbitration program shall be appointed by the Appointments Committee pursuant to the qualifications required by these rules.

(C) The Appointments Committee must be comprised of the Presiding Arbitrator and two State Bar staff members. The two State Bar staff members on the Appointments Committee must be appointed to, and may be removed from, the Appointments Committee by the Executive Director or their designee.

Rule 3.580 adopted effective November 18, 2022; amended effective January 1, 2026.

Rule 3.581 Arbitrator qualifications

(A) Presiding Arbitrators and Assistant Presiding Arbitrators shall meet all of the following qualifications:

  1. Be, and have been for at least five years an active licensee in good standing with the State
    Bar of California or be a retired judge who is an active licensee of the state of California;
  2. Not have a pending open investigation or disciplinary matter filed with the State Bar
    Court, any federal court or agency, or other state bar discipline authority. Conviction of a crime for any felony or misdemeanor required to be reported under Business and Professions Code section 6068(o)(5) may constitute grounds for rejection of the applicant. The imposition of any public discipline by the State Bar Court, or a federal court or agency or other state bar discipline authority authorized to impose comparable professional discipline against attorneys may also constitute grounds for rejection of an application;
  3. Have basic technological proficiency; and
  4. Have served as an arbitrator for a local bar or the State Bar program for a minimum of five    years.  
  5. In addition of meeting the above qualifications, the Board of Trustees shall consider all
    other relevant qualifications, including but not limited to, prior arbitration experience, quality of prior work, and demonstrated leadership with a local bar Fee Arbitration program.  

(B) Attorney Arbitrators shall meet all of the following qualifications:

  1. Be, and have been for at least five years an active licensee in good standing with the State Bar of California or be a retired judge who is an active licensee in good standing with the State Bar of California;
  2. Not have a pending open investigation or disciplinary matter filed with the State Bar Court, any federal court or agency, or other state bar discipline authority. Conviction of a crime for any felony or misdemeanor required to be reported under Business and Professions Code section 6068(o)(5) may constitute grounds for rejection of the applicant. The imposition of any public discipline by the State Bar Court, or a federal court or agency or other state bar discipline authority authorized to impose comparable professional discipline against attorneys may also constitute grounds for rejection of an application; and
  3. Have basic technological proficiency.

(C) Lay Arbitrators shall meet all of the following qualifications:

  1. Have never been an active or inactive licensee of the bar of any state or the District of
    Columbia;
  2. Have never worked regularly for a public or private law office or practice, court of law or
    attended law school for any period of time;
  3. Have never worked as a paralegal, law firm staff, or law clerk;
  4. Have never been convicted of a felony, or a misdemeanor involving dishonesty or other
    moral turpitude, or an attempt or a conspiracy or solicitation of another to commit a felony or a misdemeanor of any type; and
  5. Have basic technological proficiency

(D) The Board of Trustees and/or the Appointments Committee may consider, any additional relevant factors in connection with any decision to accept or exclude any applicant for appointment.

Rule 3.581 adopted effective November 18, 2022; amended effective January 1, 2026.

Rule 3.582 Requirements of arbitrators 

(A) During the term of service, all Attorney Arbitrators are required to report to the State Bar Fee Arbitration program the following:

  1. The existence of any open investigation or disciplinary complaint filed with the State Bar Court or imposition of public professional discipline by the State Bar of California or by any federal court or agency authorized to impose comparable professional discipline against attorneys.
  2. The existence of any criminal conviction of a felony or misdemeanor required to be reported under Business and Professions Code section 6068(o)(5).

(B) During the term of service, all Lay Arbitrators are required to report to the State Bar Fee Arbitration program the existence of any criminal conviction of a felony, or a misdemeanor involving dishonesty or other moral turpitude, or an attempt or a conspiracy or solicitation of another to commit a felony or a misdemeanor of any type.

(C) All arbitrators must affirmatively state every three years, on a form approved by the State Bar, that they still meet the minimum requirements.

(D) All arbitrators are required to complete training on conducting arbitrations within 60 days of appointment. Arbitrators may not conduct arbitrations prior to completion of this training. Thereafter, arbitrators must complete training every three years to maintain their appointment. Arbitrators may satisfy this ongoing training requirement through the completion or teaching of a State Bar or local bar sponsored fee arbitrator training course, serving in a leadership position for the State Bar or local bar association’s mandatory fee arbitration program, or current membership on the State Bar subentity responsible for drafting arbitration advisories. Fee Arbitration

(E) Failure to complete any of these requirements may be cause for removal.

Rule 3.582 adopted effective November 18, 2022; amended effective January 1, 2026.

Rule 3.583 Removal of arbitrators

(A) Arbitrators may be removed by the Appointments Committee or the Presiding Arbitrator for any of the following reasons:

  1. Failure to complete any of the requirements under these rules.
  2. Failure to maintain the minimum qualifications under these rules.
  3. Prolonged unavailability or lack of participation in arbitrations.
  4. Other good cause.

Rule 3.583 adopted effective November 18, 2022; amended effective January 1, 2026.

Article 5. Voluntary Fee Mediation

Rule 3.590 Establishment and purpose of a mediation program

(A) It is the policy of the Board of Trustees of the State Bar to promote the consensual resolution of attorney-client fee disputes and to avoid the unnecessary arbitration of these disputes. To effectuate this policy, the Board has established the voluntary Fee Mediation program governed by this article, which may be administered by the State Bar or an organization approved by the State Bar.

(B) Participation in Fee Mediation is voluntary. No party to any fee dispute will be required to engage in Fee Mediation through the voluntary Fee Mediation program, and any party may terminate the Fee Mediation at any stage.

Rule 3.590 adopted effective January 1, 2026.

Rule 3.591 Mediation filing fee and refund schedule

(A) For fee disputes filed directly with the State Bar, the cost of Fee Mediation is included in the Fee Arbitration filing fee as set forth in the Schedule of Charges and Deadlines and is due with the Request for Arbitration or when the State Bar accepts removal of jurisdiction in accordance with these rules.

(B) For all fee disputes that proceed to Fee Mediation, the filing fee must be refunded in accordance with the Fee Mediation refund schedule set forth in the Schedule of Charges and Deadlines.

Rule 3.591 adopted effective January 1, 2026.

Rule 3.592 Commencement of mediation; assignment of mediator; disqualification of mediator

(A) Fee Mediation will commence under this article only if all parties indicate on their respective Request for Arbitration and reply forms their consent to participate in Fee Mediation.

(B) The parties will be notified of the assignment of a mediator within fifteen days after receipt of the parties’ written agreement to enter into voluntary Fee Mediation.

(C) As part of the assignment process, the names of the parties and the nature of the fee dispute will be shared with prospective mediator(s). A mediator who believes they cannot be fair and impartial regarding the parties or the subject matter, or believes there is the perception that they cannot be fair and impartial regarding the parties or the subject matter, may not serve as the mediator in the fee dispute.

(D) Any party may challenge the assigned mediator for cause, in writing, within three days upon discovering the basis for such challenge. The State Bar will determine the validity of a for-cause challenge where it is disputed.

(E) Upon the withdrawal or disqualification of the mediator, the matter will be reassigned and the parties will be notified of the new mediator within five days.

Rule 3.592 adopted effective January 1, 2026.

Rule 3.593 Mediator compensation

(A) The Fee Arbitration filing fee paid to the State Bar is the only administrative fee that may be charged for Fee Mediation. The Fee Arbitration filing fee includes and permits voluntary participation in Fee Mediation.

(B) The first four hours of the mediator’s services, which must occur in a single continuous session, are provided without any additional fee to the parties. Mediators may request compensation for a session that extends beyond four hours. In order for a mediator to receive compensation, the parties must agree in writing that they will compensate the mediator. If this agreement is not entered into by the parties, then the mediator is not permitted to seek or receive compensation for time spent in Fee Mediation beyond four hours.

(C) Upon written agreement of the parties and concurrence of the mediator, one additional session of up to four hours in length may be scheduled. If an agreement for an additional mediation session is not reached within five days of the conclusion of the initial session, the mediator will not hold a subsequent session and the matter will proceed to Fee Arbitration. If the agreement for an additional Fee Mediation session does not address the mediator’s compensation, the mediator is not permitted to seek or receive compensation for the additional Fee Mediation session.  

(D) No compensation will be paid to mediators for services other than for time spent in a mediation session, as described in sections (B) and (C). Compensation is hourly at the rate set forth in the Schedule of Charges and Deadlines and must be paid equally by the parties. Any dispute regarding compensation is decided by the State Bar, and that decision is final.

(E) Regardless of whether there is or is not an agreement for compensation, the mediator retains the authority to control the total length of the session in order to conduct a fair and thorough Fee Mediation.

(F) If the mediator is requesting compensation under rule 3.593(B) but the parties do not agree in writing to compensate the mediator for a session exceeding four hours, the mediator may decline to hold a subsequent and/or longer session after four hours and the matter will proceed to Fee Arbitration.

Rule 3.593 adopted effective January 1, 2026.

Rule 3.594 Mediation session date; continuance

(A) The mediator must schedule a Fee Mediation date to take place within thirty days of the date of the notice of mediator assignment. If the Fee Mediation cannot proceed within thirty days of the assignment, absent written approval by the State Bar, the matter will proceed to Mandatory Fee Arbitration.

(B) The mediator must promptly send to the State Bar and to the parties a Notice of Mediation, which must include the following:

  1. the location, date, and time of the Fee Mediation session; and
  2. a statement that the attorney attending the Fee Mediation session is the purported Responsible Attorney.

(C) A party may ask the mediator for a continuance of the Fee Mediation session date. The mediator may grant a continuance only on a showing of good cause, and only for the time shown to be necessary. If the other party objects to the continuance request:

  1. the mediator will decline the request; and
  2. the requesting party may either attend the Fee Mediation session on the scheduled date or inform the mediator and other party that they will proceed directly to Mandatory Fee Arbitration without first mediating the dispute.

(D) The mediator must promptly notify the State Bar in writing of any continuance of the Fee Mediation session date or of the parties’ election to proceed with Mandatory Fee Arbitration in lieu of Fee Mediation.

Rule 3.594 adopted effective January 1, 2026.

Rule 3.595 Fee mediation session

(A) At least fifteen days before the scheduled Fee Mediation session, the attorney who provided the legal services giving rise to the Fees in dispute must provide copies of all detailed billing records relating to the fee dispute to the mediator and the other party. The parties may, by agreement, exchange other documents containing information relevant to the fee dispute. Either party may provide both the mediator and the other party with a brief written statement outlining any information not contained in the Request for Arbitration. All documents provided under this article must be provided in the manner designated by the State Bar. The mediator may request any other additional documents they believe are relevant and necessary to mediate the fee dispute and may adjust the deadline to produce any document producible under this rule at their discretion.

(B) The Fee Mediation session will be scheduled for four hours. One additional session is  permitted as necessary, subject to rule 3.593.

(C) The parties and their attorney(s), if any, and the mediator must attend the Fee Mediation session(s). The mediator has the discretion to determine if other persons may attend the Fee Mediation session(s).

(D) Nothing in this article prevents the mediator from meeting or communicating with the parties or their attorney(s) separately during the Fee Mediation session(s). The mediator will conduct all Fee Mediation session(s) by phone or videoconference.

(E) If a party fails to attend the Fee Mediation session(s), the mediator must either reschedule, with the consent of the party present,  the Fee Mediation or terminate the Fee Mediation. If the Fee Mediation is terminated, the fee dispute will proceed to Mandatory Fee Arbitration as governed by the rules of this chapter. The mediator must report any such action taken to the State Bar.

Rule 3.595 adopted effective January 1, 2026.

Rule 3.596 Fee mediation resolution; written settlement agreement; failure to resolve

(A) If the parties resolve their fee dispute and wish to have the ability to enforce the terms of their settlement agreement under this chapter:

  1. all terms of the agreement must be immediately memorialized in writing, on a form provided by the State Bar, at the conclusion of the Fee Mediation;
  2. all parties must consent to the terms of the agreement;
  3. all parties must sign the agreement;
  4. all parties must receive a copy of the signed agreement; and
  5. the agreement must include the name of the Responsible Attorney(s), even if a law firm will make the refund.

(B) The mediator may not draft any release or provide legal advice concerning the agreement.

(C) The mediator must promptly notify the State Bar in writing that the fee dispute is resolved and file the original of the parties’ agreement with the State Bar. If the mediated agreement is not filed with the State Bar within 5 days of the conclusion of the final Fee Mediation session, the fee dispute will proceed to Mandatory Fee Arbitration under this chapter. If timely informed of the successful resolution by the mediator, the State Bar will serve each party with a copy of the mediated agreement and the State Bar notice of a party’s post-mediation rights.

(D) If the parties cannot resolve the dispute through Fee Mediation, the mediator must notify the State Bar in writing within five days of the conclusion of the final Fee Mediation session, and the fee dispute will proceed to Mandatory Fee Arbitration under this chapter. The mediator may not serve as the arbitrator.

Rule 3.596 adopted effective January 1, 2026.

Rule 3.597 Confidentiality

(A) Unless disclosure is otherwise required by law or this rule, the following shall remain confidential and not subject to disclosure:

  1. All communications, negotiations, and settlement discussions made during the Fee Mediation process;
  2. Any evidence, admission, or writings made, produced, or disclosed during the Fee Mediation process; and
  3. Anything deemed confidential or not subject to disclosure under chapter 2 of division 9 of the California Evidence Code.

(B) Any written agreement reached through the Fee Mediation process is disclosable for the purpose of enforcement of the settlement agreement itself under article 3 of this chapter.

(C) Evidence otherwise admissible or subject to discovery outside of a Fee Mediation shall not be or become inadmissible or protected from disclosure solely by reason of its introduction or use in a Fee Mediation.

(D) Unless otherwise required by law, the mediator, State Bar staff, and its designees may not testify in any civil judicial or quasi-judicial proceeding, including Mandatory Fee Arbitration, as to any statements made at or in connection with the Fee Mediation.

Rule 3.597 adopted effective January 1, 2026.

Rule 3.598 Qualifications of mediators

(A) The State Bar will maintain a roster of mediators who meet the qualifications established by the State Bar.

(B) By agreeing to serve as a mediator for the State Bar, the mediator agrees to abide by the State Bar of California’s Fee Arbitration and Fee Mediation rules set forth in this chapter, and any other requirements that may be set forth by the State Bar.

Rule 3.598 adopted effective January 1, 2026.

Division 5. Providers of Program and Services

Chapter 1. Providers of Continuing Legal Education

Download PDF

Article 1. Global provisions

Rule 3.600 Definitions

(A) An “MCLE activity” is minimum continuing legal education that is accredited by the State Bar as meeting standards for MCLE credit1

(B) An “LSMCLE” activity is legal specialty minimum continuing legal education that is accredited by the State Bar as meeting the standards for LSMCLE and MCLE credit as set forth in rule 3.114.

(C) A “provider” is an individual or entity approved by the State Bar to grant MCLE or LSMCLE credit for MCLE or LSMCLE activity.

(D) A “Single Activity Provider” is a provider approved to grant credit for a single MCLE activity after applying for and receiving approval of the activity in accordance with State Bar procedures and paying the appropriate fee(s).

(E) A “Multiple Activity Provider” is a provider approved to grant credit for any MCLE activity after applying for and receiving approval for Multiple Activity Provider status in accordance with State Bar procedures and paying the appropriate fee(s).

(F) A “Legal Specialty Credit Provider” is approved to grant credit for a single LSMCLE activity designed to attain and maintain proficiency in a specialty area of law or is an approved Multiple Activity Provider in a specialty area of law as set forth in rule 3.114.

(G) “MCLE credit” is the number of credit hours that a licensee may claim to meet the requirements of these rules.

(H) A “credit hour” is sixty minutes actually spent in an MCLE activity A credit hour is reported to the nearest quarter hour in decimals, and includes time for introductory and concluding remarks and for questions and answers. Time spent in breaks or lunch periods, and participating in any nonlegal education functions, including networking, business meetings, tours, or demonstrations is not activity that may be applied to a credit hour or receive MCLE credit.

(I) A “participatory activity” is an MCLE or LSMCLE activity that qualifies for participatory MCLE or LSMCLE credit and for which the provider must verify attendance. Participatory activities may be presented in person or delivered by electronic means.

(J) A “self‐study activity” is any MCLE activity identified in Rule 2.83. Self‐study activities may be presented in person or delivered by electronic means.

Rule 3.601 Standards for MCLE activity approval

To be eligible for MCLE accreditation, an MCLE activity must meet State Bar standards.

(A) General MCLE activity must relate to legal subjects directly relevant to licensees of the State Bar and have current significant educational professional, or practical content, with an objective to increase each participant’s professional competency as an attorney. Activities designed for non-attorney participants will not be approved for general MCLE credit. MCLE activities that may be eligible for general MCLE credit include those that provide education or practical instructions in: 

  1. The practice of law;

  2. Litigation;

  3. Management of a solo law practice;

  4. Management of a law firm or corporate legal department;

  5. The management of client trust accounts;

  6. Law firm finances;

  7. Attorney-client communications;

  8. Case management;

  9. Effective calendaring;

  10. The avoidance of malpractice; or

  11. Opportunities to participate in pro bono legal services.

(B) Legal ethics MCLE activity must focus on attorneys' professional responsibility, including education on and citation to the California Rules of Professional Conduct and the State Bar Act, and related authorities such as the professional conduct rules of a tribunal. Activities that focus on the ethics of business, corporate or government affairs, or society, in general, do not qualify for MCLE credit.

(C) Recognition and elimination of bias MCLE activity must focus on education in the recognition and elimination of impermissible bias in the courtroom and law offices; attorney-client relationships and relationships with other attorneys; legal and nonlegal employment and workplaces, including hiring, managing, and terminating employees; and in housing, including accommodations and services. Courses required by Government Code section 12950.1 also qualify for recognition and elimination of bias credit.

(D) Implicit bias and the promotion of bias-reducing strategies MCLE activity must meet the requirements of Business and Professions Code section 6070.5 and must focus on implicit bias and the promotion of bias-reducing strategies to address how unintended biases regarding race, ethnicity, gender identity, sexual orientation, socioeconomic status, or other characteristics undermine confidence in the legal system.

(E) Prevention and detection competence MCLE activity must consist of education that relates to the prevention and detection of substances use disorders, mental illness, and other mental or physical issues that impair an attorney’s ability to perform legal services with competence.

(F) Wellness competence MCLE activity may include physical and mental wellness and well-being or stress management so long as the activity addresses these topics in the context of the practice of law and the impact these issues can have on an attorney’s ability to perform legal services with competence.

(G) Technology MCLE activity must consist of education that addresses technology in the practice of law. This includes education on technology tools, programs, or applications to assist attorneys in their law practice. Credit will not be awarded for course content consisting of marketing of a technology product or service. Examples of courses that would qualify for this credit include:

  1. Cybersecurity, privacy, and data protection;

  2. Use of technology to create, receive, transmit, store, analyze, or delete client documents or client information;

  3. Law practice management technology tools, including technology for virtual appearances before a tribunal;

  4. Use of applications to assist attorneys in advising clients, including artificial intelligence technology; and

  5. Electronic discovery.

(H) Civility MCLE activity must consist of education that addresses civility in the legal profession. This includes education that discusses the link between civility and bias, incivility that is directed at opposing parties or counsel, and incivility aimed at the judiciary.

(I) Legal Specialist MCLE activity must provide high-quality legal education in one or more of the areas of the law eligible for LSMCLE credit as set forth in Title 3, Division 2, Chapter 2 of the State Bar Rules.

(J) A presenter or presenters of an MCLE activity must have significant professional or academic experience related to its content.

(K) Any information regarding an approved MCLE activity, including all promotional materials, must state that the activity is approved for California MCLE credit, specify the amount of credit hours offered, and indicate whether any of the credit may be claimed for required MCLE in legal ethics, recognition and elimination of bias, implicit bias, prevention and detection competence, wellness competence, technology in the practice of law, civility in the legal profession, or legal specialization.

(L) If an MCLE activity is submitted for accreditation, but the provider has not received a determination on approval of the activity, any information regarding the proposed MCLE activity, including all promotional materials, must state that an application for California MCLE credit is pending approval.

(M) If an MCLE activity is not approved, the provider must promptly provide written notice of the State Bar’s denial to any registrant seeking California MCLE credit for the course or program.

(N) If an MCLE activity lasts one hour or more, the provider must provide participants with substantive written materials relevant to the MCLE activity either before or during the activity. Any materials provided online must remain online for at least thirty (30) calendar days following the MCLE activity.

Rule 3.602 Responsibilities of every provider

Every provider must:

(A) Comply with any State Bar rules, standards, and terms applicable to an approved MCLE activity;

(B) For MCLE that is offered as participatory activity, take attendance using the State Bar’s Record of Attendance form or its equivalent and retain the form for four years from the date of the MCLE activity The form must include the following:

  1. title of the MCLE activity;

  2. date of the MCLE activity;

  3. total hours awarded, including any credit hours or partial credit hours awarded for legal ethics, recognition and elimination of bias, prevention and detection competence, wellness competence, technology in the practice of law, civility in the legal profession, or legal specialization as a component of the activity; and

  4. the name and State Bar number of each California licensee.

(C) Provide the State Bar of California with electronic attendance records for any MCLE participatory activity in a form acceptable to the State Bar of California within 60 days of completion of the activity.

(D) Provide participants who have met the requirements of a participatory activity with a Certificate of Attendance or provide participants who have met the requirement of a self-study activity with a Certificate of Completion. Certificates may be issued in written or electronic form. Each certificate must include the following: 

  1. provider name;

  2. title of the MCLE activity;

  3. date the MCLE activity;

  4. total hours awarded, including any credit hours awarded for legal ethics, recognition and elimination of bias, implicit bias, prevention and detection competence, wellness competence, technology in the practice of law, civility in the legal profession, or legal specialization as a component of the topic of the activity;

  5. whether the activity is participatory or self-study; and

  6. name and license number of the California licensee, if available. This section may be left blank by the provider for completion by the licensee.

(E) Provide each participant who completes an MCLE activity a State Bar MCLE Activity Evaluation Form or its equivalent, retain the completed form for at least one year, and submit it to the State Bar upon request.

(F) Notify the State Bar in writing of any change -to the provider’s name, address, contact person, or other contact information required by the State Bar including those of its affiliates, within thirty (30) days of the effective date of the change.

3.603 State Bar MCLE activity auditors

A State Bar MCLE Activity Auditor is a State Bar staff member, Board of Trustees member, California Board of Legal Specialization member, or other person designated by the State Bar to conduct an audit of an MCLE activity on behalf of the State Bar for the purpose of evaluating compliance by providers with these rules and to inform determinations regarding suspension or revocation of provider approval or status under rule 3.604. A State Bar MCLE Activity Auditor may not have a business, financial or personal relationship with or oversight responsibility for the provider of the MCLE activity being audited. A State Bar MCLE Activity Auditor may audit the MCLE activity at no cost. Such attendance shall not qualify for MCLE credit.

Rule 3.604 Suspension or revocation of provider approval

The State Bar may suspend or revoke a provider’s approval for failure to comply with these rules or a State Bar determination of the following:

(A) Failure of the content of the course, the program materials, the quality of the MCLE activity or activities, or the provider’s performance to meet the standards set forth in these rules;

(B) Misuse of a Record of Attendance, Certificate of Attendance, activity evaluation form, or any other form given to a provider by the State Bar;

(C) Failure to pay appropriate processing fees, late filing fees, or any other applicable fees; and

(D) Substantiated complaint(s) documented against the provider or against an activity offered by the provider.

Rule 3.605 Complaints about Providers

The State Bar does not intervene in disputes between a provider and an attendee or potential attendee, but complaints the State Bar receives regarding a provider are considered in assessing the provider’s compliance with these rules.

Rule 3.606 MCLE providers

(A) Providers of MCLE or LSMCLE are categorized as either Single Activity or Multiple Activity Providers. Single Activity Providers are approved providers permitted to hold and grant MCLE or LSMCLE credit for a single MCLE or LSMCLE activity for a period of two years from the date of the activity, provided that no substantive changes are made to the program.

(B) Multiple Activity Providers are approved providers authorized to hold and grant MCLE credit for any MCLE or LSMCLE activity that complies with these rules without having to submit separate applications to request approval for each program.

Rule 3.607 Applying for Single Activity Provider status

(A) To be considered for Single Activity Provider status, a provider must:

  1. Apply using the State Bar’s Single Activity Provider application form for each activity the provider plans to provide;

  2. Submit the completed form in the manner prescribed by the State Bar, the appropriate processing fee, and the required supporting materials no less than sixty (60) days prior to the date for which the course or activity is scheduled;

  3. Submit a separate application for each activity that is offered as part of an on-demand, multiday or multitrack, subscription based, bundled activity, or multiple sessions within a bundled activity.

Incomplete applications or applications that do not include the required supporting materials or the appropriate processing fee will not be considered for approval.

(B) A Single Activity Provider application that requests retroactive approval of an activity is subject to late fees as set forth in the State Bar’s Schedule of Fees. Retroactive approval may only be granted for an activity occurring within the past two years.

Rule 3.608 Applying for Multiple Activity Provider status

(A) To be considered for Multiple Activity Provider status, a provider must:

  1. Within a two-year period prior to submitting an application for Multiple Activity Provider status, receive State Bar approval for six different MCLE activities that are different and not repeat presentations of the same activity and held on six different dates; 

  2. Apply using the State Bar’s Multiple Activity Provider application; and

  3. Submit the completed application in the manner prescribed by the State Bar, the appropriate processing fee, and the required supporting materials for the six activities described in subparagraph (A)(1).

Incomplete applications or applications that do not include the required supporting materials or the appropriate processing fee will not be considered for approval.

(B) Any activity that is held prior to approval of Multiple Activity Provider status must be submitted for Single Activity Provider approval under rule 3.607.

Rule 3.609 Renewing Multiple Activity Provider status

(A) To be eligible for renewal of up to two years, a Multiple Activity Provider must:

  1. Apply for renewal using the State Bar’s Multiple Activity Provider renewal application;

  2. Submit evidence that it has offered six different MCLE activities that meet the requirements of these rules within the two years preceding its application for renewal;

  3. Submit the completed application in the manner prescribed by the State Bar, the required supporting materials for the six activities, and the appropriate processing fee on or before the deadline set by the State Bar;

  4. Certify that all self-study activities offered have been reviewed within the 12 months preceding an application for renewal, and that all self-study activities continue to meet the requirements of rule 3.601; and

  5. Submit any complaints it may have received regarding compliance with these rules.

Incomplete applications or applications that do not include the required supporting materials or the appropriate processing fee will not be considered for approval.

(B) A Multiple Activity Provider renewal application that is received after the renewal deadline set by the State Bar is subject to late fees as set forth in the State Bar’s Schedule of Fees. A Multiple Activity Provider renewal application that is received two years or more after the renewal deadline set by the State Bar is ineligible for renewal under this rule. A Multiple Activity Provider who fails to renew their status within the two-year timeframe must submit any MCLE or LSMCLE activity offered during that timeframe for retroactive approval under rule 3.607.

Rule 3.610 Applying for Legal Specialty Provider Status

(A) The State Bar certifies attorneys as specialists in certain areas of law. Certified specialists must take and report LSMCLE specific to the area(s) of their specialty, in addition to MCLE credit to maintain their certification. The State Bar may accredit specialty education as meeting the standards for LSMCLE activity. LSMCLE activity may also qualify as approved MCLE activity for legal ethics, recognition and elimination of bias, implicit bias, prevention and detection competence, wellness competence, technology in the practice of law, or civility in the profession.

(B) A provider intending to offer LSMCLE must be approved by the State Bar as a Multiple Activity Provider in a specialty area of law in the manner set forth in rule 3.608 or must file an application for Single Activity Provider status for a single education activity designed to attain or maintain proficiency in a specialty area of law in the manner set forth in rule 3.607. A separate Multiple Activity Provider Application is required for each specialty area.

(C) Any requirements for an MCLE activity as set forth in these rules apply to an LSMCLE activity(2).

1 Business & Professions Code § 6070 (b) provides that programs offered by the California District Attorneys Association and the California Public Defenders Association are deemed to be approved MCLE.

2 See State Bar Rule 3.114. 

Chapter 2. Legal Services Trust Fund Program

Download PDF

Article 1. Administration of the Legal Services Trust Fund Program 

Rule 3.660 Legal Services Trust Fund Commission

The Board of Trustees of the State Bar of California has established a Legal Services Trust Fund Commission (Commission) to administer, in accordance with legal requirements and these rules (Trust Fund Requirements), revenue from IOLTA (Interest on Lawyers’ Trust Accounts) and other funds remitted to the Legal Services Trust Fund Program of the State Bar.

Rule 3.660 adopted effective March 6, 2009; amended effective January 1, 2012.

Rule 3.661 Duties of the Legal Services Trust Fund Commission

(A) The Commission must determine an applicant’s eligibility for grants and notify each grant applicant that its application has been approved or denied. If the Commission tentatively approves an application, it issues a notice of the grant award, including the tentative allocation. If the notice requires submission of additional information, theCommission considers the application incomplete pending receipt of the information.

(B) The Commission must monitor and evaluate a recipient’s compliance with Trust Fund Requirements and grant terms. The evaluation may be based on

  1. application information, grant reports, and additional information reasonably necessary to determine compliance with Trust Fund Requirements;

  2. reasonable site visits scheduled upon adequate notice;

  3. an evaluation of a recipient by an impartial third party designated and funded by the Commission; or

  4. information from other sources, such as an evaluation provided by the Legal Services Corporation or other funding entity.

(C) Once staff makes an initial finding of noncompliance, staff will provide written notice of the finding to the recipient either through a monitoring visit report or other correspondence.

  1. For noncompliance issues identified during a monitoring visit, grant recipients shall have 60 days from the date specified on the notice to respond to the monitoring visit report with additional information and/or a corrective action plan to resolve the finding(s). Failure to respond timely may result in an additional finding of noncompliance or further action pursuant to Rule 3.661(C)(7).

  2. For noncompliance issues identified outside of a monitoring visit, staff will provide written notice to the recipient and request a response within a reasonable period of time. The response time shall not be less than ten business days except in extraordinary circumstances, such as a contractual obligation or a Commission meeting. Failure to respond timely may result in an additional finding of noncompliance or further action pursuant to Rule 3.661(C)(7).

  3. Staff will review any response provided and make a determination whether the issue(s) has been resolved. If the issue(s) is resolved, no further action is needed, and the recipient will be notified. Staff will notify the Commission of significant noncompliance issues that are resolved through this process. If the noncompliance issue(s) is not resolved, then staff may take the following additional steps:

    1. Informing and/or meeting with the grant recipient’s Board of Directors;

    2. Requiring additional reporting and/or monitoring; and/or

    3. Requiring the grant recipient to obtain technical and/or management assistance. 

  4. If the noncompliance issue(s) cannot be or is not resolved through staff action as set forth in Rule 3.661(C)(3), grant recipients will be notified that the matter will be referred to the Commission for further action pursuant to Rule 3.661(C)(7). The matter will be addressed at the next Commission meeting, provided it is practicable.

  5. Grant recipients will be provided the date and time of the Commission meeting(s) where the issue(s) will be reviewed and will allow the recipient to submit written or oral comments pursuant to the State Bar public comment process.

  6. The Commission will make the final determination whether the recipient is in compliance with the Trust Fund Requirements and grant terms.

  7. If the Commission determines the recipient is not in compliance with the Trust Fund Requirements or grant terms, the Commission may require additional action that may include one or more of the following:

    1. Making grant disbursements as reimbursements instead of advanced payments;

    2. Converting grant payments from annual or quarterly payments to monthly payments;

    3. Requiring the grant recipient to return funds not spent in accordance with its approved budget;

    4. Requiring revision(s) to expenditure report(s) due to impermissible use of funds;

    5. Suspending the grant;

    6. Initiating suspension of the grant recipient;

    7. Imposing any consequences provided by applicable federal law and regulations for federal grants;

    8. Terminating a grant for noncompliance or taking other action in accordance with Article 4 or this chapter; and/or

    9. Other action the Commission determines as appropriate.

If the State Bar has reason to suspect a grant recipient has engaged in fraud or other serious violations of law, staff will directly inform the relevant committee or the Commission and may notify law enforcement as appropriate. Additionally, egregious concerns about fraud may result in immediate withholding of payment. 

(D) The most recent version of the Standards for the Provision of Civil Legal Aid adopted by the American Bar Association’s House of Delegates, as limited by the general introduction to the standards, are the guidelines used by the Commission in approving the quality control procedures and reviewing and evaluating the maintenance of quality service and professional standards of applicant and recipient programs. With due notice, the Commission may also rely on other standards that are consistent with law and generally accepted access to justice principles in the legal aid community.

Rule 3.661 adopted effective March 6, 2009; amended effective November 16, 2023; amended effective November 21, 2025.

Rule 3.662 Legal Services Trust Fund Commission membership and terms

The Commission consists of 21 voting members and three nonvoting judicial advisors. At least two members must be or have been within five years of appointment indigent persons as defined by statute(1). No employee or independent contractor acting as a consultant to a potential recipient of Trust Fund grants may be appointed to the Commission.

(A) The Board of Trustees appoints 14 voting members, 10 of whom must be licensees of the State Bar and four of whom must be public members who have never been admitted to the practice of law in any United States jurisdiction. Each member serves at the pleasure of the Board for a term of four years. The Board may extend a term by an additional year to allow a member to serve as chair or vice‐chair.

(B) The chair of the Judicial Council appoints seven voting members, five of whom must be licensees of the State Bar and two of whom must be public members, as well as three nonvoting judges, one of whom must be an appellate justice. Each member serves at the pleasure of the chair of the Judicial Council for a term of three years.

(C) The Board of Trustees appoints voting members as chair and vice‐chair.

Rule 3.662 adopted effective March 6, 2009; amended effective January 1, 2012; amended effective September 14, 2014; amended effective January 25, 2019.; amended effective May 13, 2021.

Article 2. Construction of certain statutory provisions 

Rule 3.670 Operation in California by qualified entities

(A) A qualified legal services project is required by statute to be a nonprofit corporation operating exclusively in California or a program operated exclusively in California by a nonprofit law school accredited by the State Bar(2). A qualified legal services project that is a California nonprofit corporation with operations outside California may be considered as meeting the statutory requirement if it otherwise meets Trust Fund Requirements and expends Trust Fund Program grant funds only in California.

  1. Law school clinical programs must provide copies of their or their host institution’s Articles of Incorporation and determination letters from theInternal Revenue Service and the State Franchise Tax Board to evidence their nonprofit status.

(B) A qualified support center is required by statute to be an incorporated nonprofit legal services center that provides through an office in California a significant level of legal support services to qualified legal services projects on a statewide basis(3).

Rule 3.670 adopted effective March 6, 2009; amended effective November 16, 2023.

Rule 3.671 Primary purpose and function

(A) A qualified legal services project is required by statute to have as its primary purpose and function providing legal services without charge to indigent persons(4). A qualified legal services project applying for Trust Fund Program funds is presumed to have such a purpose and function if 75 percent or more of its expenditures for the most recent reporting year were incurred for providing free civil legal services to indigent persons.The calculation of 75 percent of expenditures may include a reasonable share of administrative and overhead expenses.

(B) A qualified support center is required by statute to have as its primary purpose and function the provision of legal training, legal technical assistance, or advocacy support without charge(5). A qualified support center applying for funds is presumed to have such a primary purpose and function if 75 percent or more of its budget for the fiscal year for which it is seeking funds is designated to provide such support services, and 75 percent or more of its expenditures for the most recent reporting year were incurred for such services.

(C) A qualified legal services project or qualified support center that does not meet the 75 percent test may nevertheless apply, provided that the applicant can satisfactorily demonstrate that it meets the primary purpose and function requirement by other means.

Rule 3.671 adopted effective March 6, 2009; amended effective July 1, 2023.

Rule 3.672 Delivery of civil legal services

(A) “Civil” refers to legal issues, questions, or processes that arise under any body of civil law. The provision of legal assistance with respect to criminal proceedings is not civil legal services. Proceedings concerning expungements, record sealing or clearance proceedings not requiring a finding of factual innocence, or infractions are not criminal proceedings, and legal services related thereto are civil legal services. Legal services related to collateral civil issues such as public access, disability accommodations, and language access that arise during criminal proceedings are not legal assistance with respect to criminal proceedings, provided the civil issues do not directly affect determination of guilt, sentencing, or other disposition of the criminal proceeding.

(B) “Legal services” means work that uses legal knowledge and skills to create, advance, protect, or enforce the legal rights of clients or communities. This encompasses legal representation and non‐representational services for individuals and groups. Examples of non‐representational services include providing legal information, advice, trainings, and self‐help resources. Non‐representational services can also include studying legal needs and outcomes to inform legal aid delivery, investigating legal violations, and advocating directly to government bodies on issues of importance to the legal rights of clients or communities. Representation and non‐representational services must be performed or supervised by an attorney. “Legal services” may also include complementary services provided they advance a legal outcome and serve as an integral part of an attorney’s strategy in a legal matter or case, and the attorney directs the work in that matter or case. Complementary services and other services by attorneys must uphold the attorney‐client relationship and avoid interfering with the attorney carrying out their obligations to the client(6).

(C) “Legal support services” required by statute to be provided by a qualified support center include but are not limited to

  1. professional services to qualified legal services projects; and

  2. the direct provision of civil legal services to an indigent client of a qualified legal services project, provided the services are provided directly to the client

    1. as co‐counsel with an attorney employed or recruited by a qualified legal services project; or 

    2. at the request of an attorney employed or recruited by a qualified legal services project that is unable to assist the client(7).

Rule 3.672 adopted effective March 6, 2009; amended effective January 25, 2019; amended effective July 1, 2023.

Rule 3.673 Permissible uses of funds

(A) A qualified legal services project or qualified support center must use funds received under Business and Professions Code section 6216 to provide legal assistance to indigent persons or qualified legal services projects as defined by statute(8). Reasonable administrative expenditures and overhead required to deliver such services meet the statutory requirement. For law school clinical programs, clinical classes in which only clinic students can enroll, and in which clinic participation is an expectation of the class, and which advance the clinic’s provision of civil legal services to indigent persons pursuant to Business and Professions Code section 6218(a) are assumed to qualify.

(B) No recipient may use an allocation made under Business and Professions Code section6216 to provide services in a fee‐generating case, except as described in Business andProfessions Code section 6213(e)(1)‐(4). If a recipient determines that a case is not fee generating because it qualifies for a statutory exemption,(9) the recipient must maintain records reflecting the facts that led to that conclusion and any action taken to confirm it. Client reimbursements of nominal costs or expenses are not considered fees. If attorney fees are generated in cases funded by Trust Fund Program grants, the fees must be used only free civil legal services to indigent clients in California(10). Recipients must maintain complete records of all such fees. Recipients must certify, with their annual IOLTA/EAF application, that any fee generating case which received IOLTA/EAF funds is exempt.

(C) Except as described in Business and Professions Code section 6213(e)(1)‐(4), a fee‐generating case means any case or matter which, if undertaken on behalf of an eligible client by an attorney in private practice, reasonably may be expected to result in a fee for legal services from an award to a client.

Rule 3.673 adopted effective March 6, 2009; amended effective November 16, 2023.

Rule 3.674 Income and indigent persons

(A) “Income” means income as defined in section 1611.2(i) of Title 45 of the Code of FederalRegulations. If an applicant for services identifies as having a disability, income eligibility is calculated only after deducting the costs of medical and other related special expenses, and in the case of veterans with a service‐related disability, any disability compensation from the United States Veterans Administration.

(B) Any of the following are considered “indigent persons”

  1. Persons whose income is 200 percent or less of the current poverty threshold established by the United States Office of Management and Budget; 

  2. Persons eligible for Supplemental Security Income; 

  3. Persons who are 60 years of age or older; 

  4. Persons who identify as having a developmental disability as defined in section 15002 of Title 42 of the United States Code.

(C) All legal services projects may use the definition of indigent persons as described Rule3.674(B) to establish eligibility as a qualified legal services project and to calculate their expenditures on free civil legal services for indigent persons. Only qualified legal services projects that the Legal Services Trust Fund Commission has deemed eligible for a pro bono allocation under Business and Professions Code section 6216(b)(1)(B) may use the definition of “indigent person” available “to a project that provides free services of attorneys in private practice without compensation” under Business and Professions Code section 6213(d).

(D) Pursuant to Business and Professions Code section 6218, qualified legal services projects shall establish financial eligibility guidelines consistent with this rule and other applicable law and regulations. Such guidelines may include provisions allowing qualified legal services projects to disregard income—or make income exceptions—in certain extenuating circumstances, including, but not limited to, the income of resident household members where intimate partner violence has occurred. The Legal Services Trust Fund Commission may reject such eligibility guidelines if it determines they are inconsistent with Business and Professions Code sections 6218(a) or 6213(d).

(E) Civil legal services provided by legal services projects to organizational clients will be considered services to “indigent persons” if the services provided to the organizational client will primarily benefit persons who are indigent under Business and Professions Code section 6213(d). Factors to be considered in determining whether the organizational client provides services primarily to indigent persons include, but are not limited to

  1. whether the organization is a tax‐exempt nonprofit corporation; 

  2. the organization’s primary purpose as stated in its articles of incorporation or by‐ laws;

  3. the number and percentage of indigent persons on the board of directors or principal advisory body of the organization; and

  4. the percentage of the organizational client’s members who are indigent persons.

(F) A legal services project providing civil legal services for the benefit of a group or class of persons beyond the legal services project’s individual or organizational clients may consider the services as civil legal services provided to indigent persons only if the legal matter is primarily for the benefit of indigent persons or disproportionately impacts indigent persons.

  1. If a legal services project provided services to a group or class of persons in the prior year, the legal services project must complete a report describing the 10activities that received the most support, as determined by the staff hours spent on each activity, limited to activities that met or exceeded 50 hours, unless the Legal Services Trust Fund Commission establishes a different reporting requirement. This report will be submitted for Legal Services Trust Fund Commission review as part of the application process under Rule 3.680.

  2. If a legal services project must complete a report under Rule 3.674(F)(1), it should demonstrate through objective information that a majority of persons impacted by the activity are indigent. A legal services project may meet this requirement by providing quantitative data based on independent research, internal organizational data, or data provided by other legal service providers or community organizations in the area where the legal services project operates, to demonstrate that a majority of those impacted by the activity are indigent.

  3. If a legal services project cannot demonstrate that a majority of those impacted by the activity are indigent, it must demonstrate that the activity has a disproportionate impact on indigent persons based on the nature of the activity and the specific anticipated outcomes for indigent persons if the activity succeeds. It must use independent research, its own internal data, or data from other legal service providers or community‐based organizations to demonstrate a nexus between the legal issue addressed through the activity and the identified needs of the legal services project’s client constituency.

Rule 3.674 adopted effective July 1, 2023.

Article 3. Applications and distributions

Rule 3.680 Application for Trust Fund Program grants

To be considered for a Trust Fund Program grant, a qualified legal services project or qualified support center seeking a Trust Fund Program grant must submit a timely and complete application for funding in the manner prescribed by the Commission. The applicant must agree to use any grant in accordance with grant terms and legal requirements.

(A) A qualified legal services project must meet statutory criteria.

  1. A law school clinical program must demonstrate that it meets all of the following criteria: an identifiable and dedicated location designed to provide civil legal services to indigent Californians; dedicated staffing (whether full‐ or part‐time) whose job duties exclusively serve the law school clinical program; a clinical director (regardless of title) with authority over operations and staffing of non‐faculty positions; segregation of fiscal records and activities (including, but not limited to, the ability to provide audited confirmation of clinic expenditures); and proof of institutional oversight such as by identifying specific position(s) and/or mechanisms.

  2. A law school clinical program must demonstrate it has been in operation for at least two years as of the date on which its application is due. Law school clinical programs may provide a combination of audited financial statements and schedules, budgets, staff lists, class rosters, clinic enrollment records, or functional equivalent.

  3. Law school clinical programs may include funds received from parent or affiliate entities and organizations towards the $20,000 or more in cash funds per year from other sources as required by Business and Professions Code section 6214(b)(1).

(B) A qualified support center must agree to offer support services in two or more of the following ways: consultation, representation, information services, and training. The board of directors of the support center must establish priorities for providing such services after consulting with legal services attorneys and other relevant stakeholders.

(C) A support center not in existence prior to December 31, 1980 must demonstrate that it is deemed to be of special need by a majority of qualified legal services projects in accordance with Trust Fund Program procedures. Upon request, the Commission must make available to the applicant a list of all the names and addresses of qualified legal services projects.

(D) A nonprofit corporation that believes it meets the criteria for a qualified legal services project and qualified support center may submit two applications, one as a project and one as a support center, indicating in each application whether it is to be considered the primary or secondary application. The Commission will consider the secondary application only if the primary application is not approved. No applicant may receive a grant as a qualified legal services project and as a qualified support center.

(E) An application must include

  1. an audited financial statement by an independent certified public accountant for the fiscal year that concluded during the prior calendar year. A financial review by an independent certified public accountant in lieu of an audited financial statement may be submitted by an applicant whose gross corporate expenditures, excluding in‐kind donated services, were less than the amount specified in the Schedule of Charges and Deadlines. Law school clinical programs may submit audited financial statements for the clinic or law school, provided the latter include a schedule for the clinical program showing its revenues and expenditures;

    1. State Bar staff will review all audited financial statements and financial review findings. For serious findings, such as grant recipients not accurately reflecting expenditures by activity, findings of fraud, or repeat findings from prior audits, staff shall take the following steps:

      1. send a letter to the grant recipient’s governing body requesting the current status of the finding, and if the finding is not resolved, require a corrective action plan; and

      2. notify the Commission. 

    2. The Commission may require additional corrective action and/or oversight of the grantee’s fiscal and governance functions, including:

      1. requiring an Eligibility Review Conference, or

      2. taking other action(s) the Commission deems appropriate, such as requiring additional monitoring or proceeding with the denial or termination process outlined in Rule 3.691.

  2. information about the maintenance of quality service and professional standards and how the applicant maintains standards, such as internal quality control and review procedures; experience and educational requirements of attorneys and paralegals; supervisory structure, procedures, and responsibilities; job descriptions and current salaries for all filled and unfilled professional and management positions; and fiscal controls and procedures.

  3. the total corporate expenditures for the fiscal year that concluded during the prior calendar year, which must be itemized on the application. The expenditures reported must match those reported on the audited financial statement or financial review. The following types of expenditures, defined below, shall be excluded from the total corporate expenditures: 

    1. In-kind/donated goods and services: contributed goods and services recognized and recorded at the fair market value, as verified by audited financial statement.

    2. Unrealized loss: a decline in the value of an asset that has not yet been sold, as verified by audited financial statement. 

    3. Direct assistance funds: restricted funds that require the applicant to distribute the funds to individuals directly. These funds are not available for general use by the applicant.

    4. Fiscal sponsorship funds: funds that an applicant provided under a fiscal sponsorship agreement where the applicant is providing funding to a sub-recipient that is an entity unable to receive the funds directly.

    5. Required Sub-Grants: restricted funds that require the applicant to distribute the funds to sub-grantee(s). These funds are not available for general use by the applicant. 

      Supporting documentation verifying the restrictions and the amount of funds for direct assistance funds, fiscal sponsorship funds, and/or required sub-grants must be provided. The administration costs related to direct assistance, fiscal sponsorships, and required sub-grants that are for nonqualifying activities must be tracked and reported as nonqualifying expenditures.  

  4. the applicant’s qualified expenditures. To determine the qualified expenditures of the applicant, if applying for funding as a qualified legal service project, applicants must report expenditures that were not for providing free civil legal services to indigent persons. If applying as a qualified support center, applicants must report expenditures that were not related to the provision of legal training, legal technical assistance, or advocacy support without charge. These expenses will be deducted from the total corporate expenditures. Applicants must have a reasonable and verifiable method for tracking and reporting expenditures that must be deducted.

    Unless otherwise provided in these rules or statute, when calculating their total qualified expenditures for the purpose of determining IOLTA grant awards, qualified legal services projects shall include qualifying expenditures that were made with funds from all sources, including all State Bar grants and funds received from other qualified legal service projects. An organization applying for funding as a qualified legal services project that pays funds to another organization may count such funds as qualified expenditures if the organization receiving the funds spends them on providing free civil legal services to indigent persons in a county for which the applicant is applying for an allocation.

    The following expenditures must be reported and deducted from the total corporate expenditures: 

    1. administrative expenditures, including expenditures incurred:

      1. related to subleasing and or managing rental properties.

      2. related to fundraising that are for nonqualifying activities.

      3. related to the administration of fiscal sponsorship, and direct assistance funds.

      4. related to the administration of sub grants for nonqualifying activities.

      5. related to legal settlements or judgments based upon nonqualifying activities or employees who do not perform qualifying work.

      6. for other administrative activities that support nonqualifying work.

    2. Expenditures related to fee generating activity(ies), including:

      1. Expenditures incurred providing fee-for-service or sliding scale legal services, excluding a $20 administrative charged to indigent individuals.

      2. Expenditures incurred providing services on a fee generating cases that do not meet the statutory exception.

      3. Support Center expenditures incurred providing legal training, legal technical assistance, or advocacy support services to qualified legal service projects for a fee or reimbursement.

      4. Qualified legal service project expenditures incurred providing legal training, legal technical assistance, or advocacy support services that are not related to the provision of free civil legal services.

      5. Support Center expenditures incurred providing publications or resource material to qualified legal services projects for a fee.

      6. Expenditures incurred for other fee generating activities that support nonqualifying work.

    3. For qualified legal services projects, expenditures related to nonqualifying program activity(ies), including expenditures incurred:

      1. providing services to clients who do not meet the indigency standard;

      2. providing criminal legal services;

      3. providing services outside the State of California; and

      4. providing other services that do not meet the civil legal services standard.

    4. For support centers, expenditures related to nonqualifying program activity(ies), including expenditures incurred:

      1. providing direct legal service work that does not meet the statutory exemption; and

      2. providing other services that do not meet the legal training, legal technical assistance, or advocacy support services standard. 

  5. all qualified expenditures by county if the applicant is applying for funding as a qualified legal service project. If the applicant serves more than one county, it must explain the basis of the by-county allocation.  The allocation must be reasonably related to the geographic distribution of the indigent persons who will benefit from the services. In allocating total expenditures among counties, an applicant must use a method that is reasonably related to the actual expenditure of funds on indigent persons in any given county and explain the basis of the allocation. The allocation methodology and source data used for the allocation must be reviewed and updated by the applicant at least annually.

    1. In evaluating the reasonableness of such allocations, the Commission may consider the following factors and any others that aid in making that determination: 

      1. numbers of clients served who reside in each county; 

      2. number of cases handled in each county;

      3. actual or estimated hours of service provided in each county, or provided to clients who reside in each county;

      4. actual expenses of providing service to clients in each county, including both personnel and non-personnel expenses; 

      5. statistics that establish the geographic distribution by county of persons who will benefit from the services provided;

      6. the forum in which the matter is being pursued, e.g., courts, administrative agency, legislature, etc.;  

      7. in the case of a class action, the definition of the class contained in the complaint and proposed or actual class certification orders; and

      8. a description of the group of individuals that would benefit from a favorable resolution of the legal matter.   

  6. a budget and budget narrative, which must be submitted within thirty days of receipt of a notice of tentative allocation, explaining how funds will be used to provide civil legal services to indigent persons, especially underserved client groups such as, the elderly, the disabled, juveniles, and speaking persons within the applicant’s service area; and

  7. information about program activities, such as substantive practice areas, extent and complexity of services, a summary of litigation, and populations served.

(F) State Bar staff may accept application materials, except for audited financial statements or financial reviews, which are addressed in Appendix A of these Rules, submitted up tonne business day after the posted deadline. The Commission or a committee of its members may accept, accept with conditions, or reject application materials that are submitted beyond one business day after the posted deadline or that are submitted up to one business day after the posted deadline but not accepted by State Bar staff. Factors that the Commission or committee may consider when determining whether to accept a late application include, but are not limited to

  1. how late after the deadline the submission was received;

  2. the completeness of the submission;

  3. the reasonableness of the applicant’s explanation for the delay;

  4. any mitigating factors that the applicant provides to the committee; and

  5. the number of late application or reporting submissions made by the applicant in the preceding three years.

(G) Qualified legal services projects and support centers may apply for competitive discretionary grants if they meet threshold eligibility requirements for those funding opportunities. A scoring rubric will be utilized to aid in the review and evaluation of competitive discretionary grant applications. The scoring rubric should, absent an explanation from the Legal Services Trust Fund Commission, consist of the general selection criteria: Impact, Administration, and Evaluation, as well as other grant‐specific criteria. Selection criteria, point allocations, and implementation of the scoring rubric will be at the discretion of the Legal Services Trust Fund Commission.

(H) The following rules apply to new and returning applicants seeking the additional pro bono

  1. Providing objective evidence demonstrating that the number of hours of free legal services provided by recruited pro bono attorneys in the prior calendar year exceeded the number of hours of legal services provided by attorneys employed by the applicant.

  2. Providing a narrative description and explanation of the applicant’s program demonstrating its recruitment of substantial numbers of pro bono attorneys to provide free civil legal services to indigent persons or qualified legal services projects in California and that pro bono is its principal means of delivering these legal services.

    1. Substantial numbers shall be demonstrated through a description of the following factors: 

      1. The number of pro bono attorneys recruited;

      2. The number of pro bono attorneys recruited compared to the number of attorneys on staff;

      3. The percentage of attorneys in your local service area that donated services through your project;

      4. The verified value of donated civil legal services in comparison to your expenditures and budget;

      5. The number of hours donated by each attorney compared to number of paid attorney hours;

      6. The number of attorneys in your area who have special expertise needed to provide the services your project offers; and

      7. Other considerations that may affect the availability of pro bono attorneys in your service area.

    2. Pro bono as principal means of delivering legal services shall be demonstrated through a description of each of the following factors:

      1. Pro bono recruitment and retention strategy;

      2. Training curriculum;

      3. Type and number of volunteer opportunities available; 

      4. Service delivery model that requires volunteers;

      5. Supervision and scope of support for volunteers; and 

      6. Data demonstrating quantifiable commitment to pro bono as the principal means of delivery, such as percent or number of pro bono cases compared to cases by attorneys on staff, a substantial combined number of total pro bono attorney and non‐attorney volunteer hours, or other relevant datapoints.

(I) For purposes of determining whether an applicant has demonstrated the recruitment of substantial numbers of pro bono attorneys and pro bono as its principal means of delivering legal services,

  1. "recruited” means either a newly recruited attorney or returning pro bono attorney who is continuing to engage in providing pro bono services;

  2. attorneys can be considered pro bono attorneys even though they work for government agencies, corporations, or in non‐legal occupations so long as they are not employees of the applicant;

  3. attorneys can be considered to serve without compensation even when they are-reimbursed for out‐of‐pocket expenses, whether by the client, the applicant, or other sources;

  4. non‐attorney volunteers may include paralegals, interpreters, legal assistants, social workers, undergraduate students, law students, intake volunteers, and other volunteers so long as their work is supervised by an attorney and the work of the volunteer contributes to the delivery of free legal services to the indigent;

  5. law student hours count toward volunteer non‐attorney hours regardless of whether law students receive academic credit, a stipend, or compensation, so long as they are not being paid an equivalent amount and doing equivalent work as a paid employee; and

  6. legal fellows are law graduates or licensed attorneys who have temporary and/or time bound employment and are typically compensated by a third party; legal fellow hours count toward staff attorney hours unless legal fellows are current law students and/or participating in the Legal Services Trust Fund Commission Legal Aid Leaders Fellowship grant program.

Rule 3.680 adopted effective March 6, 2009; amended effective January 25, 2019; amended effective July 1, 2023; amended effective November 16, 2023; amended effective July 18, 2024; amended effective November 21, 2025.

Rule 3.681 Duties of Trust Fund Program grant recipient

The recipient of a Trust Fund Program grant must

(A) use the grant in accordance with the terms of the grant agreement and Trust Fund Requirements; Grant funds may be used only for allowable costs of the activities for which the Grant was awarded, in the county for which it was awarded (if the Grant is county-specific); 

(B) ensure adequate governance and oversight that complies with applicable laws, regulations, and ordinances, including the Americans with Disabilities Act. This includes maintaining: 

  1. requisite business, legal, and financial registrations and licenses;

  2. fidelity insurance policies;

  3. adherence to the organization’s articles of incorporation and bylaws;

  4. policies and procedures regarding privacy, including technology and data security; 

  5. policies and procedures regarding workplace safety; 

  6. policies and procedures regarding prevention of workplace harassment and discrimination; 

  7. policies and procedures regarding prevention and mitigation of conflicts of interests; and 

  8. policies and procedures regarding reporting mechanisms for, and the protection of, whistleblowers; 

(C) ensure service provision and appropriate client protections, including: 

  1. qualified staff; 

  2. staff and volunteer supervision; 

  3. case opening and closing oversight;
  4. training for staff and volunteers;
  5. oversight of work assignments to ensure appropriate workloads;
  6. work quality review;
  7. case management system and recordkeeping;
  8. client eligibility screening;
  9. procedures for client grievance and appeals;
  10. procedures for providing all legally mandated trainings; and
  11. policies and procedures for conflicts of interest, disclosure, and waiver issues; 

(D) have appropriate accounting systems, policies, and procedures to ensure that grant recipients are able to oversee, account for, and support the organization’s financial transactions, using generally accepted accounting principles (GAAP). Grant recipients must have qualified accounting personnel or a contractor to properly document, record, account for, and report its financial transactions; 

(E) have a fund accounting system that segregates each Trust Fund grant from other revenue sources and tracks expenditures by individual grant. Grant recipients must have policies and procedures to demonstrate how costs that benefit more than one program or grant are allocated across grants; 

(F) clearly define the authority and responsibility for personnel involved in the financial activities of the grant recipient. Grant recipients must segregate duties so that accounting functions are separated so that no individual can initiate, execute, and record a transaction without a second independent individual being involved in the process; 

(G) maintain controls to ensure payments using grant funds are made only for allowable items. Grant recipients must ensure all financial transactions are reviewed and approved in a timely manner (including electronic transactions); 

(H) have policies and procedures for cash receipts. The grant recipient must maintain a separate cash receipts log of all payments in the form of cash or cash equivalents. This log should be reviewed and compared to the general ledger. Paper checks/money orders must be immediately restrictively endorsed. Bank deposits must be made at least weekly; 

(I) maintain petty cash funds on an imprest basis and recorded in the general ledger. Petty cash must be kept in a secure location.  Disbursements from petty cash must be documented by receipts, and reimbursements to the fund must be made on a regular basis; 

(J) ensure all bank accounts are authorized by the grant recipient's board of directors. Any account not used must be closed and the bank notified in writing not to process any subsequent transactions. Any remaining blank checks for closed accounts must be destroyed; 

(K) reconcile bank statements monthly to the general ledger balance. The reconciliations must be reviewed and approved by a responsible individual; 

(L) maintain payroll records that include payroll data required by federal, state, and local laws.  Documentation must be maintained to support individual gross earnings and payment of amounts withheld for federal and state taxes. A personnel file must be established for each employee and should include the following data: Employment contract if applicable, wage or salary authorization, current federal income tax withholding form (W-4), current State income tax withholding form, authorization for all other payroll deductions, and authorization for all wage/salary actions. Grant recipients must ensure that they are appropriately designating employees as exempt or non-exempt and properly classify independent contractors; 

(M) maintain a timekeeping system. The system must be able to identify employee hours worked so that compliance with federal and state laws with respect to overtime and pay rates can be demonstrated. The system must also be able to demonstrate accountability for time worked to support personnel expenditures on project-based grants.  

(N) establish policies and procedures for the grant recipient’s property and equipment. The policy and procedures must include capitalization requirements and a procedure for conducting a periodic inventory of individual property items. The grant recipient must maintain property records for items that exceeded the capitalization threshold. The property records to be maintained must include: (1) a description of the item, including model and serial number (if the property has no such number, it must be tagged with an identifying number to ensure the internal records are effective in controlling property); (2) date of acquisition; (3) check number used to pay for item; (4) cost; and (5) useful life; 

(O) receive approval from the Commission to subgrant Trust Fund money.  Grant recipients must have policies and procedures consistent with the grant agreement and Trust Fund Requirements. The grant recipient must monitor the activities of the subrecipient to ensure the subgrant is in compliance with the terms of the grant agreement and Trust Fund Requirements. Grant recipients must ensure that subrecipients have policies and procedures consistent with the grant agreement and Trust Fund Requirements; 

(P) prepare and review interim management reports, preferably prepared monthly, but at least quarterly, that compare actual expenditures to the approved budget of the organization and of individual grants. The program director or equivalent staff should review the reasons for any significant variations from the budget, and also compare projected future expenditures against the unexpended portion of the budget; 

(Q) develop a mechanism for accounting for expenditures related to non-qualifying activities, out-of-county or out-of-state spending, and activities that generate attorney’s fees or other fee-generating activities; 

(R) annually review the grant recipient’s insurance coverage to ensure that all significant business risks have been covered. Insurance coverage should be periodically reviewed with a competent insurance agent; 

(S) maintain records regarding the eligibility of the client; 

(T) annually submit information that describes, in the manner required by the Commission, the grant recipient’s maintenance of quality service and professional standards and compliance with program requirements and, as requested by the Commission,

  1. information for evaluative purposes about program activities in the prior grant year; and

  2. information to enhance the delivery system of legal services;

(U) cooperate regarding any scheduled monitoring visit and implement corrective action plans developed to meet compliance requirements;

(V) engage with staff regarding recommendations related to quality control standards; and

(W) submit timely financial reports and any other information reasonably required by the Commission. Grant recipients must maintain documentation of each of these requirements for at least five years following the end of the grant term. Grant recipients must timely provide documentation upon Commission request which may be made at any time. The Commission may require additional information as needed that would be probative of the applicant’s ability to provide civil legal services to indigent Californians in compliance with these Rules and applicable law. 

Rule 3.681 adopted effective March 6, 2009; ; amended effective November 21, 2025.

Rule 3.682 No abrogation of legal or professional responsibilities

Nothing in these rules may limit or impair in any way the professional responsibility of an attorney to provide a client with legal services appropriate to the client’s needs. Trust Fund Program applicants and recipients and their staffs; volunteers; consultants; and clients and prospective clients are entitled to all rights and privileges under the law. Nothing in these rules may be interpreted to require a grant applicant or recipient to violate the law(11).

Rule 3.682 adopted effective March 6, 2009.

Rule 3.683 Determination of IOLTA Distribution Amounts

(A) The Legal Services Trust Fund Commission will annually recommend to the Board of Trustees the amount of IOLTA funds to be distributed and the amount to be held in reserve the next year(12). The Commission will set the current year’s projected IOLTA revenue total as the target distribution amount after deducting State Bar administrative costs and any amount set aside for the reserve. Instead of setting aside an amount for reserve, the Commission may increase the distribution with contributions from the reserve.

(B) The reserve will be established as a restricted fund account that may be accessed to increase planned IOLTA grant distributions or to ensure sufficient funds for the State Bar to fulfill current‐year IOLTA grant disbursements.

  1. A minimum of 5 percent of current year revenue should be added to the reserve each year, subject to the maximum reserve balance set forth below, unless revenue is projected to fall, in which case the Commission may direct a smaller percentage of revenue, or none, to the reserve for the following year.

    1. The Commission may increase the amount of revenue directed to the reserve, unless it would exceed the maximum allowable balance.

  2. The maximum reserve balance will be set at $25 million.

    1. The Commission may periodically choose to increase the maximum allowable reserve balance to account for inflation, as reflected by the overall percentage increase in the Bureau of Labor Statistics’ Consumer Price Index.

    2. If the reserve has reached the maximum allowable balance, all revenue remaining after administrative costs will be distributed as grants. However, if the Commission determines that the grant distribution will be at least double the distribution of the prior year, and the size of the distribution cannot be effectively or efficiently used by grant recipients within the grant period, the Commission may increase the reserve by an amount not to exceed a total of $40 million.

(C) The Commission will determine whether to access funds held in reserve as part of the planned IOLTA grant distribution. Factors for consideration include, but are not limited to,

  1. Catastrophic events or other emergency circumstances resulting in significantly decreased IOLTA revenue and/or legal aid funding generally;

  2. Catastrophic events or other emergency circumstances resulting in significantly increased need for legal aid services; or

  3. IOLTA revenue decreases of more than 15 percent.

(D) If IOLTA revenue yields insufficient funds for the State Bar to disburse quarterly IOLTA grant payments, the Commission will authorize use of the reserve to fulfill existing grant obligations.

(E) IOLTA funds shall be distributed on an annual basis. However, the Commission may-authorize yearly IOLTA grant distributions to be spent over a period of multiple years.

Rule 3.683 adopted effective November 16, 2023.

Rule 3.684 Grant Award Reductions or Grant Terminations

(A) “Funding reduction” is when the grant award amount is reduced.

(B) “Grant termination” is when the grant agreement is terminated.

(C) Grant recipients must return to the State Bar any unspent funds or relinquished funds (as defined in rule 3.685) when a grant agreement is terminated or is amended and the amendment requires return of funds.

(D) Grant recipients must request a funding reduction or grant termination if they cease operations, are unable to perform the grant activities fully, and/or are no longer providing services in a particular county if the grant terms require services to be performed in a particular county.

(E) State Bar staff may reduce a formula grant if the grant recipient or staff determines that the organization’s reported qualified expenditures used to calculate the formula amount were incorrect. Staff may recalculate the formula award amount based upon the organization’s corrected qualified expenditures.

(F) The Commission has authority to reduce grant awards or terminate grant agreements. In determining whether a reduction of a grant award or a termination of a grant agreement is warranted, the Commission shall consider whether there is evidence of the following: lack of substantial compliance with the terms and conditions of the grant, fraud, organizational mismanagement, significant underspending, accounting irregularities, misuse of funds, or failure to meet service deliverables.

(G) Staff may approve the following funding reductions without Commission approval; all reductions shall be reported to the Commission:

  1. Grant recipient-initiated reductions:
    1. Termination of grant agreements due to cessation of operations
    2. Grant recipients no longer providing services in a particular county if the grant terms require services to be performed in a particular county
    3. Grant recipients requesting less than the calculated formula amount
    4. Grant recipients requesting a reduction that is equal to or less than 25 percent of their competitive-based grant award
  2. Staff-initiated grant reductions based upon corrected qualified expenditures. 

(H) The following are subject to review and approval by the Commission: 

  1. Grant recipients requesting a reduction that is greater than 25 percent of their competitive-based grant award
  2. Any grantee-initiated reductions not approved by staff

(I)  Following a staff-initiated, grant recipient-initiated, or Commission-initiated funding reduction or grant termination the Commission has the discretion to find that the reduction or termination will impact future competitive grant awards; to add additional terms and conditions to current or future grant agreements; to require additional monitoring visits; to require eligibility review conferences; to delay future grant distributions until corrective action is taken; or to undertake other actions the Commission deems appropriate in furtherance of its oversight responsibilities. 

(J) All staff-initiated and Commission-initiated reductions are subject to reconsideration pursuant to the procedures set forth in Rule 3.691. 

Rule 3.684 adopted effective November 21, 2025.

Rule 3.685 Unspent and Relinquished Grant Funds

(A) “Unspent funds” are grant funds that were not spent by the end of the grant term.

(B) “Relinquished funds” are grant funds that have been returned to the State Bar during the term of the grant. Relinquished funds may be initiated either by the grant recipient (e.g., a grant recipient is unable to perform a grant fully) or by the Commission, such as a reclamation of funds based upon Commission oversight actions (e.g., noncompliance with grant terms, underperformance, etc.).

(C) “Returned funds” are unspent or relinquished funds that have been returned to the State Bar.

(D) “Reallocation” or “reallocate” refers to the process of awarding relinquished funds to other grantee(s) during a grant period.

(E) “Redistribution” or “redistribute” refers to the process of adding unspent funds to a subsequent grant year for distribution.

(F) As permissible by the grant’s authorizing statute or other controlling authority, the Commission will redistribute or reallocate returned funds using the following methods:

  1. The Commission will redistribute returned funds in subsequent grant periods in compliance with the grant’s authorizing statute or other controlling authority, to the extent permitted by the authorizing statute or controlling authority, unless the Commission determines that returned funds should be reallocated to other grant recipients in the current grant period, considering factors including the amount of the returned funds, other grant recipients’ capacity to accept and use reallocated funds, and the time remaining in the grant period.

  2. If returned funds are not redistributed, they will be reallocated if practicable. Reallocation will be limited to grant recipients currently receiving funds pursuant to the grant from which the returned funds originated. Grant recipients must formally opt-in to receive reallocated funds through a process determined by State Bar staff. 

    Formula-based grant reallocation amounts will be based upon the reallocation-receiving grant recipient’s pro rata share of the original formula as calculated by State Bar staff, unless a grant recipient requests a smaller reallocation amount. Competitive-based grant reallocation amounts are subject to the Commission’s discretion. For all grants, the Commission may establish additional eligibility criteria for receiving the reallocated funds. Criteria may include meeting spending thresholds or timely resolution of State Bar monitoring findings related to the grant.

    To receive reallocated grant funds, a grant recipient must submit to the State Bar a revised budget and execute an amendment to the original grant agreement which shall govern the reallocated grant funds, pursuant to deadlines set by State Bar staff. Staff will determine the timing for disbursement of the reallocated amounts to the eligible grant recipients.

(G) Returned funds that are not reallocated or redistributed will be returned to the funding source as required in the grant’s enabling statute or the funding contract.

Rule 3.685 adopted effective November 21, 2025.

Rule 3.686 Carryovers, Rollovers, and Budget Modifications

(A) A “carryover” is the use of grant funds after the grant period for which they were awarded.

(B) A “rollover” is the use of grant funds after the grant year for which they were budgeted, but during the grant period for which they were awarded.

(C) A “budget deviation” is the use of grant funds in a different budget line-item than that proposed in the approved budget.  Budget deviations are to be calculated by summing overspending in each budget line-item compared to the approved budget.

(D) Subject to grant requirements, grantees shall not carry over more than 10 percent of grant funds beyond the grant period for which they were awarded without obtaining consent from State Bar staff or the Commission.

  1. State Bar staff may approve carryover requests of up to and including 25 percent of the grant award amount. The Commission may approve, in part or in full, carryover requests in excess of 25 percent of the grant award amount. The Commission may approve carryover requests of 50 percent or more of the grant award amount only in extraordinary circumstances. Factors that State Bar staff and the Commission shall consider when determining whether to approve a carryover request include:
    1. the grantee’s explanation for the underspending and need for a carryover;
    2. the size of the carryover request and the grantee’s ability to spend down remaining grant funds;
    3. the grantee’s history of carryover requests;
    4. the grantee’s plan to avoid carryover requests in the future;
    5. the requirements and purpose of the grant at issue; and
    6. other factors determined relevant by the Commission.
  2. Carryover funds, including those up to 10 percent of the grant amount, must be spent within the carryover spend-down period, as approved by the Commission. Any grant funds still unspent at the end of the carryover spend-down period must be returned to the State Bar.
  3. If a carryover request is denied, the grant recipient shall return funds not spent within the grant period for which they were awarded (minus 10 percent of the grant award amount, unless carryovers are not allowed for the grant type) within 30 days of notice of denial, or within 60 days of the end of the grant period, whichever is later.
  4. Grant recipients must submit carryover requests in compliance with annual deadlines, or grant-specific deadlines when the grant period is not a calendar year, as set by State Bar staff.
  5. Failure to comply with the requirements in this Rule may result in a breach of contract. If a grant recipient fails to make a timely carryover request in accordance with this Rule, the Commission may require additional corrective action and/or oversight of the grantee’s fiscal and governance functions, including, but not limited to:
    1. sending a letter to the organizations’ governing body to notify them of the failure to comply with requirements;
    2. requiring a corrective action plan;
    3. requiring additional monitoring;
    4. delaying grant payments pursuant to Business and Professions Code section 6224 and any regulations thereunder; or
    5. other action the Commission deems appropriate.
  6. If a grantee fails to request a carryover and is found to have spent funds beyond the grant period without approval, the Commission may, at its discretion, require the grantee to return improperly carried-over funds within 30 days of notification.
  7. Grantees shall report to State Bar staff, through the grant closeout process, any carryovers of up to 10 percent of the grant amount within 60 days of the end of the grant period.

(E) Subject to grant requirements, grant recipients shall not roll over more than 10 percent of yearly grant funds, in a multi-year grant, beyond the grant year for which they were budgeted without obtaining consent from State Bar staff or the Commission.

  1. State Bar staff may approve rollover requests of up to 25 percent of the yearly grant award amount. The Commission may approve rollover requests in excess of 25 percent of the yearly grant award amount. Factors that State Bar staff and the Commission shall consider when determining whether to approve a rollover request include:
    1. the grantee’s explanation for the underspending and need for a rollover;
    2. the size of the rollover request and the grantee’s ability to spend down remaining grant funds;
    3. the grantee’s history of rollover requests;
    4. the grantee’s plan to avoid rollover requests in the future;
    5. the requirements and purpose of the grant at issue; and
    6. other factors determined relevant by the Commission.
  2. If a rollover request is denied, the grant recipient may, at the Commission’s discretion, be required to return funds not spent within the grant year for which they were awarded (minus 10 percent of the yearly grant amount) within 30 days of notice of denial.
  3. Grant recipients must submit rollover requests in compliance with annual deadlines, or grant-specific deadlines when the grant period is not a calendar year, set by State Bar staff.
  4. Failure to comply with the requirements in this Rule may result in a breach of contract. If a grant recipient fails to make a timely rollover request in accordance with this Rule, the Commission may require additional corrective action and/or oversight of the grantee’s fiscal and governance functions, including:
    1. sending a letter to the organizations’ governing body to notify them of the failure to comply with requirements;
    2. requiring a corrective action plan;
    3. requiring additional monitoring;
    4. delay grant payments pursuant to Business and Professions Code section 6224 and any regulations thereunder; or
    5. other action the Commission deems appropriate.
  5. If a grantee fails to request a rollover and is found to have spent funds beyond the budgeted grant year without approval, the Commission may, at its discretion, require the grantee return those funds (minus 10 percent of the yearly grant amount, unless rollovers are not allowed for the specific grant type) within 30 days of notification.

(F) Grant recipients shall not deviate from an approved budget by more than 10 percent of grant funds without obtaining consent from State Bar staff, a committee of the Commission, or the Commission.

  1. A budget modification request must be made to modify the approved budget when:
    1. Anticipated or actual budget deviations total to more than 10 percent of the total grant award amount, or
    2. Any budget deviation that would result in a budget being out of compliance with another State Bar or Legal Services Trust Fund fiscal guideline or requirement related to grant budgeting and use of funds.
  2. Grant recipients must submit budget modification requests in compliance with deadlines set by State Bar staff.
  3. State Bar staff may approve budget modification requests of up to 25 percent of the grant award amount. The Commission, or a committee of its members, may approve budget modification requests in excess of 25 percent of the grant award amount. Factors that State Bar staff, committees, and the Commission shall consider when determining whether to approve a budget modification request include:
    1. the grantee’s explanation for the change in spending and need for a budget modification;
    2. the size of the budget modification request and the grantee’s ability to spend the grant funds in accordance with the requested modification;
    3. the impact on proposed grant services and deliverables;
    4. the requirements and purpose of the grant at issue; and
    5. other factors determined relevant by the committee or Commission.
  4. A budget modification request to move funds from salaries to contract services to pay for contract legal staff will be presumed to be approved. Notwithstanding subsection (F)(3) of this rule, State Bar staff may approve budget modification requests described in this subdivision regardless of size. Such budget modification requests also do not require review of personnel/non-personnel spending ratios.
  5. If a budget modification request is approved, the approved grant budget is to be modified in accordance with the request.
  6. If a budget modification request is denied, the grant recipient may, at the committee or Commission’s discretion, be required to return funds not spent in accordance with the approved budget within 60 days of the end of the grant period.
  7. Failure to comply with the requirements in this Rule may result in a breach of contract. If a grant recipient fails to make a timely budget modification request in accordance with this Rule, the committee or Commission may require additional corrective action and/or oversight of the grantee’s fiscal and governance functions, including:
    1. sending a letter to the organizations’ governing body to notify them of the failure to comply with requirements;
    2. requiring a corrective action plan;
    3. requiring additional monitoring;
    4. delay grant payments pursuant to Business and Professions Code section 6224 and any regulations thereunder; or
    5. other action the committee or Commission deems appropriate.
  8. If a grantee fails to request a budget modification and is found to have spent funds not in accordance with the approved budget, the committee or Commission may, at its discretion, require the grantee to return those funds (minus 10 percent of the grant amount, unless the deviation would result in a budget being out of compliance with another State Bar or Legal Services Trust Fund fiscal guideline or requirement related to grant budgeting and use of funds, in which case the committee or Commission may require return of all funds spent not in accordance with the approved budget) within 30 days of notification.

Rule 3.686 adopted effective November 21, 2025.

Article 4. Requests for review and complaint process 

Rule 3.690 Receipt of document

For purposes of this article, receipt of a document transmitted by staff or the Commission is deemed to be the earlier of either five days after the date of mailing when sent by mail or the actual time of receipt when staff or the Commission delivers a document physically by courier or otherwise. Staff or the Commission may transmit a document electronically with the recipient’s consent. When transmitted electronically, receipt of a document is deemed to be two days after the time indicated on the sender’s electronic time stamp.

Rule 3.690 adopted effective March 6, 2009; amended effective July 1, 2023.

Rule 3.691 Denial or termination of funding

(A) The Commission has the authority to deny an application for initial funding or for renewal of funding, or to terminate existing funding in accordance with law and these rules.(13) The applicant or grant recipient is entitled to written notice of the denial or termination.

(B) The applicant or grant recipient may request reconsideration by the Commission.

  1. The request must be provided to the Commission in writing within 30 days of receipt of the notice of denial or termination of funding. The request may include additional information. 

  2. The Commission may affirm its decision, modify its decision, or schedule an informal conference to be held within 90 days of receipt of the request. The applicant or recipient is entitled to written notice of the date, time and place of the conference, and must have an opportunity to present information at the conference.

  3. Unless all parties agree otherwise, the Commission must mail or otherwise deliver a written decision within 60 days of the conference.

(C) Within 30 days of receipt of written notice of the Commission decision on the request for reconsideration, the applicant or grant recipient may file a request for review by the State Bar Court. The request must be submitted to the State Bar Court in accordance with the Rules of Procedure of the State Bar on Legal Services Trust Fund Proceedings. Pending a final decision by the State Bar Court, a current grant recipient must continue to receive funding.

(D) The decision of the Commission on the request for reconsideration is final if the applicant or grant recipient fails to file a timely request for review by the State Bar Court.

Rule 3.691 adopted effective March 6, 2009.

Rule 3.692 Complaints

(A) Any person or entity may file a formal written complaint that a grant recipient fails to meet Trust Fund Requirements. The complaint may be submitted by US Mail or by electronic mail to the address for receipt of such complaints posted on the State Bar’s website. At the request of the complainant, the complainant’s identity shall be kept confidential.

(B) Staff must provide a copy of a formal written complaint to the grant recipient whom it concerns within ten days. Staff must attempt to resolve the complaint within 90 days of receipt of the complaint. If the complainant or grant recipient objects to staff’s proposed resolution, staff must provide the complainant, grant recipient, and an advisory body comprised of two members of the Commission, with a written report of its efforts to resolve the complaint and recommendation of what action, if any, is appropriate. Staff’s written report must be submitted within 90 days of staff’s receipt of the complaint. The co‐chairs of the Commission will designate the members of the advisory body.

(C) Within 30 days of receipt of the staff report, the complainant and grant recipient may each provide the advisory body with a written response. Upon a complainant’s request, staff may assist in preparing a written response based on the complainant’s oral statements to staff.

(D) The advisory body appointed by the co‐chairs of the Commission must consider the staff report and any response. The advisory body may then recommend dismissal of the complaint based on the information provided or schedule an informal conference to determine whether the complaint should be dismissed or whether action should be taken. The recommendation to dismiss the complaint should issue, or the informal conference should take place, within 60 days of submission of the staff report. The complainant and grant recipient shall be given written notice of a recommendation to dismiss, or the date, time, and place of the informal conference.

(E) At the informal conference, the staff member who conducted the investigation must be present barring extenuating circumstances. The complainant and grant recipient must have an opportunity to present information. The advisory body must issue a written recommendation that the Executive Committee dismiss the complaint or require corrective action. In addition, the advisory body may recommend that the Commission terminate or consider terminating, in whole or in part, existing funding or renewal of funding pursuant to Rule 3.691. The advisory body may also offer recommendations for general improvements to the complaint process as part of its report. The complainant and recipient shall be given written notice of the recommendation within 30 days of the informal conference.

(F) The recommendation must be reviewed and acted upon by the Executive Committee or Commission at its next scheduled meeting that occurs more than ten days after the issuance of the advisory body’s recommendation.

(G) If the Executive Committee decides to dismiss the complaint or require corrective action, the decision is final. If the Commission considers the complaint under Rule 3.691, the provisions of that rule control.

(H) Complainant or grant recipient may request reasonable extensions of any of the deadlines set forth in this rule for good cause. Staff, the advisory body, the Executive Committee, and the Commission may grant reasonable extensions of the deadlines set forth in this rule that are applicable to their respective obligations or to proceedings before them upon a finding of good cause.

Rule 3.692 adopted effective March 6, 2009; amended effective July 1, 2023.

1 Business & Professions Code § 6213(d).

2 Business & Professions Code § 6213(a).

3 Business & Professions Code § 6213(b).

4 Business & Professions Code § 6213(a)(1).

5 Business & Professions Code § 6213(b).

6 Business & Professions Code § 6213(a).

7 Business & Professions Code § 6213(b).

8 Business & Professions Code §§ 6216 and 6223.

9 Business & Professions Code § 6213(e)(1).

10 Business & Professions Code § 6223.

11 Business & Professions Code § 6217(d).

12 Business & Professions Code § 6210.5(e).

13 Business & Professions Code § 6224.

Chapter 3. Lawyer Referral Services

Download PDF

Article 1. Certification

Rule 3.800 Certification required

An individual or organization that refers prospective clients to attorneys must comply with minimum standards and be certified by the State Bar of California as a lawyer referral service unless exempt by law(1). These rules set forth the minimum standards and certification requirements.

Rule 3.800 adopted as rule 3.700 January 7, 2011; renumbered as rule 3.800 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.801 Application for certification

(A) To initiate or continue certification, a lawyer referral service must submit an Application for Certification as a Lawyer Referral Service that identifies each county in which it operates.

(B) Every application must include panel membership criteria, including criteria for suspension and removal that provide for written notice and review with an opportunity to respond.

(C) An application for initial certification may be submitted at any time. An application for continuance of certification must be submitted with the annual report required by rule 3.828. Within a reasonable time, the State Bar will notify an applicant that certification has been granted or denied or that an application is incomplete or noncompliant.

(D) An application must be completed in accordance with application instructions and filed with any required fee.

Rule 3.801 adopted as rule 3.701 January 7, 2011; renumbered as rule 3.801 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.802 Application fees

(A) Application fees for initial and continued certification, which are set forth in the Schedule of Charges and Deadlines(2). 

(B) An application fee not received by the deadline is subject to the late penalty set forth in the Schedule of Charges and Deadlines. If the fee and penalty are not received within thirty days of the deadline, certification may be suspended and the lawyer referral service must cease any activity subject to these rules.

(C) Application fees will be refunded upon written withdrawal of the application by the service. An application may not be withdrawn after certification has been granted. An application fee is otherwise not refundable.

(D) An application or late fee for continued certification may be waived or reduced. Any request for a waiver or reduction will be reviewed based on demonstrated financial necessity.

Rule 3.802 adopted as rule 3.702 January 7, 2011; renumbered as rule 3.802 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.803 Denial of application

(A) An application for initial certification that fails to comply with these rules is denied in a written notice explaining the denial.

(1) Upon receipt of a notice of denial, an initial applicant may submit a written request for reconsideration within thirty days of the date of the notice. The request must explain why the application was compliant and be supported by any relevant evidence.

(2) Within sixty days of receiving a request for reconsideration of denial, the State Bar may grant certification or confirm denial of the initial application. If the denial is confirmed, the applicant may submit a petition for review to the State Bar Court in accordance with its rules.

(3) Denial of an application for initial certification does not preclude an applicant from submitting a new application. A new application must be submitted in accordance with application instructions and with the fee set forth in the Schedule of Charges and Deadlines.

(B) An application for continued certification that fails to comply with these rules subjects a lawyer referral service to suspension or revocation pursuant to rule 3.806.

Rule 3.803 adopted as rule 3.703 January 7, 2011; renumbered as rule 3.803 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.804 Issuance of certification

The State Bar may grant certification with or without conditions for two years or a shorter time specified by the State Bar. Certification terminates at the end of the certification period unless renewed in accordance with these rules.

Rule 3.804 adopted as rule 3.704 January 7, 2011; renumbered as rule 3.804 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.805 Audits

Before granting or continuing certification, waiving an application fee, or at any other time, the State Bar may conduct an audit to determine whether a lawyer referral service has complied with these rules. Any audit must be at the expense of the lawyer referral service.

Rule 3.805 adopted as rule 3.705 January 7, 2011; renumbered as rule 3.805 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.806 Suspension or revocation of certification(3)

(A) The State Bar may suspend or revoke certification of a lawyer referral service for failure to comply with these rules or for other good cause.

(B) A lawyer referral service is entitled to notice of intention to suspend or revoke certification that states the reasons for the State Bar’s action.

(C) A lawyer referral service may file a written request for review of suspension or revocation of certification within thirty days of receipt of the notice. The request must explain why the action was inappropriate and be supported by any relevant evidence. Failure to request review results in final suspension or revocation of certification.

(D) The State Bar must respond to a request for review that meets the requirements of these rules within sixty days of filing and give the lawyer referral service an opportunity to support the request. The State Bar may then continue, suspend, or revoke certification with or without conditions as it deems appropriate. The State Bar must provide the lawyer referral service a written statement of the reasons for its determination.

(E) Within thirty days of receipt of the notice of suspension or revocation, the lawyer referral service may submit a petition for review to the State Bar Court in accordance with its rules. Certification is suspended or revoked for failure to submit a timely petition for review of suspension or revocation.

(F) Pending review of a denial to continue certification, certification remains in effect unless the State Bar suspends or revokes it.

(G) When suspension or revocation of certification is final, a lawyer referral service must immediately cease any activity subject to these rules, and the State Bar must notify every panel member of the lawyer referral service that certification has been suspended or revoked.

Rule 3.806 adopted as rule 3.706 January 7, 2011; renumbered as rule 3.806 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.807 Complaints about a lawyer referral service

The State Bar must review a complaint about a lawyer referral service submitted pursuant to these rules(4) within a reasonable time and

(A) if the complaint demonstrates an apparent violation of these rules or other authority provide the service written notice of the complaint and an opportunity to respond; and

(B) provide written notice to the complainant regarding what action, if any, it deems appropriate.

Rule 3.807 adopted as rule 3.707 January 7, 2011; renumbered as rule 3.807 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.808 Notice

In these rules, a notice or other document is deemed received the fifth day after being sent by first-class mail or upon actual receipt when delivered otherwise.

Rule 3.808 adopted as rule 3.708 January 7, 2011; renumbered as rule 3.808 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Article 2. Minimum standards for lawyer referral services

Rule 3.820 General duties of a lawyer referral service

A lawyer referral service must

(A) have a governing committee; one or more panels of attorneys to provide legal services; staff to evaluate and process requests for legal assistance; and, if engaging in automated referrals as described in rule 3.826(C), appropriate technology and safeguards to ensure accurate referrals;

(B) encourage widespread attorney membership(5); 

(C) serve its community and improve the quality and affordability of legal services by

  1. assisting those in need of legal services to find a qualified, insured attorney or other appropriate legal services, including dispute resolution;

  2. providing the public with general information about appropriate legal services; and

  3. establishing services for persons of limited means, such as a modest means panel, a limited scope panel, flat fee panels, providing a free referral for a 30 minute consultation by an attorney panel member, or providing for services on sliding fee scales or payment schedules; and

(D) ensure the combined charges to the potential client by the referral service and the attorney to whom the potential client is referred do not exceed the total cost that the client would normally pay if no referral service were involved(6); 

(E) tell each client how to submit a complaint about the service or one of its panel members and inform the client that an unresolved complaint may be submitted to the State Bar, provided it is in writing and supported by factual information that demonstrates a violation of these rules or other applicable authority;

(F) if it is a non-profit use its income only to pay reasonable operating expenses and to fund its pro bono, legal services, and other public service programs;

(G) fully cooperate with any State Bar audit(7); 

(H) provide each panel member a copy of these rules; and

(I) at all times comply with these rules and applicable law.

Rule 3.820 adopted as rule 3.720 January 7, 2011; renumbered as rule 3.820 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.821 Ownership(8) 

A lawyer referral service owned or operated by a bar association is deemed to be owned or operated by its governing committee. An attorney may not directly or indirectly own or operate a lawyer referral service if the attorney individually or jointly receives more than twenty percent of the referrals of the lawyer referral service.

Rule 3.821 adopted as rule 3.721 January 7, 2011; renumbered as rule 3.821 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.822 Governing committee

(A) A lawyer referral service must be supervised by a governing committee of three or more members. A majority of the governing committee must be active licensees of the State Bar. No more than half the members of the governing committee may receive referrals from the lawyer referral service.

(B) The governing committee must

  1. establish criteria for subject matter and general panel membership and use the criteria to evaluate panel members at least once every two years;

  2. establish and assess compliance with the referral procedures required by these rules(9);

  3. review and submit the annual report required by these rules(10); 

  4. annually survey a random sample of at least ten percent of the clients of the service to determine client satisfaction with services and fees;

  5. on the basis of the annual survey, make any operational changes it deems necessary

  6. provide to the State Bar information required to be collected under rule 3.826; and

  7. meet at least quarterly.

Rule 3.822 adopted as rule 3.722 January 7, 2011; renumbered as rule 3.822 November 4, 2011; approved by the Supreme Court effective January 21, 2014; amended effective January 25, 2019; approved by the Supreme Court effective June 1, 2019.

Rule 3.823 Panels

(A) A lawyer referral service must establish panels of attorney members qualified to provide legal services to the public. The panels must be organized by subject matter but may include a general panel. A lawyer referral service is encouraged to establish moderate and no-fee panels and other special panels that respond to the needs of the public, in order to provide services that serve persons of limited means as required under rule 3.820(C)(3)(11) 

(B) At least twenty attorney members, ten of whom are from separate and independent law firms, are required for all lawyer referral services, and each panel must have at least four members. The State Bar may waive these minimum requirements if a lawyer referral service operates in an underserved county or provides written evidence that the size of the community or the number of its attorneys warrants a lesser number, or the service otherwise demonstrates the ability to meet the needs of its service area with a smaller panel.

(C) A lawyer referral service must require that each panel member

  1. have errors and omissions insurance in the amounts set forth in the Schedule of Charges and Deadlines and provide proof of insurance to the State Bar upon request(12); 

  2. not receive referrals evaluated and processed by a lawyer referral service staff member employed or otherwise compensated by the panel attorney;

  3. if the service operates in more than one county, identify each county the member agrees to take referrals from.

  4. A lawyer referral service may disclose a panel member’s past performance when the information is accurate, complete, and not misleading.

Rule 3.823 adopted as rule 3.723 January 7, 2011; renumbered as rule 3.823 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.824 Eligibility for membership

Only an active licensee of the State Bar practicing in the community served by the lawyer referral service may be a member of the service. A member of any service that operates in more than one county make take referrals from any of the counties in which the service operates; provided, however, that the member must agree to travel to each county as reasonably necessary to perform legal services (such as client meetings), and must either maintain a place of business in each county or be able to offer an otherwise suitable location or method for the performance of such services. Remote services may be provided if they are adequate to meet a client’s needs. To serve on a subject matter panel, such a member must meet the experience and other substantial and objective criteria of the lawyer referral service. Certification as a legal specialist qualifies an attorney to serve on a panel that deals with the area of certification, provided the attorney meets other criteria for panel membership.

(B) Panel membership may not be contingent upon membership in a sponsoring entity.

Rule 3.824 adopted as rule 3.724 January 7, 2011; renumbered as rule 3.824 November 4, 2011; approved by the Supreme Court effective January 21, 2014; amended effective January 25, 2019; approved by the Supreme Court effective June 1, 2019.

Rule 3.825 Panel membership fees

(A) Panel membership fees must be reasonable, encourage widespread panel membership, and otherwise comply with these rules and applicable law(13).

(B) Panel membership fees may not in any way be based on or guarantee contacts, calls, cases, referrals, or clients.

(C) Panel members who are not members of a sponsoring entity may be required to pay a nominal charge for administrative services.

Rule 3.825 adopted as rule 3.725 January 7, 2011; renumbered as rule 3.825 November 4, 2011; approved by the Supreme Court effective January 21, 2014.

Rule 3.826 Referrals

(A) The governing committee of a lawyer referral service must establish fair and impartial procedures to assure that referrals are allocated equitably to panel members and respond insofar as possible to clients’ legal needs and other circumstances, such as geographic convenience and language issues.

(B) All referrals in a geographical area may not be made to a single attorney or law firm. The State Bar may deny certification or recertification, or suspend or revoke certification, for failure to make referrals fairly and impartially to panel members or to maintain current and complete records of referrals.

(C) If a lawyer referral service makes any referrals using purely technological means, the service must:

  1. for a minimum of twelve (12) months immediately following the implementation of any automated referral system, establish quality control and assurance measures that, at a minimum:

    1. make reasonable efforts to follow up within two (2) business days of each automated referral to evaluate whether the client’s needs were adequately met; and 

    2. allow for electronic feedback from clients regarding whether the automated referral was successful or failed to meet client’s needs. 

      After twelve (12) months, the service may reduce its quality control and assurance efforts to follow up with twenty-five percent (25%) of automated referrals if it demonstrates to the State Bar that the automated referral system results in successful referrals at a rate as high or higher than traditional referral methods. The service may make such a demonstration with customer satisfaction surveys, or other appropriate methods. The requirements of this subsection also apply after the adoption of a new technological platform, but do not otherwise apply to incremental software updates or similar improvements to an existing automated referral system;

  2. ensure that any client who encounters a technical problem or any other difficulty or delay in using service’s automated referral system is provided with information to contact an appropriate service staff member during regular business hours;

  3. forgo any fee if a referral is made that does not accurately reflect the needs of the client, unless the fee is applied to further referral efforts in the same matter that are successful;

  4. regularly analyze the efficiency and accuracy of the automated referrals and make adjustments to the technological platforms as needed; and

  5. provide data to the State Bar enumerating how many requests for referrals were made in a calendar year through the service’s automated referral system, and how many such referrals were made using purely technological means.

(D) A referral may not

  1. discriminate on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, general expression, sexual orientation, age, military and veteran status, or other category of discrimination prohibited by applicable law, whether the category is actual or perceived(14); 

  2. violate restrictions against unlawful solicitation and false and misleading advertising or otherwise violate the Rules of Professional Conduct or law applicable to a licensee of the State Bar; or

  3. be made directly or indirectly by a person employed or otherwise compensated by an attorney or firm to whom the referral is made.

Rule 3.826 adopted as rule 3.726 January 7, 2011; renumbered as rule 3.826 November 4, 2011; approved by the Supreme Court effective January 21, 2014; amended effective January 25, 2019; approved by the Supreme Court effective June 1, 2019.

Rule 3.827 Records

(A) A lawyer referral service must maintain and provide to the State Bar upon request current records

  1. for each panel member that include

    1. name, contact information, and qualifications;

    2. number and type of referrals, including whether referrals were made using purely technological means; and

    3. fees remitted for membership, referrals or consultations, advertising; or any other reason; and

  2. for each referral that include

    1. the client’s name and contact information;

    2. type of matter, date of referral, and whether each referral was made using purely technological means; and

    3. panel member to whom the referral was made.

  3. sufficient to demonstrate compliance with section (C) of rule 3.826.

(B) Any record in the possession of the State Bar pertaining to a lawyer referral service is the property of the State Bar and confidential unless authorized for disclosure by these rules, order of the Board of Trustees, or consent of the lawyer referral service.

Rule 3.827 adopted as rule 3.727 January 7, 2011; renumbered as rule 3.827 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.828 Annual report

(A) The governing committee of a lawyer referral service must submit an annual report of its activities and those of the lawyer referral service. The report must at a minimum

  1. provide a detailed accounting of 

    1. all sources and amounts of income, expenses, and reserves during the reporting period;

    2. the disposition of any reserves or surpluses derived from activities of the service during the reporting period and the immediately preceding reporting period;

  2. include statistics derived from the records the service is required to maintain, including information about the proportion of referrals made through an automated referral system(15); and

  3. summarize the annual client survey and any operational changes it prompted(16). 

(B) Failure to submit an annual report on time suspends certification unless the State Bar extends the report deadline for good cause.

Rule 3.828 adopted as rule 3.728 January 7, 2011; renumbered as Rule 3.828 November 4, 2011; approved by the Supreme Court effective January 21, 2014; approved by the Supreme Court effective June 1, 2019.

Rule 3.829 Publicity

(A) Publicity, which includes advertising or any other kind of promotional material, must 

  1. indicate that the purpose of the lawyer referral service is to serve its community and improve the quality and affordability of legal services as required by these rules(17); and

  2. acknowledge any sponsorship by the lawyer referral service; identify the counties in which the service operates; and provide the State Bar certification number or certification mark.

(B) Any publicity by a lawyer referral service must comply with the California Rules of Professional Conduct and any other legal requirements.

(C) A copy of any publicity

  1. must be submitted with an application for certification or recertification; and

  2. may be required with the annual report(18). 

Rule 3.829 adopted as rule 3.729 January 7, 2011; renumbered as rule 3.829 November 4, 2011; approved by the Supreme Court effective January 21, 2014; amended March 7, 2014; approved by the Supreme Court effective December 1, 2014.

1 Business & Professions Code § 6155. See also California Rules of Professional Conduct, rule 5.4.

2 Business & Professions Code § 6155(f)(4).

3 See Business & Professions Code § 6155(g).

4 Rule 3.820(E)

5 Business & Professions Code § 6155(f)(1).

6 Business & Professions Code § 6155(a)(2).

7 See rule 3.805.

8 Business & Professions Code § 6155(b).

9 Rule 3.826.

10 Rule 3.828.

11 Business & Professions Code § 6155(f)(5).

12 Business & Professions Code § 6155(f)(6).

13 Business & Professions Code § 6155(f)(1). See rule 3.820(B).

14 See Rules of Professional Conduct, rule 8.4(c)(1).

15 See rule 3.826(C).

16 Rule 3.822(B)(4) and (5).

17 See rule 3.820(C).

18 Rule 3.828.

Chapter 4. Approval to Certify Legal Specialists

Download PDF

Rule 3.900 What these rules are

The California Board of Legal Specialization (“board”) is authorized to certify legal specialists. The board may also recommend that the Board of Trustees approve other entities to certify legal specialists(1). This chapter sets forth the rules that apply to such approved entities. Rules for board certification of legal specialists are set forth elsewhere in this title(2).  

Rule 3.900 adopted effective January 1, 2014

Rule 3.901 Fees

These rules refer to fees and deadlines that are set forth in the Schedule of Charges and Deadlines. 

Rule 3.901 adopted effective January 1, 2014

Rule 3.902 Application to Certify California Legal Specialists

(A) An entity applying for approval to certify California Legal Specialists must demonstrate to the satisfaction of the board and the Board of Trustees that the entity meets the requirements of these rules for approved entities and their specialty programs.

(B) The entity’s application must be completed in accordance with instructions and submitted with the required fee(3). 

Rule 3.902 adopted effective January 1, 2014

Rule 3.903 Requirements of approved entities

(A) The certification program of an approved entity must

  1. serve consumer interests;

  2. have requirements that are clear, not arbitrary, consistently applied, and comparable to those required for board certification in a specialty area of law(4);

  3. test substantive and procedural proficiency as well as relevant issues of legal ethics by

    1. a written examination protected by appropriate security measures; or

    2. acceptable alternative means.

  4. include California law in the written examination and proficiency requirements; and

  5. otherwise comply with these rules.

(B) The Board of Trustees has sole discretion to determine whether an entity has certification requirements that are clear, not arbitrary, consistently applied, and comparable to those required for board certification of legal specialists in the specialty area of law.

(C) In its California advertisements, an approved entity must state the specialty area of law for which the entity is approved by the State Bar of California to certify legal specialists.

Rule 3.903 adopted effective January 1, 2014 

Rule 3.904 Maintaining approval

An entity approved to certify California legal specialists must at all times comply with these rules and

(A) annually submit a Request to Renew Approval to Certify California Legal Specialists with the appropriate fee or late fee; and

(B) promptly report to the board any change in contact information or in the entity’s qualifications as approved by the Board of Trustees.

Rule 3.904 adopted effective January 1, 2014 

Rule 3.905 Revocation of approval

(A) The board may determine to recommend that the Board of Trustees revoke approval to certify legal specialists in California for failure to comply with these rules. The approved entity must be provided with written notice of the intended revocation and reasons for it. Within thirty days of the date of the notice, the approved entity may respond in writing that revocation would be inappropriate. The response must be supported by any relevant evidence.

(B) Within sixty days of receipt of a response to a notice of intent to revoke approval, the board may determine that the certification of the approved entity will continue or the board may recommend that the Board of Trustees revoke approval or continue the approval with conditions. A copy of the recommendation must be provided to the entity.

(C) The decision of the Board of Trustees is final.

Rule 3.905 adopted effective January 1, 2014 

Rule 3.906 Public information

The entity’s Application to Certify California Legal Specialists and any related records and documents submitted by an Applicant are public information, except that actual or proposed written examinations of the entity are confidential. 

Rule 3.906 adopted effective January 1, 2014 3 of 3

1 See Rule of Court 9.35(b).

2 Rule 3.90 et seq.

3 Rule 1.24.

4 See Rule 3.90 et seq.

Chapter 5. Offer and Compromise Program

Download PDF

Rule 3.1000

(A) The State Bar finds there is good cause for the establishment of a one-time Offer and Compromise Program to settle overdue debt owed to the State Bar in order to afford licensees financial relief and to increase State Bar revenue.
 

(B) Notwithstanding any other relevant State Bar Rule or State Bar Rule of Procedure, the State Bar may reduce and/or waive any overdue discipline costs owed pursuant to Business and Professions Code section 6086.10, monetary sanctions owed pursuant to Business and Professions Code section 6086.13, and/or Client Security Fund reimbursement amounts, including interest and processing costs owed pursuant to Business and Professions Code section 6140.5, assessed against a licensee, including disbarred or resigned, on or before January 1, 2025, through an Offer and Compromise Settlement Program.
 

(C) Criteria and implementation of the Office and Compromise Program shall be established pursuant to Guidelines authorized by the executive director or their designee.
 

(D) This Program will not apply to any State Bar debt accrued after January 1, 2025.
 

Rule 3.1000 adopted effective November 14, 2024

 

Division 1. Prospective Licensees

  
 PDF

Division 2. Attorney Licensees

  
 PDF
 PDF
Article I. Appellate Law
 PDF
Article II. Bankruptcy Law
 PDF
Article III. Criminal Law
 PDF
Article IV. Estate Law
 PDF
Article V. Family Law
 PDF
Article VI. Franchise Law
 PDF
Article VII. Immigration Law
 PDF
Article VIII. Taxation Law
 PDF
Article IX. Workers' Compensation Law
 PDF
Article X. Admiralty and Maritime Law
 PDF
Article XI. Legal Malpractice Law
 PDF
 PDF
 PDF
 PDF
 PDF

Division 3. Non-Licensee Attorneys

  
   Chapter 1. Multijurisdictional Practice
 
 
 PDF
 PDF
 PDF
 PDF
HTML 
 PDF

Division 4. Consumers

  
   Chapter 1. Client Security Fund
 PDF
   Chapter 2. Fee Arbitration
                       Fee Arbitration Guidelines
 PDF

Division 5. Providers of Programs and Services

  
 PDF
 PDF
 PDF
 PDF

   Chapter 5. Offer and Compromise Program

 PDF


 

On this page

Division 1. Prospective Licensees Division 2. Attorney Licensees Division 3. Non-Licensee Attorneys Division 4. Consumers Division 5. Providers of Program and Services

Back to top