The Certificate of Compliance Defined
A certificate of compliance is a document or statement filed in accordance with the rules of one or more federal courts that requires the involved parties to confirm that they followed certain procedures and comply with various rules of the court. The guidelines for filing a certificate of compliance can vary by court, and it may be required at different points throughout the litigation process.
A certificate of compliance generally indicates that any documents and briefs filed by the party were completed and submitted in compliance with all codified word count and typography requirements of the court. These documents must be presented to the court before the appellate process can commence.
The certificate of compliance is intended to serve simply as an acknowledgment by the party that they executed their preparation and filing activities in accordance with the procedural rules of the court, but is not intended to be a substitute for compliance with other matters, including but not limited to substantive requirements. And even if a party complies with their requirements and files an accurate certificate of compliance, such certification is not an independent basis for relief . The certificate does not, for instance, allow for a party to obtain relief from failure to file a brief in a timely manner—this is a separate issue.
If it is found that a party was noncompliant with the rules of the court, the court may strike the party’s filing from the record, which would lead to the striking or dismissal of the entire appeal.
In addition to being an acknowledgment that a party filed all their documents in accordance with the court’s rules and requirements, a certificate of compliance also assures the reviewing judges that they do not have to separately analyze the factual descriptions provided by the filing party. The validity of a certificate of compliance is only compromised by factual information that is incorrect or somehow fails to comply with the procedural rules of the court. In fact, a signed certificate of compliance self-certifies the content of the documents and the fact that they are accurate with respect to the submission requirements of the court.
It is critical that any certificate of compliance is accurate with respect to the aspects it certifies, as the reviewing judges are duty bound to determine that the party has met all of its responsibilities related to court requirements.
Why it Matters in Court
Certificates of Compliance hold significant importance in the context of a court case. They serve as formal declarations from a party or their attorney to the court, affirming that they have adhered to the rules, rulings, or orders of the court. The experience and expertise of an attorney are often reflected through this simple but powerful document. When a court has issued a discovery request, for example, the attorney or involved party must review and lead the response process. This means ensuring that all relevant and responsive documents are properly produced. A certificate of compliance is a mechanism for the attorney to (hopefully) save himself from sanctions or penalties. When signed, a certificate of compliance indicates that the attorney has fulfilled the court’s request. And, unless the opposing attorney can prove otherwise, he is not subject to further ancillary liability. However, failure to comply with the court’s request could lead to severe, unfavorable sanctions or default judgments against the noncomplying party. Consequently, a certificate of compliance is an invaluable, reliable mechanism.
When a Certificate of Compliance is Needed
When Is a Certificate of Compliance Required for a Motion?
Although the courts don’t always require one, parties should play it safe and include a certificate of compliance in all motions and oppositions to avoid any issues with service, which can be grounds for denying a motion. A certificate of compliance must be filed in almost every case when it comes to family law cases. Even after the complicated issues of child support, spousal support, custody, or visitation have been resolved, a certificate of compliance may be required even in post-decree petitions for modifications or in contempt proceedings. A Certificate of Compliance with Orange County local Rules requires that a Certificate of Compliance be filed in all cases. Some counties don’t require it in their local rules, but it’s better to be safe than sorry and always include it-especially since a certificate of compliance may be done electronically rather than physically on paper in some counties. Whether or not you were physically present at the hearing in question, you may still be obligated to fill one out. In other circumstances, the court may also require that you obtain a certificate of compliance with the meet and confer requirement before you say that you attempted to contact the other party to prepare for the hearing. In these cases it is up to the court to decide whether or not to grant your petition without requiring that certificate. One circumstance where the court is very likely to require a certificate of compliance before allowing a motion to move forward is when complaints deal with issues of collaboration. For example, the court will rarely allow a complaint for dissolution to move forward without a certificate of compliance on a joint parenting agreement when the other party has had the opportunity to sign that agreement. Other situations that may lead to a denial of a motion if a certificate of compliance is not filed include issues related to child abuse or spousal abuse. In this case the other party may attempt to solicit a restraining order without the certificate of compliance. If the party who wishes to file a post-decree petition for child support modification does not file a certificate of compliance with Orange County local Rules, the other parent may ask to dismiss the case until the compliance is filed. Also note that some states have specific title and subtitle language that you need to include in your certificate of compliance. Consider having your attorney review it to make sure it follows the guidelines for a certificate of compliance in your jurisdiction. In many cases the rules are very specific about the filing requirements for locations, dates, times, and parties. Failure to file a certificate of compliance can lead to some serious consequences. In a recent case, for example, an appellate court case points out that a party failed to file a certificate of compliance and as a result the judge ruled that the other party could keep the contested asset at the heart of the case. Other examples of penalties for failure to file a certificate of compliance include terminating parental rights, terminating spousal support, and denying parenting time with children. Essentially, it is best practice to file a certificate of compliance regardless of whether or not the judge mandates it, and if you didn’t witness the hearing and cannot comply with the rule in question, be sure to contact the other party to confirm that agreement. If the other party was absent from the hearing, or there is a legitimate reason that you did not witness the hearing, you can request that they sign a certificate of compliance for you. The bottom line is that in many cases a certificate of compliance with Orange County local Rules is a mandatory requirement, and that you’re safest when you always include it to avoid incidental violations of the local rules.
Obtaining a Compliancy Certificate
The process for obtaining a certificate of compliance (CoC) may vary depending on the legal context of use, typically related to an order or judgment related to a family law divorce or support matter. If you are seeking a CoC for a divorce, the process is fairly straightforward.
A CoC may be requested from the answer desk at the county courthouse after obtaining your final Judgment of Absolute Divorce. All you need to present is proof of identification and any fees necessary for the county process. Anyone who is legally named on the CoC may obtain a copy, including an attorney representing either party to the divorce.
For all other contexts in which a CoC is necessary, including for any issuance of a CoC by an administrative state agency, you will most likely need to obtain a certification from the clerk of court before you can get your CoC. To do this, you should provide: Once all documents have been filed , you will receive a certificate confirming that you filed for a CoC within 60 days of your court order being entered.
While you do not need to submit your request for a CoC to the court itself, you must send a copy of it, along with your certificate from the clerk of court over the last 60 days, within 14 days of filing the CoC. If you fail to do so, you cannot properly claim the benefit of the discharge of alimony or division of property identified within that order. You will have to file your CoC request within two years of obtaining the final order in this case.
Your CoC will be issued based on your final court order. If a court has entered an order for alimony or for the division of property, but a certificate has not yet filed, creditors can assert claims against the obligor spouse with regard to dischargeable debts. When they know the order has been entered and that a CoC is in the filing, had they not made a claim during the proceedings, they cannot make one after the fact.
The Risk of Not Providing a Certificate of Compliance
The most severe consequence of non-compliance with the certificate of compliance requirement is that your case may be dismissed without further proceedings. For example, in Estate of Riordan v. Union Bank of California (2006) 138 Cal.App.4th 383, a Los Angeles County probate court granted a bank’s petition to distribute the decedent’s estate and discharge the executor. The executor appealed because his petition for final distribution had been on file for more than six months, but the court had not set a hearing date. (See Prob. Code § 11400, subd. (b).) At the time the bank’s petition was granted, the executor had not filed a certificate of compliance as required by section 11005. The Court of Appeal reversed, holding that the bank’s petition was not ripe for hearing until the estate administrator complied with sections 11002 and 11005, subdivision (e) by filing a certificate of compliance with the probate referee. Although it did not dismiss the petition for distribution, the court nevertheless held that the bank could not obtain the requested relief absent compliance with the procedural prerequisites of sections 11002 and 11005(e). As a practical matter, however, absence of a certificate of compliance by the estate administrator will not necessarily cause the court to uphold the bank’s petition at the next hearing because the court will require the bank to file a notice of hearing and proof of service … on all interested parties. In Estate of Ford (2015) 236 Cal.App.4th 231, the Court of Appeal held that a trial court has the discretion to terminate a petition to administer the estate unless the petitioning party produces a certificate of compliance. There, after the petitioner failed to submit a certificate of compliance or the papers necessary to obtain one, the court denied the petition to probate a will that had already been rejected by the probate referee, and ordered the petition dismissed. The court ordered the petitioner to pay the estate’s attorneys’ fees and costs as sanctioned under Probate Code section 8502. In upholding the court’s order, the Court of Appeal concluded that the petitioner was the only beneficiary and there was no reasonable cause for her to petition the court for administration of the estate, thus the court was within its rights to dismiss the petition and order the petitioner to pay the estate’s attorneys’ fees and costs in defending against her petition.
Steps for Getting Compliant
To ensure compliance, it is vital to be proactive and stay informed. Below are some best practices and helpful tips:
- Read Up on Your Rights and Responsibilities: While this may seem like a no brainer, learning as much as you can about the rights and responsibilities involved with a certificate of compliance is crucial. The more knowledge you have on what is required of you and the necessary steps you need to take, the better equipped you will be.
- Stay In Contact with your Attorney: It’s always important to keep an open line of communication with your lawyer throughout your legal proceeding. Always make sure you are updated on what is required of you and what steps you need to take to fulfill said requirements . An experienced attorney will be able to keep track of any upcoming deadlines and send you timely reminders to stay on track.
- Be Proactive: Whether it’s calling your lawyer to check on status updates or reaching out to the court for any information you may be privy to, being proactive is the best way to stay ahead of the game.
- Don’t Wait Until the Last Minute: If an application needs to be filled out, a form submitted or information provided, please do not wait until the last minute to get the job done. If anything were to go sideways, you wouldn’t want to find yourself in a bind due to negligence or tardiness.