1 vitals-county clerk 2 nd annual staff workshop professional registrations prepared by: vicki...

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VITALS-COUNTY CLERK2ND ANNUAL STAFF

WORKSHOPPROFESSIONAL REGISTRATIONSPrepared by:Vicki Petersen, Sonoma

County Nancy Turner, Napa County

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• Gina Morla, Los Angeles County

• Nancy Turner, Napa County

• David Valenzuela, Ventura County

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LEGAL DOCUMENT ASSISTANTS

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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.

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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.

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DISCUSSION POINTS

• General Facts

• Fees

• Bond

• Educational requirements

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DISCUSSION POINTS (cont.):• Reviewing the Application

– Individual

–Corporation or Partnership

• Registration number

• Expiration date

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DISCUSSION POINTS (cont.):• Primary & Secondary registrations

• Issuing ID cards

–Applicant

–Employee

• Denials, Appeals & Revocations

• Miscellaneous

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GENERAL FACTS

Legal Document Assistants are

Mandated by

Business & Professions Code

Sections 6400 – 6415

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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.

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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

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• 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 expiresB&P 6406(a)

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GENERAL FACTS (cont.):Description B&P 6400(c):1. 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.

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GENERAL FACTS (cont.):2. 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, any self-help service to a member of the public who is representing him/herself in a

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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,

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*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)

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• 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

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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

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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, or providing

services to, supervised financial institution, holding company, subsidiary or affiliate

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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 businessAND– Any other county where duties are

performedB&P 6402

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GENERAL FACTS (cont.):• Fees:

– $182 - Registration & filing bond B&P 6404 & 6405(4)(c)

– $ 7+ - Record the 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

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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

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– 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

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• 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

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•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

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FEESClerk 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:• $7+ for 1st page, standard format• $3 each additional page

B&P 6405(d) & GC 27361

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BOND

• After confirming the bond meets the requirements listed on slides 22:– Verify there is enough room at the top

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:”

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BOND (cont.):– File stamp the 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

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BOND (cont.):• Notice of cancellation, revocation, or

withdrawal of bond is received:– Confirm notice pertains to a current

registration– Confirm you have correct filing &

recording fees•$7 Filing fee to County Clerk B&P 6405(c)

•$7+ 1st page, $3 each additional page to Recorder GC 27361

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BOND (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

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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

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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

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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

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EDUCATIONAL REQUIREMENTS

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

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EDUCATIONAL REQUIREMENTS (cont.):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

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EDUCATIONAL REQUIREMENTS (Cont.):3. Bachelor’s degree in any field

AND• Completion of at least one year law-

related experience under supervision of a licensed attorneyOR

• A minimum of one year experience, prior to January 1, 1999, providing self-help service

OR

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EDUCATIONAL REQUIREMENTS (Cont.):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

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REVIEWING THE INDIVIDUAL APPLICATIONApplication for an Individual – B&P

6403

1. Primary registration or Secondary registration

– If Secondary, confirm that name of the County of Primary registration is included

2. Name, age and telephone number are provided

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INDIVIDUAL APPLICATION (cont.):

3. 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

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INDIVIDUAL APPLICATION (cont.):4. 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

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– 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)

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INDIVIDUAL APPLICATION (cont.):5. Application is executed under

penalty of perjury, is dated, and

contains an original signature of the

applicant

B&P 6403(d)

6. Applicant has the proper filing fees

as shown on slide 26

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INDIVIDUAL APPLICATION (cont.):7. 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”

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8. Applicant is able to provide acceptable identification B&P 6403(b)

9. Passport size or smaller photo is provided for ID card, some counties do not require the applicant to provide their own photo

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REVIEWING CORPORATE / PARTNERSHIP APPLICATIONApplication for Corporation or

Partnership B&P 6403(c)1. Primary registration or Secondary

registration B&P 6403(c)(7)– If Secondary, confirm name of the

County of Primary registration is included

2. Name, age and telephone number of each corporate officer or general partner, as applicable, are provided – B&P 6403(c)(1)

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CORPORATE APPLICATION (cont.):3.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

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CORPORATE APPLICATION (cont.):4. Address is included, can be a

mailing

5. 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

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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)

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CORPORATE APPLICATION (cont.):6. 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

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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

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− Partnership applications must be signed by at least one general partner

7. 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, is submitted

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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

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PRIMARY & SECONDARY REGISTRATIONS

•Primary registration:

–County of principal place of business

•File application

•Pay fees

•Submit & record original bond

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PRIMARY & SECONDARY REGISTRATIONS (cont.):

•Secondary registration:

– In all Counties where services are performed•File application•Pay fees•Submit & record certified copy of original bond

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REGISTRATION NUMBER• 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 applicationB&P 6407(a)

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EXPIRATION DATE

• COMPARE:– Date that ends 2 year registration term

TO– Expiration date shown on bond

• CHOOSE the earliest date B&P 6406(a)– Enter this date:

•On application for expiration date•ID card•Legal Document Assistant Index

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ISSUING ID CARDS• 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)–3-1/2” x 2-1/4”

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ISSUING ID CARDS (cont.):– Card shall contain:

•Title: Legal Document Assistant•Registrant’s name, address•Name of County of Registration •Registration No. & Expiration Date•Photograph in lower left corner

–If natural person (i.e. individual or employee)

–Corporations & Partnerships ID cards do not contain photographs

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ISSUING ID CARDS (cont.):– 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”

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DENIALS, APPEALS & REVOCATIONS

• 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

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DENIALS, APPEALS & REVOCATIONS (cont.):• Appeal – B&P 6406(d):

– Applicant submits appeal to Director of Dept. of Consumer Affairs:•Completed application, County Clerk notice w/reasons for 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)

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DENIALS, APPEALS & REVOCATIONS (cont.):

•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)

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• 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

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– 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

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RETENTION

• 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)

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MISCELLANEOUS

• 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

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Individual LDA

Pg. 1

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Individual LDA

Pg. 2

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Individual LDA

Pg. 3

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Corporation/Partnership LDA

Pg. 1

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Pg. 2

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Pg. 3

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NOTICE OF DENIAL-LDA-UDA

Pg. 1

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NOTICE OF DENIAL-LDA-UDA

Pg. 2

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Legal Document Assistant ID

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REGISTRATIONS AT-A-GLANCE

1 vitals-county clerk 2 nd annual staff workshop professional registrations prepared by: vicki...

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