VITALS-COUNTY CLERK 5 th ANNUAL STAFF WORKSHOP PROFESSIONAL REGISTRATIONS

1. VITALS-COUNTY CLERK5th ANNUAL STAFF WORKSHOPPROFESSIONAL REGISTRATIONS Prepared by: Vicki Petersen, Sonoma County Nancy Turner, Napa County

2. AND PRESENTED TO YOU TODAY BY: Nancy Turner, Napa County Carla Reinking, Sonoma County

3. All you ever wanted to know about: LEGAL DOCUMENT ASSISTANTS

4. BUT FIRST A TWO PAGE DISCLAIMER This is a training workshop, but local practices do vary from county to county according to local policy and practice as well as local county counsel opinions.

5. WARNING! No practice or procedure you become aware of as a result of this workshop should be implemented in your own office without the full AWARENESS and APPROVAL of the County Clerk or Recorder for whom you work.

6. DISCUSSION POINTS • General Facts • Fees • Bond • Educational requirements

7. DISCUSSION POINTS (cont.): • Reviewing the Application • Individual • Corporation or Partnership • Registration number • Expiration date

8. DISCUSSION POINTS (cont.): • Primary & Secondary registrations • Issuing ID cards • Applicant • Employee • Denials, Appeals & Revocations • Miscellaneous

9. GENERAL FACTS Legal Document Assistants are Mandated by: Business & Professions Code Sections 6400 – 6415 CLERKS REFERENCE MANUAL (CRM) PAGES 19 - 26

10. GENERAL FACTS (cont.): • Mandates are concurrent with those for Unlawful Detainer Assistants • Law was amended in 1998 to include the description of Legal Document Assistants • Applications & Indices are a public record Pursuant to the Public Records Act GC 6253 et seq.

11. GENERAL FACTS (cont.): Term of Registration is 2 Years OR Date bond expires OR Until total number of LDA employed by partnership/corporation exceeds the number allowed by the amount of bond in effect, whichever occurs first B&P 6406

12. GENERAL FACTS (cont.): • Renewal: • Registration may be renewed up to 60 days prior to current expiration date, and the effective date of the renewal shall be the date the current registration expires B&P 6406(a)

13. GENERAL FACTS (cont.): Description B&P 6400(c): • Any person who is not exempted under B&P 6401 and who provides, or assists in providing, or offers to provide, or offers to assist in providing, for compensation, any self-help service to a member of the public who is representing him/herself in a legal matter, or who holds him/herself out as someone who offers that service or has that authority.

14. GENERAL FACTS (cont.): • A corporation, partnership, association, or other entity that employs or contracts with any person not exempted under B&P 6401 who, as part of his/her responsibilities, provides, or assists in providing, or offers to provide, or offers to assist in providing for compensation,

15. GENERAL FACTS (cont.): any self-help service to a member of the public who is representing him/herself in a legal matter, or holds him/herself out as someone who offers that service or has that authority *A legal document assistant, includingany legal document assistant employed by a partnership or corporation,

16. GENERAL FACTS (cont.): *maynot provide any self-help service forcompensation, unless the legal document assistant is registered in the county in which his or her principal place of business is located and in any other county in which he or she performs acts for which registration is required B&P 6400(f)

17. GENERAL FACTS (cont.): • Persons not required to file, provided that person does not also perform the duties of an LDA – B&P 6401: • A secretary/receptionist of a person providing or assisting to provide self-help service • A government employee acting on behalf of their job

18. GENERAL FACTS (cont.): • State Bar member, his/her employee, Paralegal, agent or independent contractor acting on his/her behalf • Any employee of a non-profit, tax-exempt corporation assisting clients without charge • A licensed real estate broker or salesperson acting on an unlawful detainer action

19. GENERAL FACTS (cont.): • An immigration consultant • A Professional Photocopier • A person providing services relative to title or escrow • A person providing services regulated by federal law • A person employed by/providing services to, supervised financial institution, holding company, subsidiary or affiliate

20. GENERAL FACTS (cont.): • The County Clerk has 3 days in which to review the application and submitted documentation before filing or rejecting B&P 6406(c) • Registrations are filed in: • County of principal place of business AND • Any other county where duties are performed B&P 6402

21. GENERAL FACTS (cont.): • Fees: • $182 - Registration & filing bond B&P 6404 & 6405(4)(c) • Current recording fees for bond GC 27361 • Photos B&P 6407(b): • Passport size (or smaller) • Photo not required in all counties • No photo allowed for corporation/partnership registrations

22. GENERAL FACTS (cont.): • Bond Requirements B&P 6405: • Dependent on the type of registration and number of employees • $25,000 - Individual or employee • $25,000 - Corporation or Partnership with 1 to 4 employees • $50,000 - Corporation or Partnership with 5 to 9 employees • $100,000 - Corporation or Partnership with 10 or more employees

23. GENERAL FACTS (cont.): • Changes in the number of employees may change bond amount and require a new bond to be filed and recorded with County Clerk and Recorder B&P 6405(a)(3) • Cash in lieu of bond – B&P 6405(e) • Deposit will be held in an interest bearing account - CCP 995.710(1) • Deposit will be retained for 3 years following registration in case a claim is made against the account

24. GENERAL FACTS (cont.): • Denial by the County Clerk B&P 6406(c): • Applicant may appeal to Director of Consumer Affairs – B&P 6406(d) • Director may order County Clerk to accept registration • Director may concur with denial

25. GENERAL FACTS (cont.): • Written decision shall be sent by the Director of Consumer Affairs to the applicant and County Clerk within 30 days of submission • If applicable, County Clerk shall file application within 3 business days of receiving order from Director of Consumer Affairs

26. FEES • Clerk fees: • $182 (first ID card included) • $175 Registration B&P 6404 • $7 File stamp the bond B&P 6405(c) • Additional ID cards $10 each B&P 6407(a) • Recorder fees: • Recorder fee varies by county; check for the current recording fees B&P 6405(d) & GC 27361

27. BOND • After confirming bond meets requirements listed on slide 22: • Verify room for recording stamp • Or, attach a cover page and collect additional recording fee • Verify Applicant’s Name and Address are shown in upper left-hand corner after the phrase, “When recorded return to:”

28. BOND (cont.): • File stamp bond in an area where it will fit without covering text or recording space • Send bond & recording fee to the Recorder • It’s recommended your records contain the surety name in case you receive notification from Dept. of Insurance that the surety is no longer authorized in CA

29. BOND (cont.): • Notice of cancellation, revocation, or withdrawal of bond is received: • Confirm the notice pertains to a current registration • Confirm correct filing & recording fees • $7 Filing fee to County Clerk B&P 6405(c) • Check with your County Recorder for current recording fees GC 27361

30. BOND (cont.): • Notice of cancellation, Cont. : • Send registrant a certified letter requiring submission of a new bond within 30 days or the registration will be revoked and the registration number will be retired

31. BOND (cont.): • Bonds given as a condition of a license or permit shall be continuous in form, remain in full force and effect, and run concurrently with the license or permit period and any and all renewals, or until cancellation or withdrawal of the surety from the bond CCP 995.440

32. BOND NOTES: *If applicant is an employee of a registered corporation or partnership, and is covered under their bond, the employee is not required to post an individual bond. It is recommended, however, that the clerk have something in writing from the corporation or partnership that shows the employee is covered under their bond

33. BOND NOTES (cont.): *If this is a secondary registration, the applicant will provide a certified copy of the original bond, attach a cover sheet and record that certified copy B&P 6405(a)(1) *If the bond is less than 2 years, the registration will expire when the bond expires B&P 6406(a) *If the applicant is filing a renewal, the bond may have a delayed renewal date

34. EDUCATIONALREQUIREMENTS B&P 6402.1 To be eligible to apply as an LDA, the applicant shall possess at least one of the following: • Certificate of completion from a paralegal program approved by the American Bar Association OR

35. EDUCATIONAL REQUIREMENTS (cont.): • Certificate of completion from a paralegal program institutionally accredited but NOT approved by the American Bar Association AND • Completion of a minimum of 24 semester units in legal specialization courses OR

36. EDUCATIONAL REQUIREMENTS (cont.): • Bachelor’s degree in any field AND Completion of at least one year law-related experience under supervision of a licensed attorney OR A minimum of one year experience, prior to January 1, 1999, providing self-help service OR

37. EDUCATIONAL REQUIREMENTS (cont.): • High School diploma or GED AND Minimum of two years of law-related experience working under the supervision of a licensed attorney OR • Minimum two years experience, prior to January 1, 1999, providing self-help service

38. INDIVIDUAL APPLICATION Application for an Individual – B&P 6403 • Primary registration or Secondary registration • If Secondary, confirm that name of the County of Primary registration is included • Name, age and telephone number are provided

39. INDIVIDUAL APPLICATION (cont.): • Educational requirements are met: • Applicant MUST qualify under numbers 1, 2, 3 or 4 as listed on slides 34-37 • Copies of diplomas and/or letters of experience are attached, as required in B&P 6402.1

40. INDIVIDUAL APPLICATION (cont.): • Answers are given to questions regarding civil or criminal convictions, revocations or disbarment as required in B&P 6403 • Requires a “Yes” or “No” response on the application

41. INDIVIDUAL APPLICATION (cont.): • If a “Yes” response is given to any of the questions, County Clerk MUST deny the registration, return the application, fees, and provide applicant with a Notice of Denial form indicating the reason(s) for denial and the method of appeal B&P 6406(b) & 6406(c)

42. INDIVIDUAL APPLICATION (cont.): • Application is executed under penalty of perjury, is dated, and contains an original signature of the applicant B&P 6403(d) • Applicant has the proper filing fees as shown on slide 26

43. INDIVIDUAL APPLICATION (cont.): • Original bond for $25,000 is submitted B&P 6405 • Is in the name of the applicant • In favor of the State of California and includes county where primary registration is filed • Covers the 2 year registration period • Applicant has signed the bond as “Principal”

44. INDIVIDUAL APPLICATION (cont.): • Applicant is able to provide acceptable identification B&P 6403(b) • Passport size or smaller photo is provided for ID card, some counties do not require the applicant to provide their own photo

45. CORPORATE / PARTNERSHIP APPLICATION Application for Corporation or Partnership B&P 6403(c) • Primary registration or Secondary registration B&P 6403(c)(7) • If Secondary, confirm name of the County of Primary registration is included • Name, age and telephone number of each corporate officer or general partner, as applicable – B&P 6403(c)(1)

46. CORPORATE APPLICATION (cont.): • Educational requirements for one corporate officer or general partner are met: • Application must indicate name of corporate officer or general partner for whom education and experience is provided and that person MUST qualify under numbers 1, 2, 3 or 4, as listed on slides 34 - 37 • Copies of diplomas and/or letters of experience are attached, as required in B&P 6402.1

47. CORPORATE APPLICATION (cont.): • Address is included, can be a mailing • Each corporate officer or general partner answers all questions regarding civil or criminal convictions, revocations or disbarment, as required in B&P 6403(c)(2) – (6) • Requires a “Yes” or “No” response on the application

48. CORPORATE APPLICATION (cont.): • If a “Yes” response is given to any of the questions, the County Clerk MUST deny the registration, return the application, fees, and provide applicant with a Notice of Denial form indicating the reason(s) for denial and the method of appeal B&P 6406(b) & 6406(c)

49. CORPORATE APPLICATION (cont.): • Application is executed under penalty of perjury on behalf of all corporate officers or general partners, is dated, and contains original signatures as follows on next slide: B&P 6403 & Dept. Consumer Affairs Reg. Title 16, Article 1, Section 3900

50. CORPORATE APPLICATION (cont.): • Corporate applications must be signed by: • Chairman of the Board OR • President OR • Vice President AND Secretary, Assistant Secretary, Chief Financial Officer, or Assistant Treasurer