1. Prepared by: Vicki Petersen, Sonoma County Nancy Turner, Napa County 1

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

3. LEGAL DOCUMENT ASSISTANTS 3

4. 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. 4

5. 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. 5

6.  General Facts  Fees  Bond  Educational requirements 6

7.  Reviewing the Application  Individual  Corporation or Partnership  Registration number  Expiration date 7

8.  Primary & Secondary registrations  Issuing ID cards  Applicant  Employee  Denials, Appeals & Revocations  Miscellaneous 8

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

10.  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. 10

11. 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 11

12.  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) 12

13. 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. 13

14.  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, 14

15. 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, including any legal document assistant employed by a partnership or corporation, 15

16. *may not provide any self-help service for compensation, 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) 16

17.  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 17

18. − 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 18

19.  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 19

20.  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 20

21.  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 21

22.  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 22

23.  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 23

24.  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 24

25.  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 25

26.  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 26

27.  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:” 27

28.  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 28

29.  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 29

30.  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 30

31.  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 31

32. *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 32

33. *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 33

34. B&P 6402.1 To be eligible to apply as an LDA, the applicant shall possess at least one of the following: 1. Certificate of completion from a paralegal program approved by the American Bar Association OR 34

35. 2. 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 35

36. 3. 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 36

37. 4. 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 37

38. 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 38

39.  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 39

40.  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 40

41.  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) 41

42.  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 42

43.  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” 43

44.  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 44

45. 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) 45

46.  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 46

47.  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 47

48.  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) 48

49.  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 49

50.  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 50

51.  Partnership applications must be signed by at least one general partner  Applicant has the proper filing fees as shown on slide 26  Original bond for correct amount as listed on slide 22 to cover the number of employees listed in application 51

52. AND  Is in the name of the corporation or partnership  In favor of the State of California and includes county where primary registration is filed – B&P 6405(h)  Covers the 2 year registration period  One of the corporate officers or general partners has signed the bond as “Principal” on behalf of the corporation or partnership 52

53.  Primary registration:  County of principal place of business  File application  Pay fees  Submit & record original bond 53

54.  Secondary registration:  In all Counties where services are performed  File application  Pay fees  Submit & record certified copy of original bond 54

55.  If applicant is filing a new registration, or previous registration lapsed:  Assign the next consecutive number from Registration Log  If applicant is renewing and there is no lapse in the registration period:  Copy previous registration number to new application B&P 6407(a) 55

56. COMPARE the date that ends 2 year registration term TO the expiration date shown on bond CHOOSE the earliest date and enter on:  Application for expiration date  ID card  Legal Document Assistant Index B&P 6406(a) 56

57.  Mandated ID card requirements – B&P 6407  ID card – Term of Registration  Employee ID cards B&P 6407(a)  Card specifications B&P 6407(b)  Not less than 3-1/4” x 2” 57

58.  Card shall contain:  Title: Legal Document Assistant  Registrant’s name, address  Name of County of Registration  Registration # & Expiration Date  Photograph in lower left corner  If natural person (individual/employee) 58

59.  Corporation & Partnership ID cards do not contain photographs  A statement in 12-point boldface type, above title: “This person is not a lawyer”  A statement in 12-point boldface type, at bottom: “The county clerk has not evaluated this person’s knowledge, experience, or services” 59

60.  Denial – B&P 6406(c):  If the County Clerk finds applicant has failed to meet requisite requirements:  The County Clerk shall return the application and fee within 3 business days of submission of the application, with a notice indicating reason for denial and the method of appeal 60

61.  Appeal – B&P 6406(d):  Applicant submits appeal to Director of Dept. of Consumer Affairs:  Completed application, County Clerk’s denial & copies of documentation  Within 30 days of receipt, Director shall send a written decision to applicant & county clerk listing reasons application shall be granted or denied – B&P 6406(e) 61

62.  If Director orders application granted, applicant may resubmit the application, with appropriate filing fees and written decision of the Director  The County Clerk shall file the application within 3 business days of receipt of the notice B&P 6406(f) 62

63.  Revocations:  County Clerk shall revoke a registration upon receipt of official document pertaining to conviction of offenses described in Sections 6125-6127 B&P 6413 63

64.  Disposition of court actions shall be provided by the city/district attorney or plaintiff  Revoked registrant may reapply after 3 years  Registrant may challenge decision in court B&P 6414 64

65.  Retain hard copy registration certificates for 3 years following the expiration date  If the certificate is scanned the hard copy may be destroyed  The scanned image shall be retained for a period of 10 years B&P 6403(e) 65

66.  Complaints regarding violations by a legal document assistant may be filed in any superior court B&P 6412.1  Data entry as required in your system and/or add to registration list/index 66

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