California Code of Regulations
Title 2 - Administration
Division 1 - Administrative Personnel
Chapter 1 - State Personnel Board
Subchapter 1.2 - Hearings and Appeals
Article 6 - Evidentiary Hearing Process
Subarticle 2 - Prehearing Provisions
Section 57.1 - Prehearing/Settlement Conferences

Universal Citation: 2 CA Code of Regs 57.1

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) After an evidentiary matter, or any other matter deemed appropriate by the Chief ALJ or his or her designee, has been filed with the Appeals Division, the matter shall be scheduled for a prehearing/settlement conference, unless ordered otherwise.

(b) The ALJ at the prehearing/settlement conference shall not preside as the ALJ at the evidentiary hearing unless otherwise stipulated by the parties.

(c) Each Appellant and his or her representative, and each Respondent and Respondent's representative, shall appear in person at all prehearing/settlement conferences. Individually named Appellants and Respondents must also personally appear at all prehearing/settlement conferences.

(d) Each party or representative who attends the prehearing/settlement conference shall be fully familiar with the facts and issues in the case. Respondents or their representatives must have full settlement authority, or be able to obtain authority immediately by telephone. If Respondent's settlement authority is made available by telephone, the ALJ may require the person providing settlement authority to participate in a teleconference at any time during the two-hour prehearing/settlement conference.

(e) A request to continue a prehearing/settlement conference shall be addressed to the Chief ALJ pursuant to section 60.2.

(f) Each party shall file a written prehearing/settlement conference statement, along with a proof of service, with the Appeals Division 12 calendar days prior to the hearing. The statement shall contain the following information:

(1) The identification by SPB Case Number of all appeals or complaints pending before the Appeals Division or the board, arising out of the same transaction, occurrence, or series of transactions or occurrences.

(2) A brief summary of any stipulated facts.

(3) Identification of affirmative defenses to any claim.

(4) A current estimate of the time necessary to try the case.

(5) The identity of each witness each party may call at the hearing, the subject matter on which the witness is expected to present evidence, and a summary of each witness's expected testimony. Parties are not required to disclose any witness that will be called for rebuttal or impeachment purposes.

(6) The identity of any witness who may be called to testify who is an inmate of any correctional facility. In addition, at the discretion of the Chief ALJ, such individuals may be required to testify via closed circuit television, or by other electronic means.

(7) The name and address of each expert witness each party intends to call at the hearing, together with a brief statement of the opinion each expert is expected to give, and a copy of the current resume or curriculum vitae of each expert witness.

(8) A list of documentary exhibits each party intends to present at the hearing, and a description of any physical or demonstrative evidence. Parties are not required to disclose exhibits that will be used for rebuttal or impeachment purposes.

(9) A concise statement of any significant evidentiary issues to assist the ALJ in conducting the hearing.

(10) Dates of unavailability of the parties, counsel, and witnesses.

(11) If Respondent knows or should know that a portion or all of the hearing will be held by videoconference, dates of unavailability of Respondent's videoconferencing equipment.

(g) Failure to timely file or fully disclose all required items in the prehearing/settlement conference statement without good cause may, at the discretion of the ALJ, result in the exclusion or restriction of evidence at the hearing.

(h) All prehearing/settlement conference statements shall be served on all other parties at least 12 calendar days prior to the prehearing/settlement conference in a manner consistent with Section 52.10, subdivision (b), and a copy shall be provided to the assigned ALJ at the prehearing/settlement conference.

(i) Upon a showing of good cause, a party may seek to amend his or her prehearing/settlement conference statement by a request to amend its prehearing/settlement conference statement. If the amendment is based upon the discovery of new information, the amendment shall be filed within 10 days of learning such information. When a party seeks to amend the prehearing/settlement conference statement, the party shall promptly serve on all other parties and file with the Appeals Division a complete, new prehearing/settlement conference statement incorporating the amendments, along with a declaration supporting his or her request and establishing good cause. The party seeking to amend the statement shall use highlighting or italics or any other effective method to identify the changes made. The new prehearing/settlement conference statement shall be titled a "First Amended Prehearing/Settlement Conference Statement," and subsequent amended statements shall be titled consecutively.

(j) Each party shall bring a copy of the prehearing/settlement conference statement to the prehearing/settlement conference. Each party participating in a prehearing/settlement conference shall have access to any settlement proposal in an electronic format which can be electronically mailed to the ALJ.

(k) Where a case cannot be settled at the prehearing/settlement conference, the ALJ may address such issues as:

(1) Discovery disputes;

(2) Preparation of stipulations;

(3) Clarification of Issues;

(4) Rulings on identity and limitation of the number of witnesses;

(5) Objections to proffers of evidence;

(6) Order of presentation of evidence and cross-examination;

(7) Rulings regarding issuance of subpoenas and protective orders; and

(8) Any other matters that promote the orderly and prompt conduct of the hearing.

(l) Failure of any party to appear and/or proceed at a prehearing/settlement conference shall be deemed a withdrawal of the appeal or the action, unless the hearing is continued for good cause pursuant to section 58.3. Respondent's failure to be able to obtain settlement authority immediately in person or by telephone may be deemed failure of a party to appear and/or proceed.

(m) An ALJ presiding over a prehearing/settlement conference for a back pay claim or a request for back pay hearing shall instruct the parties, consistent with section 61, which parties have the burden to prove which portions of the case at the evidentiary hearing.

1. New section filed 8-12-2002; operative 8-12-2002. Submitted to OAL for printing only pursuant to Government Code section 18214 (Register 2002, No. 33).
2. Change without regulatory effect amending section filed 11-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 48).
3. Amendment of section heading, repealer and new section and amendment of NOTE filed 2-28-2006; operative 2-28-2006. Exempt from the Administrative Procedure Act pursuant to section 18211 of the Government Code and submitted to the Office of Administrative Law for filing with the Secretary of State and publication in the California Code of Regulations pursuant to section 18214 of the Government Code (Register 2006, No. 9).
4. New chapter 2 (sections 57.1-57.2) and repealer and new section filed 8-18-2010; operative 8-18-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 34).
5. Change without regulatory effect redesignating former chapter 2 as new subarticle 2 filed 9-7-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 37).
6. Amendment of subsections (a), (d), (f)-(f)(1) and (f)(5), repealer and new subsection (f)(10), new subsections (g), (i) and (m), subsection relettering and amendment of newly designated subsections (h) and (j) filed 4-12-2013; operative 4-12-2013 pursuant to Government Code section 11343.4(b)(3) (Register 2013, No. 15).
7. Amendment filed 11-30-2017; operative 1-1-2018 (Register 2017, No. 48).

Note: Authority cited: Section 18701, Government Code. Reference: Sections 18675, 11511.5 and 11511.7, Government Code.

Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.