County Clerk reference manual

7/29/2019 County Clerk reference manual

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Coun ty Clerks Reference Manu a l

COUNTYCLERKS

REFERENCE MANUAL

Date: 02/29/2008

A reference manual for statewide County Clerk personnel


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Count y Clerk s

Referenc e Manual

Vicki Petersen Sonoma County

Gina Alcomendras Santa Clara County

Barbara Chambers Contra Costa County

Marlene Smith Los Angeles County

Monique Blakely Los Angeles CountyGina Morla Los Angeles County

Tauna Mallis Riverside County

Victoria Rodriguez Riverside County

Donna Allred Sacramento County

De Ana Thompson San Bernardino County

Wendy Everett San Bernardino County

Jenny Stasik San Bernardino County

Marvin Hackett Stanislaus County

David Valenzuela Ventura County

Sheila Harmon Ventura County

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DISCLAIMER

The County Clerks Reference Manual is a training manual. It is designed to be used as a procedural guideline forCalifornia County Clerk personnel whose local County Clerks Office follows the guidelines contained herein.County Clerks are responsible for determining the acceptability, not the legal sufficiency of all documents presentedfor filing. QUESTIONS REGARDING THE LEGAL SUFFICIENCY OF ANY DOCUMENT SHOULD BEREFERRED TO AN ATTORNEY. Although this manual contains references to Federal, California State and localcodes, it does not purport to be a legal manual and must not be relied upon as a statement of law.

Provision of this manual to anyone other than the members of the County Clerk staff is done as a courtesy and isonly intended as a guideline.

The County Clerk Reference Manual committee hopes the use of this procedural manual becomes widespreadamong California County Clerks, however, LOCAL PRACTICES MAY VARY, THEREFORE, BEFORE RELYING

UPON THE INFORMATION CONTAINED HEREIN, PLEASE CONSULT THE LOCAL COUNTY CLERKSOFFICE REGARDING ITS SPECIFIC PRACTICES.

NOTE: The sample documents presented herein are for the purposes of illustration only and are not intended foractual use.

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Table of Contents 4


Table of Contents Page No.

Subject Type of Filing

FBN Quick Reference 6

Examination Procedure 7

Registrants Required/Who Can Sign 9

Withdrawal From Partnership - Quick Reference 13

Withdrawal From Partnership - Examination Procedure 14

Abandonment - Quick Reference 15

Abandonment - Examination Procedure 16

Proofs of Publication - Quick Reference 17

Proofs of Publication - Filing Procedure 18

LDA Quick Reference 19

Education Requirements 21

Bond/cash in lieu of 22


Denials, Appeals, Revocations & Complaints 26

UDA Quick Reference 27

Bond/cash in lieu of 29


Denials, Appeals, Revocations & Complaints 32

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Table of Contents 5


Table of Contents Page No.

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FBN Quick Reference 6

Coun ty Clerks Reference Manu a lCoun ty Clerks Reference Manu a l

TITLE: FICTITIOUS BUSINESS NAME STATEMENT (FBN) - QUICKREFERENCE

Purpose: To make available to the public the identities of those persons or business entities doing businessunder fictitious business names.

Filing Requirements:1. Name(s) of fictitious business(es) - B&P 17913(b)(1).2. Street address and county of principal place of business - B&P 17913(b)(2).3. Full name of registrant(s) - B&P 17913(b)(3).4. Residence address of registrant(s) - B&P 17913(b)(3)

Note: If registrant is registered with the Secretary of State as a corporation or a limited liability company

insert the address as shown in their articles of incorporation or organization on file with the CASecretary of State5. The manner in which the business is being conducted - B&P 17913(b)(4).6. The date of the start of business, or N/A - B&P 17913(b)(5).7. Signature of registrant - B&P 17914. See list of registrants of pages 9-12 Registrants Required/Who Can

Sign.

Fees:B&P 17929, or as determined by local codes or ordinance.

Legal References:B&P 17900 - 17930; 14411 - 14418

Indexing:B&P 17925

Publication:B&P 17917

Retention:B&P 17925(b) - IndicesB&P 17927(a)(c) - Hard Copy

Pre-filing Checklist:1. Place of filing - B&P 17915.2. Person or entity not required to file: (Non-Profit Corporation, Organization or Association, etc.) - B&P 17911.3. Business name is not fictitious (i.e., surname in name of business, corporation or LLC using name as

registered with Secretary of State, etc.) - B&P 17900..

Comments:1. The filing of a FBN Statement is not an exclusive reservation of the name. The County Clerk is required to file any statement that meets the requirements of this chapter and is

accompanied by the required filing fee. The County Clerk is not authorized to reject a statement on thegrounds that the particular fictitious business name is already in use or the statement was not presentedfor filing within the time specified in Section 17910. [B&P 17927 Law Revision Commission Comments].

2. The status of the filing (first, renewal, etc) - B&P 17920.3. Signatures by mark - Government Code 16 (see page 12, Registrants Required/Who Can Sign).4. The following are optional and not a statutory requirement:

a. Previous file number.b. Verification of registration as a Corporation or Limited Liability Company (LLC) - with the Secretary of

State.

Expiration:B&P 17920

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FBN Examination Procedure 7


TITLE: FBN EXAMINATION PROCEDURE

STEP ACTION1. Review FBN form (see sample form pg. _) for the following:

a. Must be legible, complete and meet all filing requirements of numbers 1 - 7 listed on theFBN Quick Reference page 6.

b. If there is more than one business name, multiple business names shall be clearly identified

(i.e., #1, #2, etc). Additional fictitious business names can be included on a separate sheet(see related forms pg. _ ).

c. If any fictitious business name includes the words:i. Corporation, Corp., Incorporated, Inc., etc., the registered owner must be a

corporation [B&P 17910.5(a)].ii. Limited Liability Company, LLC, LC, etc., the registered owner must be a Limited

Liability Company [B&P 17910.5(b)].Comment: A business conducted by a Limited Liability Partnership,LLP, Limited Partnership, LP, or General Partnership requires thename(s) and residence address(es) of the general partners of thepartnership be listed in the registered owner field - not the name ofthe actual partnership. You can allow the customer to include thename of the partnership after the signature of the person signing the

statement (see pages 9-12 Registrants Required/Who Can Sign).d. Street address and county of principal place of business.i. PO Boxes or PMB addresses are only acceptable as mailing addresses and can

only be listed if they are in addition to the physical street address.ii. Must be located in county where FBN is being filed, however, the law does not

preclude a person from also filing in another county as long as they've filed in thecounty where the principal place of business is located.

iii. If principal place of business is located outside of California, statement must befiled in Sacramento County [B&P 17915].

iv. If customer does not have a separate business address, their residence address isacceptable as the business address.

e. To determine what registrant(s) must be listed, check form to see how business is beingconducted.

f. Name and residence address of each registrant must be listed, except when the registrantis a corporation or a limited liability company. In those instances, the name and address ofthe corporation or limited liability company as it appears in their articles of incorporation/organization on file with the Secretary of State and the State of Incorporation/Organizationmust be listed. (See pages 9-12 Registrants Required/Who Can Sign).

Purpose: To examine the FBN application for legibility, accuracy, and completeness.

Pre-filing Checklist:1. Place of filing - B&P 17915.2. Person or entity not required to file: (Non-Profit Corporations, Organizations or Associations, etc.) - B&P

17911.3. Business name is not fictitious (i.e., surname in name of business, corporation or LLC using name as

registered with Secretary of State, etc.) - B&P 17900.

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FBN Examination Procedure 8


TITLE: FBN EXAMINATION PROCEDURE

STEP ACTION

g. If customer has already started to transact business using a FBN, customer should enterthe starting date. Customers have difficulty with this decision, but the customer must be theone to make this decision. Customers who have not started to transact business mustenter N/A, they cannot use a date in the future.Comment: If a customer is adding a new FBN to an existing filing, there may be twodifferent start dates. In this case, the customer can indicate a different start date for eachbusiness name, or by using a new date as the date they started doing business using bothFBNs. Follow your local county guidelines.

h. Signature depends on customers answer to step e (see pages 9-12 RegistrantsRequired/ Who Can Sign).

i. Proper box must be checked (not a statutory requirement).It is suggested you follow yourlocal county guidelines. If this is:

A first filing (new or original filing). A refile with no changes filed within 40 days of expiration of previous statement.

A refile with changes (publication is required) (this may constitute a new filing).

A refile after 40 days of expiration of previous filing (publication required).

2. * File the statement.a. Assign file number.b. Affix Filed stamp to statement.

3. * Cashiering/Receipting.4. Issue certified copy.5. Give customer a list of adjudicated newspapers and explain the publication requirements.6. Inform customer about expiration of FBN.

7. Give additional information etc., as applicable.

* These steps are interchangeable depending on each countys guidelines and program system.

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FBN Registrants Required/Who Can Sign 9


TITLE: FBN REGISTRANTS REQUIRED/WHO CAN SIGN

REGISTRANTS REQUIRED - B&P 17913(3) / WHO CAN SIGN - B&P 17914

1. An Individuala. The full name and residence address of the individual [B&P 17913(3)].b. Statement must be signed by the individual listed as the registrant [B&P 17914].

2. Husband & Wifea. The name and residence address of the husband and wife[B&P 17913(3)].

i. Thenames must be listed as separate registrantsDO NOT allow the customer to putboth names in one registrant space on the form (i.e.: Mickey & Minnie Mouse).

b. Statement must be signed by the husband orwife listed as the registrant. It is okay to accepta statement that is signed by both the husband and wife [B&P 17914].

3. General Partnershipa List all general partners and their residence address. [B&P 17913(3)]. A general partnership

must have at least two registrants.i Corporations or LLCs can be listed as a registrantas long as they are a generalpartner of the business. It is possible for two or more corporations and/or LLCs, orboth, to be listed as the general partners. Do not allow the name of the generalpartnership to be included as a separateregistrant.

b. Statement must be signed by one of the general partners listed in the registrant field (i.e.:Mickey Mouse, General Partner of Mickey and Minnie General Partnership). [B&P 17914]. It isokay to accept a statement that is signed by more than one of the general partners.

4. Limited Partnership a. List all general partners and their residence address [B&P 17913(3)]. A limited partnership

must have at least one registrant.i. Corporations or LLCs can be listed as a registrant as long as they are a general

partner of the business. Most limited partnerships only have ONE general partner however, it is possible to have more than one. The statement CANNOT include thenames of the limited partners. If you receive an FBN being filed as a limitedpartnership and there are multiple registrants question whether or not all registrantsare general partners. If applicable, have the customer remove the name(s) of anylimited partners that have been included as a registrant. DO NOT ALLOW THENAME OF THE LIMITED PARTNERSHIP TO BE INCLUDED AS A SEPARATEREGISTRANT. You can allow the customer to sign the statement and include thefollowing:

Name of person signing must be the general partner(s) listed inthe registrant field, general partner of and the name of the limitedpartnership.

b. Statement must besigned by at least one of the general partner(s) listed as the registrant(B&P 17914) it is okay to accept a statement that is signed by more than one of the general

partners if there are multiple general partners listed as registrants.

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5. Corporationa. The name of the corporation, address and state of incorporation [B&P 17913(3)] as listed in

their articles of incorporation on file with the California Secretary of State must be listed as the

registrant. NOTE: The name must be listed EXACTLY the same as it is in their articles ofincorporation (i.e.: no abbreviations to any part of the name including Inc., Corp., etc.).

b. Statement must be signed by a corporate officer [B&P 17914] and their title. Generally, thefollowing titles fall into the category of a corporate officer:

CEO (Chief Executive Officer) CFO (Chief Financial Officer) President Secretary Treasurer Vice President

The following titles are notacceptable: General Manager

Controller Compliance Officer Foreman

Winemaker Owner Attorney in Fact Corporate Attorney

Any other title that is not listed above as being acceptable should be questioned BEFORE youfile the statement.

6. Trusta. The name and residenceaddress of eachtrustee[B&P 17913(3)].

i. One or more names may be listed as the registrant(s), however, all names listed

must be trustees.b. The statement must be signed by one of the trustees listed in the registrant field [B&P

17914].

i. It is okay to accept a statement that is signed by multiple trustees as long as all ofthose signing are listed in the registrant field.

ii. It is okay to allow the customer to include the name of the trust for which they are atrustee in the area where they print their name (i.e., John Jones, Trustee of theJones Family Trust dated 2/1/00 etc.). DO NOT allow the name of the TRUST tobe listed as a separate registrant.

7. Co-Partnersa. The name and residence addressof all general partners [B&P 17913(3)]. Two or more

names must be listed as the registrant(s).b. Statement must be signed by one of the general partners listed as a registrant [B&P 17914].

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8. Joint Venture

a. The name and residence address of all general partners [B&P 17913(3)]. Two or morenames must be listed as the registrant(s).

b. Statement must be signed by one of the general partners listed as a registrant [B&P17914].

9. Unincorporated Associationa. The name and residence address of all general partners [B&P 17913(3)]. Two or more

names must be listed as the registrant(s).b. Statement must be signed by one of the general partners listed as a registrant [B&P

17914].

10. Limited Liability Companya. The name of the LLC, address and state of registration [B&P 17913(3)] as listed in their

articles of organization on file with the California Secretary of State must be listed as the

registrant.i. The name must be listed EXACTLY the same as it is in their articles of

organization (i.e.: no abbreviations to any part of the name including Lmtd., Liab.,Co., etc.).

b. Statement must be signed by a manager or officer [B&P 17914] and their title. Generally,the following titles fall into the category of a corporate officer:

CEO (Chief Executive Officer)

CFO (Chief Financial Officer) President Secretary Treasurer Vice President

The following titles are notacceptable: General Manager Controller Compliance Officer Foreman

Winemaker Owner Attorney in Fact Corporate Attorney

Any other title that is not listed above as being acceptable should be questioned BEFOREyou file the statement.

11. Limited Liability Partnershipa. The name and residence address of all general partners [B&P 17913(3)]. Two or more names

must be listed as the registrant(s).b. Statement must be signed by one of the general partners listed as a registrant [B&P 17914].

12. State or Local Registered Domestic Partnersa. The name and residence address of both domestic partners [B&P 17913(3)].

i. The names must be listed as separate registrants DO NOT allow the customer to putboth names in one registrant space on the form (i.e.: Mickey & Minnie Mouse).

b. Statement must be signed by one of the domestic partners listed as the registrant. It is okay toaccept a statement that is signed by both the domestic partners [B&P 17914].

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Signature by Mark[Government Code 16] "Signature" or "subscription" includes mark when the signer or subscriber can not write, such signer'sor subscriber's name being written near the mark by a witness who writes his own name near thesigner's or subscriber's name; but a signature or subscription by mark can be acknowledged or canserve as a signature or subscription to a sworn statement only when two witnesses so sign their ownnames thereto.

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FBN Withdrawal from Partnership-Quick Reference 13


TITLE: FBN - WITHDRAWAL FROM PARTNERSHIP OPERATING AS A FBN -QUICK REFERENCE

Purpose: To make available to the public a statement by persons or business entities withdrawing as a generalpartner(s) under a previously filed FBN statement.

Filing Requirements:

1. Fictitious business name(s) previously filed B&P 17923(b)(1).2. Street address of the principal place of business B&P 17923(b)(3).3. Filing date of the FBN statement relating to the withdrawal from partnership B&P 17923(b)(2).4. The name of the county where filed B&P 17923(b)(2).5. Previous file number - B&P 17923(b)(2)6. Full name(s) and residence address(es) of the person(s) withdrawing as a partner(s)B&P 17923(b)(3).

Note: If registrant is registered with the California Secretary of State as a corporation or alimited liability company insert address as shown in their articles of incorporation ororganization.

7. Signature of withdrawing party must be executed in the same manner as the FBN statement B&P17923(a); B & P 17914.

Fees:B&P 17929(c), or as determined by local codes or ordinance

Legal References:

B&P 17923 and as referenced throughout this sectionIndexing:B&P 17925(a)(4)

Publication:B&P 17923(c)

Retention:B&P 17925(b) IndicesB&P 17927(b)(c) Hard Copy

Pre-filing Checklist:1. Place of filing B&P 17923(a)2. Necessity of filing B&P 17923

Comments:

1. B&P 17923(a) states that a Statement of Withdrawal from Partnership maybe filed; it is not required and is

entirely up to the partner(s) to determine the necessity of filing.2. Statement of Withdrawal must be filed on an active Fictitious Business Name statement.3. The filing of a Statement of Withdrawal from Partnership does not cause the FBN statement to expire

B&P 17923(d).4. The following is optional and not a statutory requirement:

a. Manner in which the business is conducted as it appeared on the previously filed FBN statement.

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FBN Withdrawal from Partnership-Examination Procedure 14


TITLE: FBN - WITHDRAWAL FROM PARTNERSHIP OPERATING AS A FBN -EXAMINATION PROCEDURE

STEP ACTION1. Review Withdrawal form (see sample form page __) for the following:

a. Must be legible, complete and meet all filing requirements of numbers 1 7 listed on the

"Statement of Withdrawal - Quick Reference" page 13.b. *File the statement.i. Assign file number.ii. Affix "Filed" stamp to statement.

c. *Cashiering/Receipting.d. Issue certified copy.e. Give customer a list of adjudicated newspapers and explain the publication requirements.f. Give additional information etc., as applicable.

* These steps are interchangeable depending on each county's guidelines and program system.

Related Sections of Business & Professions Code Section 17923: Withdrawal of partner must be filed with the County Clerk; such withdrawal does not

force expiration of FBN Section 17924/17917: Publication requirements for withdrawing from a FBN

Section 17930: False statement is a misdemeanor

Purpose: Process Withdrawal filing for one or more customers withdrawing from their partnership of anexisting FBN Statement.

Pre-filing Checklist:1. Place of filing B&P 17923(a)2. Necessity of filing B&P 17923

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FBN Abandonment-Quick Reference 15


Title: FBN - ABANDONMENT OF USE OF A FBN - QUICK REFERENCE

Purpose: To make available to the public a statement by persons or business entities no longer doing businessunder a previously filed fictitious business name.

Filing Requirements:1. Fictitious business name(s) previously filed - B&P 17922(b)(1).2. Street address of the principal place of business - B&P 17922(b)(1).3. Filing date of the FBN statement relating to the fictitious business name(s) being abandoned B&P 17922(b)

(2).

4. Previous file number - B&P 17922(b)(2)5. The name of the county where filed - B&P 17922(b)(2).6. The statement of abandonment shall contain the business name(s) being abandoned, street address,

ownership information, and manner in which the business is conducted as it appeared on the previously filedFBN statement B&P 17922(b).

7. Signature of registrant must be executed in the same manner as the FBN statement - B&P 17914 & 17922(a),(see pages 9-12 Registrants Required/Who Can Sign).

Fees:B&P 17929(b), or as determined by local codes or ordinance.

Legal References:B&P 17922 and as referenced throughout this section.

Indexing:

B&P 17925(a)(3)

Publication:B&P 17922(a)

Retention:B&P 17925(b) IndicesB&P 17927(b)(c) Hard Copy

Pre-filing Checklist:1. Place of filing - B&P 17922(a)2. Necessity of filing - B&P 17920(c), 17922

Comments:

1. B&P 17922(a) states that a statement of abandonment shall be filed2. A Statement of Abandonment must be filed on an active Fictitious Business Name Statement.3. When filing an abandonment for a FBN statement that contains multiple business names, the customer may

abandon one or more of those business name(s).4. Publication required See Publications on page 17.5. The FBN statement expires when the registrant files a statement of abandonment B&P 17920(c).

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FBN Abandonment-Examination Procedure 16


Title: FBN - ABANDONMENT OF USE OF FBN - EXAMINATION PROCEDURE

STEP ACTION1. Review abandonment form (see sample of form on page -) for the following:

a. Must be legible, complete and meet all filing requirements of numbers 1 7 listed on the"Statement of Abandonment - Quick Reference" page 15.

*b. File the statement.

i. Assign file number.ii. Affix "Filed" stamp to statement.

*c. Cashiering/Receipting.d. Issue certified copy.e. Give customer a list of adjudicated newspapers and explain the publication requirements.f. Give additional information etc., as applicable.

* These steps are interchangeable depending on each county's guidelines and program system.

Purpose: To make available to the public a statement by persons or business entities no longer doingbusiness under a previously filed fictitious business name.

Pre-filing Checklist:1. Place of filing - B&P 17922(a)2. Necessity of filing - B&P 17920(c), 17922

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FBN Proofs of Publication-Quick Reference 17


Title: FBN PROOFS OF PUBLICATION - QUICK REFERENCE

Purpose: To make available to the public the Proof of Publication.

Filing Requirements:1. The filing information cited belongs to your county.

Fees:B&P 17929 or as determined by local codes or ordinance.

Legal References:

FBN - B&P 17917, Abandonment B&P 17922(a), Withdrawal B&P 17923(c)Indexing:B&P 17925

Publication:

Retention:B&P 17925(b) IndicesB&P 17927 Hard Copy

Pre-filing Checklist:1. Necessity for filing - B&P 17917(d)

Comments:

1. The process for filing Proofs of Publication varies from county to county. Follow your local county guidelines.

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FBN Proofs of Publication-Filing Procedure 18


TITLE: FBN PROOFS OF PUBLICATION- FILING PROCEDURE

STEP ACTION1. Review the Proof of Publication form for the following:

a. Must be legible, complete and meet all the filing requirements of numbers 1and 2 listed on theProofs of Publication Quick Reference page 17.

2. *File the form.

*Any additional steps pursuant to your local county guidelines.

Purpose: To file the Proofs of Publication forms.

Pre-filing Checklist:1. Necessity for filing - B&P 17917(d)

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Title: LEGAL DOCUMENT ASSISTANT (LDA) - QUICK REFERENCE

Purpose: To make available to the public the registration of any person or entity who provides, forcompensation, any self help service for members of the public who are representing themselves in a legalmatter.

Pre-filing Checklist:1. Verification of bond per requirements on page 22 - B&P 64052. Place of filing - B&P 64023. Person or entity - B&P 64014. Education and experience requirements on page 21 are met - B&P 6402.15. Disqualifications - B&P 6403(a)(2-6), (c)(2-6)6. Business name - may not use the paralegal reference in the business name when filing as an LDA - B&P

64507. Corporations and partnerships - must file if they employ or contract with persons required to register or they

expect to derive compensation for LDA services - B&P 6400(c)(2)8. Photograph of applicant (passport size or smaller) - B&P 6407(b)

Individual Filing Requirements:

1. Place of filing - B&P 6402.a. County in which his or her principal place

of business is located (primary).b. Any other county in which he or she

performs acts for which registration isrequired (secondary).

2. Primary or secondary registration. If secondary,it must state the county in which the primaryregistration is filed - B&P 6403(a)(7)

3. Personal information; name, age, address, andtelephone number - B&P 6403(a)(1)

4. Verification of identification - B&P 6403(b)5. Education and experience.

a. Applicant must qualify under a, b, c, or d, -B&P 6402.1 (see Education Requirements page21).

6. Ensure the applicant is not disqualified pursuantto:

a. Civil judgment - B&P 6403(a)(3)& (a)(5)b. Criminal convictions - B&P 6403(a)(2)&(a)(4)c. Registration revocations - B&P 6403(a)(6)d. Suspension or disbarment - B&P 6402

7. Signature of applicant executed under penalty ofperjury - B&P 6403(d)

8. Bond - $25,000 - B&P 6405(a)(1)

Note: Notary may not acknowledge their ownsignature - GC 8224.19. Photograph of applicant (passport size or

smaller) - B&P 6407(b)

Corporation/Partnership Filing Requirements:

1. Place of filing - B&P 6402a. County in which the principal place of

business is located (primary).b. Any other county in which the LDA


2. Primary or secondary registration. If secondary, itmust state the county in which the primaryregistration is filed - B&P 6403(c)(7)

3. Personal information; name, age and telephonenumber of all corporate officers or generalpartners - B&P 6403(c)(1)

4. Verification of identification - no legal provision.5. Education and experience.

a. One of the corporate officers or one of thegeneral partners must qualify under a, b,c, or d, - B&P 6402.1 (see EducationRequirements page 21).

6. Ensure the applicants are not disqualifiedpursuant to:

a. Civil judgment - B&P 6403(c)(3)&(c)(5)b. Criminal convictions - B&P 6403(c)(2)&(c)(4)c. Registration revocations - B&P 6403(c)(6)d. Suspension or disbarment - B&P 6402

7. Signatures executed under penalty of perjury -

B&P 6403(d)If a Corporation, application must be signed by:a. Chairman of the Board orb. President orc. Vice President and

i. Secretaryii. Assistant Secretaryiii. Chief Financial Officeriv. Assistant Treasurer

If a Partnership, application must be signed by:At least one general partner.

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Title: LEGAL DOCUMENT ASSISTANT (LDA) - QUICK REFERENCE (CONT.)

Identification Card: (See sample on page 25)B&P 6407

Retention:B&P 6403(e) - Hard Copy

Comments:

1. Bonds given as a condition of a license or permit shall be continuous, remain in full force and effect, andrun concurrently with the license or permit period and any and all renewals, or until cancellation or withdrawal ofthe surety from the bond CCP 995.440

2.Continuation certificates require the original recorded bond be included with a cover page for filing andrecording.

Indexing:B&P 6407(a)

Legal References:

B&P 6400-6415B&P 6450GC 27361California Code of Regulations, Title 16, Division 38, Chapter 5, Articles 1 & 2, Sections 3900-3950

Fees:Registration - B&P 6404File bond - B&P 6405(4)(c)Cash deposit in lieu of bond - B&P 6405(e)Record bond - B&P 6405(d), GC 27361 or as determined by local codes or ordinancesAdditional ID cards (must individually qualify) - B&P 6407(a)

Individual Filing Requirements: Corporation/Partnership Filing Requirements:

8. Bond - B&P 6405(a)(2)

a. $25,000 for 1-4 LDAsb. $50,000 for 5-9 LDAsc. $100,000 for 10 or more LDAs

Note: Notary may not acknowledge their ownsignature GC 8224.1

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LDA Education Requirements 21


TITLE: LDA EDUCATION REQUIREMENTS

EDUCATION REQUIREMENTS - B&P 6402.1Applicant shall possess at least one of the four options outlined below:

1. Paralegal program/ABA Schoola. I have earned a certificate of completion from a paralegal program that is approved by the American

Bar Association (must attach copy of certificate of completion)

2. Paralegal Program/Non-ABA Schoola. I have earned a certificate of completion from a paralegal program that is institutionally accredited,

but that is not approved by the American Bar Association (must attach copy of certificate ofcompletion)AND

b. I successfully completed a minimum of 24 semester units (or the equivalent) in legal specializationcourses (must attach copy of school transcripts).Number of semester units (or the equivalent)

3. College or Universitya. I have a bachelors degree in (must attach copy of diploma)

(List field)AND

b. I have completed at least one year of law-related experience working under the supervision of alicensed attorney (must attach original statement on the attorneys letterhead signed by the attorneydescribing the scope and dates of your experience)ORI completed at least one year of experience providing self-help service as defined by Business andProfessions Code 6400 (d) before January 1, 1999 (must attach original statement describing thescope and dates of your experience)

4. High School or General Equivalency Diploma

a. I have a high school diploma (must attach copy of diploma)ORI have a general equivalency diploma (must attach copy of diploma)AND

b. I have completed at least two years of law-related experience working under the supervision of alicensed attorney (must attach original statement on the attorneys letterhead signed by the attorneydescribing the scope and dates of your experience)ORI completed at least two years of experience providing self-help service as defined by Business andProfessions Code 6400 (d) before January 1, 1999 (must attach original statement describing thescope and dates of your experience).

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Individual Process Server - Bond/Cash in Lieu of 22


TITLE: LDA BOND/CASH IN LIEU OF

Requirements - B&P 6405

1. Name of Surety Company.2. Name of principal (same as LDAs, except if LDA is covered under a corporation or partnership bond, then it

would be under the corporation or partnership name).3. Must state it is in favor of the State of California.4. Name of the county in which the primary registration is filed.5. Specific term with an expiration date.6. Correct bond liability amount:

$25,000 - Individual$25,000 - Corporation or Partnership with 1 to 4 LDAs$50,000 - Corporation or Partnership with 5 to 9 LDAs$100,000 - Corporation or Partnership with 10 or more LDAsNote: Increases in the number of LDAs employed by the corporation or partnership may change bond

amount and require a new bond to be filed and recorded.

7. Signature and acknowledgment of the surety company or the attorney in fact for the surety company. Ifsigned by an attorney in fact for the surety, a copy of the Power of Attorney must be attached to the bondunless the bond indicates it has been executed pursuant to CCP995.630(b).

8. Signature of principal.9. Filing fee - Additional fees may apply if a coversheet for recording is needed or if it contains a

nonconforming page (not 8 1/2 X 11) - GC27361

Notice of cancellation, revocation, or withdrawal of bond - CCP 995.440

1. Confirm you have correct filing & recording fees - B&P 6405(4)(c), B&P 6405(d), GC 273612. If the notice pertains to a current registration, 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.

Bonds given as a condition of a license or permit shall be continuous, remain in full force and effect, and run con-currently with the license or permit period and any and all renewals, or until cancellation or withdrawal of the suretyfrom the bond CCP 995.440

Comments:

1. Notary may not acknowledge their own signature - GC8224.12. A certified copy of the bond is acceptable on a secondary filing.3. Employees working for a corporation or partnership that is registered as an LDA must individually qualify and

register, but may be covered under the corporation or partnership bond. Some counties require a letter fromthe corporation or partnership on company letterhead, with original signatures, authorizing the employee to becovered by the bond. Follow your local county guidelines.

4. Bonds given as a condition of a license or permit shall be continuous, remain in full force and effect, and runconcurrently with the license or permit period and any and all renewals, or until cancellation or withdrawal ofthe surety from the bond CCP 995.440

5. Continuation certificates require the original recorded bond be included with a cover page for filing and re-cording.

Cash in lieu of bond - B&P 6405(e)

Deposit shall be maintained by the officer in an interest bearing trust account - CCP 995.710(1). Deposit shall be accompanied by an agreement executed by the principal - CCP 995.710(c). Deposit may be retained for three years following expiration in case a claim is made against the account - B&P

6405(g).

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LDA Examination Procedure 23


TITLE: LDA EXAMINATION PROCEDURE

STEP ACTION1. Review LDA form (see sample form pg. _) for the following:

a. Must be legible, complete and meet all applicable filing requirements listed on pages 19-20,LDA - Quick Reference"

b. County of filingc. Type of registration "primary" or "secondary

i. Primary - county in which his or her principal place of business is locatedii. Secondary - any other county in which the LDA performs acts for which registration is

requiredd. Personal information

i. Name/business nameii. Business addressiii. Telephone numberiv. Identification

e. Education/Experience (see page 21). Ensure applicant has attached the requireddocuments verifying they have met the education/experience requirements

f. Disqualifications - B&P 6403. Ensure applicant is not disqualified pursuant to any of thefollowing:

i. Civil judgmentii. Criminal convictioniii. Registration revocationiv. Suspension or disbarmentNote: The County Clerk must deny a registration of any applicant within three days who

has indicated they have a disqualifying event. See denial process on page 26.g. Application is dated and contains the signature of LDA executed under penalty of perjury.

2. Determine filing and recording fees. If a cover sheet is needed, additional fees may apply.3. *File the registration and bond

a. File stamp the registrationb. File stamp the bondc. Determine expiration date of registration - B&P 6406(a) (Whichever occurs first):

i. Two years from the date of filingOR

ii. Date the bond expiresNote: Registration may be renewed up to 60 days prior to current expiration date, andthe effective date of the renewal shall be the date the current registration expires.

*These steps are interchangeable depending on each county's guidelines and program system.

(continued on next page)

Purpose: To examine the LDA application for legibility, accuracy, and completeness.

Pre-filing Checklist:1. Verification of bond per requirements on page 22 - B&P 64052. Place of filing B&P 64023. Person or entity B&P 64014. Education and experience requirements on page 21 are met - B&P 6402.15. Disqualifications - B&P 6403(a)(2-6), (c)(2-6)6. Business name - may not use the paralegal reference in the business name when filing as an LDA.7. Corporations and partnerships - must file if they employ or contract with persons required to register or they

expect to derive compensation for LDA service - B&P 6400(c)(2)8. Photograph of applicant (passport size or smaller) - B&P 6407(b)

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TITLE: LDA EXAMINATION PROCEDURE

STEP ACTIONd. Assign registration number - B&P 6407(a)

i. New registration (or previous registration has expired) - assign next consecutivenumber from the registration log.

ii. Renewals (no lapse in the registration period) - Assign same registration number asthe previous filing.

4. *Cashier and receipt


(continued on next page)

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TITLE: LDA EXAMINATION PROCEDURE (IDENTIFICATION CARDS)

STEP ACTION5. *Prepare and issue identification card - B&P 6407

a. Specification of card size - 3 " X 2 "b. Title - Legal Document Assistantc. Registrants name and addressd. Name of county of registratione. Registration numberf. Date of expirationg. Photograph in lower left corner (passport size or smaller)

i. If a natural person (i.e. individual or employee)ii. Corporate and partnership ID cards do not contain a photograph

h. Statements in 12-point boldface type:i. This person is not a lawyer (above title)ii. The County Clerk has not evaluated this persons knowledge, experience, or

services (bottom of card)

Individual ID card sample Corporation or Partnership ID card sample

6. *Give additional information to applicant as applicable (follow your local county guidelines).a. Issue copy of registrationb. Expiration date of the registrationc. Renewal process

7. *Index the registration8. *Route bond to County Recorder


PHOTO

NOT

REQUIRED

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LDA Denials, Appeals, Revocations & Complaints 26


TITLE: LDA DENIALS, APPEALS, REVOCATIONS & COMPLAINTS

Denialsof filing (applicant has failed to meet the requisite requirements) B&P 6406(c)

If applicant fails to meet the requisite requirements, return the application and fee within three business daysof submission of the application, with a notice indicating the reason for denial and the method of appeal.

Appeals B&P 6406(d):Applicant submits appeal to the director of the Dept. of Consumer Affairs with the following:

1. Completed application2. County Clerk notice with reasons for denial3. Copies of relevant documentation

Within 30 days of receipt, the director shall send a written decision to applicant and County Clerk listingreasons application shall be granted or denied - B&P 6406(e). If the director orders the application be granted,applicant may resubmit the application with appropriate filing fees and the written decision of the director.The County Clerk shall file the application within three business days of receipt - B&P 6406(f).

Revocations B&P 6413: The County Clerk shall revoke a registration upon receipt of official document pertaining to

conviction of offenses described in B&P 6125-6127. Disposition of court actions shall be provided by the city attorney, district attorney or plaintiff -

B&P 6413

Revoked registrant may reapply after three years - B&P 6413 Registrant may challenge decision in a court of competent jurisdiction B&P 6414

Complaints regarding violations by a legal document assistant may be filed in any superior court B&P6412.1

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Title: UNLAWFUL DETAINER ASSISTANT (UDA) - QUICK REFERENCE

Purpose: To make available to the public the registration of any person or entity who for compensation rendersassistance or advice for members of the public who are representing themselves in an unlawful detainer matter.

Pre-filing Checklist:1. Verification of bond per requirements on page 22 - B&P 64052. Place of filing B&P 64023. Person or entity B&P 64014. Disqualifications - B&P 6403(a)(2-6), (c)(2-6)5. Corporations and partnerships - Must file if they employ or contract with persons required to register or they

expect to derive compensation for UDA services - B&P 6400(c)(2)6. Photograph of applicant (passport size or smaller) - B&P 6407(b)

Individual Filing Requirements:

1. Place of filing B&P - 6402

a. County in which his or her principal placeof business is located (primary).b. Any other county in which he or she


2. Primary or secondary registration. If secondary,it must state the county in which the primaryregistration is filed - B&P 6403(a)(7)

3. Personal information; name, age, address, andtelephone number - B&P 6403(a)(1)

4. Verification of identification - B&P 6403(b)5. Ensure the applicant is not disqualified pursuant

to:a. Civil judgment - B&P 6403(a)(3)& (a)(5).b. Criminal convictions - B&P 6403(a)(2)&(a)(4).c. Registration revocations - B&P 6403(a)(6).d. Suspension or disbarment - B&P 6402.

6. Signature of applicant executed under penalty ofperjury - B&P 6403(d)

7. Bond - $25,000 - B&P 6405(a)(1).Note: Notary may not acknowledge their ownsignature - GC 8224.1

8. Photograph of applicant (passport size orsmaller) - B&P 6407(b)

Corporation/Partnership Filing Requirements:

1. Place of filing - B&P 6402

a. County in which the principal place ofbusiness is located (primary).b. Any other county in which the UDA


2. Primary or secondary registration. If secondary, itmust state the county in which the primaryregistration is filed - B&P 6403(c)(7)

3. Personal information; name, age and telephonenumber of all corporate officers or generalpartners - B&P 6403(c)(1)

4. Verification of identification - no legal provision.5. Ensure the applicants are not disqualified

pursuant to:a. Civil judgment - B&P 6403(c)(3)&(c)(5)b. Criminal convictions - B&P 6403(c)(2)&(c)(4)c. Registration revocations - B&P 6403(c)(6)d. Suspension or disbarment - B&P 6402

6. Signatures executed under penalty of perjury -B&P 6403(d)

If a Corporation, application must be signed by:a. Chairman of the Board orb. President orc. Vice President and

i. Secretaryii. Assistant Secretaryiii. Chief Financial Officer

iv. Assistant TreasurerIf a Partnership, application must be signed by:At least one general partner

7. Bond B&P 6405(a)(2)a. $25,000 for 1-4 UDAsb. $50,000 for 5-9 UDAsc. $100,000 for 10 or more UDAs

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Title: UNLAWFUL DETAINER ASSISTANT (UDA) - QUICK REFERENCE(CONT.)

Identification Card: (See sample on page 31)B&P 6407

Retention:B&P 6403(e) - Hard Copy

Comments:1. Bonds given as a condition of a license or permit shall be continuous, 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 ofthe surety from the bond CCP 995.440

2.Continuation certificates require the original recorded bond be included with a cover page for filing andrecording.

Indexing:B&P 6407(a)

Legal References:B&P 6400-6415GC 27361California Code of Regulations, Title 16, Division 38, Chapter 5, Articles 1 & 2, Sections 3900-3950.

Fees:Registration - B&P 6404File bond - B&P 6405(4)(c)Cash deposit in lieu of bond - B&P 6405(e)Record bond - B&P 6405(d), GC 27361 or as determined by local codes or ordinancesAdditional ID cards (must individually qualify) - B&P 6407(a)

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UDA Bond/Cash in Lieu of 29


TITLE: UDA BOND/CASH IN LIEU OF

Requirements - B&P 64051. Name of Surety Company.2. Name of principal (same as UDAs, except if UDA is covered under a corporation or partnership bond, then it

would be under the corporation or partnership name).3. Must state it is in favor of the State of California.4. Name of the county in which the primary registration is filed.5. Specific term with an expiration date.6. Correct bond liability amount:

$25,000 - Individual$25,000 - Corporation or Partnership with 1 to 4 UDAs$50,000 - Corporation or Partnership with 5 to 9 UDAs$100,000 - Corporation or Partnership with 10 or more UDAsNote: Increases in the number of UDAs employed by the corporation or partnership may change bond

amount and require a new bond to be filed and recorded.

7. Signature and acknowledgment of the surety company or the attorney in fact for the surety company. Ifsigned by an attorney in fact for the surety, a copy of the Power of Attorney must be attached to the bondunless the bond indicates it has been executed pursuant to CCP995.630(b).

8. Signature of principal.9. Filing fee - Additional fees may apply if a coversheet for recording is needed or if it contains a

nonconforming page (not 8 1/2 X 11) - GC27361

Notice of cancellation, revocation, or withdrawal of bond - CCP 995.440

1. Confirm you have correct filing & recording fees - B&P 6405(4)(c), B&P 6405(d), GC 273612. If the notice pertains to a current registration, 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.

Bonds given as a condition of a license or permit shall be continuous, remain in full force and effect, and run con-currently with the license or permit period and any and all renewals, or until cancellation or withdrawal of the suretyfrom the bond CCP 995.440

Comments:

1. Notary may not acknowledge their own signature -GC8224.1

2. A certified copy of the bond is acceptable on a secondary filing.3. Employees working for a corporation or partnership that is registered as an UDA must individually qualify and

register, but may be covered under the corporation or partnership bond. Some counties require a letter fromthe corporation or partnership on company letterhead, with original signatures, authorizing the employee to becovered by the bond. Follow your local county guidelines.

4. Bonds given as a condition of a license or permit shall be continuous, remain in full force and effect, and runconcurrently with the license or permit period and any and all renewals, or until cancellation or withdrawal ofthe surety from the bond CCP 995.440

5. Continuation certificates require the original recorded bond be included with a cover page for filing and re-cording.

Cash in lieu of bond - B&P 6405(e)

Deposit shall be maintained by the officer in an interest bearing trust account - CCP 995.710(1). Deposit shall be accompanied by an agreement executed by the principal - CCP 995.710(c). Deposit may be retained for three years following expiration in case a claim is made against the account - B&P

6405(g).

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Individual Process Server - Examination Procedure 30


TITLE: UDA EXAMINATION PROCEDURE

STEP ACTION1. Review UDA form (see sample form pg. _ ) for the following:

a. Must be legible, complete and meet all applicable filing requirements listed on page 27 "UDA

Quick Reference"b. County of filingc. Type of registration "primary" or "secondary"

i. Primary - county in which his or her principal place of business is locatedii. Secondary - any other county in which the UDA performs acts for which registration is

requiredd. Personal information

i. Name/business nameii. Business addressiii. Telephone numberiv. Identification

e. Disqualifications - B&P 6403. Ensure applicant is not disqualified pursuant to any of thefollowing:

i. Civil judgmentii. Criminal convictioniii. Registration revocationiv. Suspension or disbarment

Note: The County Clerk must deny a registration of any applicant within three days who hasindicated they have a disqualifying event. See denial process on page 32.

f. Application is dated and contains the signature of the UDA executed under penalty of perjury.2. Determine filing and recording fees. If a cover sheet is needed, additional fees may apply.3. *File the registration and bond

a. File stamp the registrationb. File stamp the bondc. Determine expiration date of registration - B&P 6406(a) (Whichever occurs first):

i. Two years from the date of filingOR

ii. Date the bond expiresNote: 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)d. Assign number - B&P 6407(a)

i. New registration (or previous registration has expired) - assign next consecutivenumber from the registration log.

ii. Renewals (no lapse in the registration period) - Assign same registration number asthe previous filing.

4. *Cashier and receipt

*These steps are interchangeable depending on each county's guidelines and program system.(continued on next page)

Purpose: To examine the UDA application for legibility, accuracy, and completeness.

Pre-filing Checklist:1. Verification of bond per requirements on page 29 - B&P 64052. Place of filing B&P 64023. Person or entity B&P 64014. Disqualifications - B&P 6403(a)(2-6), (c)(2-6)5. Corporations and partnerships - Must file if they employ or contract with persons required to register or they

expect to derive compensation for UDA services - B&P 6400(c)(2)6. Photograph of applicant (passport size or smaller) - B&P 6407(b)

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Individual Process Server - Examination Procedure 31


TITLE: UDA EXAMINATION PROCEDURE (IDENTIFICATION CARDS)

STEP ACTION5. *Prepare and issue identification card - B&P 6407

a. Specification of card size 3 " X 2 "b. Title Unlawful Detainer Assistantc. Registrants name and addressd. Name of county of registratione. Registration numberf. Date of expirationg. Photograph in lower left corner (passport size or smaller)

i. If a natural person (i.e. individual or employee)ii. Corporate and partnership ID cards do not contain a photograph

h. Statements in 12-point boldface type:i. This person is not a lawyer (above title)ii. The County Clerk has not evaluated this persons knowledge, experience, or

services (bottom of card)

Individual ID card sample Corporation or Partnership ID card sample

6. *Give additional information to applicant as applicable (follow your local county guidelines).a. Issue copy of registrationb. Expiration date of the registrationc. Renewal process

7. *Index the registration8. *Route bond to County Recorder


PHOTO

NOT

REQUIRED

Rev. 02/29/2008


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UDA Denials, Appeals, Revocations & Complaints 32


TITLE: UDA DENIALS, APPEALS, REVOCATIONS & COMPLAINTS

Denialsof filing (applicant has failed to meet the requisite requirements) B&P 6406(c)If applicant fails to meet the requisite requirements, return the application and fee within three business days

of submission of the application, with a notice indicating the reason for denial and the method of appeal.

Appeals B&P 6406(d):Applicant submits appeal to the director of the Dept. of Consumer Affairs with the following:

1. Completed application2. County Clerk notice with reasons for denial3. Copies of relevant documentation

Within 30 days of receipt, the director shall send a written decision to applicant and County Clerk listingreasons application shall be granted or denied - B&P 6406(e). If the director orders the application be granted,applicant may resubmit the application with appropriate filing fees and the written decision of the director.The County Clerk shall file the application within three business days of receipt - B&P 6406(f).

Revocations B&P 6413:

The County Clerk shall revoke a registration upon receipt of official document pertaining toconviction of offenses described in B&P 6125-6127. Disposition of court actions shall be provided by the city attorney, district attorney or plaintiff -

B&P 6413

Revoked registrant may reapply after three years - B&P 6413 Registrant may challenge decision in a court of competent jurisdiction B&P 6414

Complaints regarding violations by an unlawful detainer assistant may be filed in any superior court B&P6412.1

Rev. 02/29/2008


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