County Clerks Reference Manual

COUNTY CLERKS R E F E R E N C E M A N UA L

A reference manual for statewide County Clerk personnel

Date: 02/29/2008

County Clerks Reference Manual

County Clerks Reference Manual

County Clerks Reference Manual Committee
Vicki Petersen Gina Alcomendras Barbara Chambers Marlene Smith Monique Blakely Gina Morla Tauna Mallis Victoria Rodriguez Donna Allred De Ana Thompson Wendy Everett Jenny Stasik Marvin Hackett David Valenzuela Sheila Harmon Sonoma County Santa Clara County Contra Costa County Los Angeles County Los Angeles County Los Angeles County Riverside County Riverside County Sacramento County San Bernardino County San Bernardino County San Bernardino County Stanislaus County Ventura County 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 for California 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 presented for filing. QUESTIONS REGARDING THE LEGAL SUFFICIENCY OF ANY DOCUMENT SHOULD BE REFERRED TO AN ATTORNEY. Although this manual contains references to Federal, California State and local codes, 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 is only intended as a guideline. The County Clerk Reference Manual committee hopes the use of this procedural manual becomes widespread among California County Clerks, however, LOCAL PRACTICES MAY VARY, THEREFORE, BEFORE RELYING UPON THE INFORMATION CONTAINED HEREIN, PLEASE CONSULT THE LOCAL COUNTY CLERKS OFFICE REGARDING ITS SPECIFIC PRACTICES. NOTE: The sample documents presented herein are for the purposes of illustration only and are not intended for actual use.

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Table of Contents
Subject FBN Type of Filing Quick Reference Examination Procedure Registrants Required/Who Can Sign Withdrawal From Partnership - Quick Reference Withdrawal From Partnership - Examination Procedure Abandonment - Quick Reference Abandonment - Examination Procedure Proofs of Publication - Quick Reference Proofs of Publication - Filing Procedure LDA Quick Reference Education Requirements Bond/cash in lieu of Examination Procedure Denials, Appeals, Revocations & Complaints UDA Quick Reference Bond/cash in lieu of Examination Procedure Denials, Appeals, Revocations & Complaints

Page No.

6 7 9 13 14 15 16 17 18 19 21 22 23 26 27 29 30 32

Table of Contents

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Table of Contents

Page No.

Table of Contents

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County Clerks Reference Manual TITLE:

FICTITIOUS BUSINESS NAME STATEMENT (FBN) - QUICK REFERENCE

Purpose: To make available to the public the identities of those persons or business entities doing business under fictitious business names. 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.. 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 CA Secretary of State 5. 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 Expiration: B&P 17920 Retention: B&P 17925(b) - Indices B&P 17927(a)(c) - Hard Copy 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 the grounds that the particular fictitious business name is already in use or the statement was not presented for 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.
FBN Quick Reference
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TITLE:

FBN EXAMINATION PROCEDURE

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. STEP ACTION 1. 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 the FBN 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 the name(s) and residence address(es) of the general partners of the partnership be listed in the registered owner field - not the name of the actual partnership. You can allow the customer to include the name 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 the county where the principal place of business is located. iii. If principal place of business is located outside of California, statement must be filed in Sacramento County [B&P 17915]. iv. If customer does not have a separate business address, their residence address is acceptable as the business address. e. To determine what registrant(s) must be listed, check form to see how business is being conducted. f. Name and residence address of each registrant must be listed, except when the registrant is a corporation or a limited liability company. In those instances, the name and address of the 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/Organization must be listed. (See pages 9-12 Registrants Required/Who Can Sign).

FBN Examination Procedure

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TITLE:

FBN EXAMINATION PROCEDURE

STEP ACTION g. If customer has already started to transact business using a FBN, customer should enter the starting date. Customers have difficulty with this decision, but the customer must be the one to make this decision. Customers who have not started to transact business must enter 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 two different start dates. In this case, the customer can indicate a different start date for each business name, or by using a new date as the date they started doing business using both FBNs. Follow your local county guidelines. h. Signature depends on customers answer to step e (see pages 9-12 Registrants Required/ Who Can Sign). i. Proper box must be checked (not a statutory requirement). It is suggested you follow your local 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. * Cashiering/Receipting. Issue certified copy. Give customer a list of adjudicated newspapers and explain the publication requirements. Inform customer about expiration of FBN. Give additional information etc., as applicable.

3. 4. 5. 6. 7.

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

FBN Examination Procedure

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TITLE:

FBN REGISTRANTS REQUIRED/WHO CAN SIGN

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

1. An Individual a. 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 & Wife a. The name and residence address of the husband and wife [B&P 17913(3)]. i. The names must be listed as separate registrants DO NOT allow the customer to put both names in one registrant space on the form (i.e.: Mickey & Minnie Mouse). b. Statement must be signed by the husband or wife listed as the registrant. It is okay to accept a statement that is signed by both the husband and wife [B&P 17914]. 3. General Partnership a 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 registrant as long as they are a general partner of the business. It is possible for two or more corporations and/or LLCs, or both, to be listed as the general partners. Do not allow the name of the general partnership to be included as a separate registrant. 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 is okay 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 the names of the limited partners. If you receive an FBN being filed as a limited partnership and there are multiple registrants question whether or not all registrants are general partners. If applicable, have the customer remove the name(s) of any limited partners that have been included as a registrant. DO NOT ALLOW THE NAME OF THE LIMITED PARTNERSHIP TO BE INCLUDED AS A SEPARATE REGISTRANT. You can allow the customer to sign the statement and include the following: Name of person signing must be the general partner(s) listed in the registrant field, general partner of and the name of the limited partnership. b. Statement must be signed 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.

FBN Registrants Required/Who Can Sign

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TITLE:

FBN REGISTRANTS REQUIRED/WHO CAN SIGN

5. Corporation a. 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 of incorporation (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, 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 not acceptable: 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 you file the statement. 6. Trust a. The name and residence address of each trustee [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. ii.

It is okay to accept a statement that is signed by multiple trustees as long as all of those signing are listed in the registrant field. It is okay to allow the customer to include the name of the trust for which they are a trustee in the area where they print their name (i.e., John Jones, Trustee of the Jones Family Trust dated 2/1/00 etc.). DO NOT allow the name of the TRUST to be listed as a separate registrant.

7. Co-Partners a. 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].

FBN Registrants Required/Who Can Sign

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TITLE:

FBN REGISTRANTS REQUIRED/WHO CAN SIGN

8. Joint Venture a. 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]. 9. Unincorporated Association a. 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 Company a. 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 not acceptable: 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 you file the statement. 11. Limited Liability Partnership a. 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 Partners a. 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 put both 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 to accept a statement that is signed by both the domestic partners [B&P 17914].
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TITLE:

FBN REGISTRANTS REQUIRED/WHO CAN SIGN

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

FBN Registrants Required/Who Can Sign

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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 general partner(s) under a previously filed FBN statement. Pre-filing Checklist: 1. Place of filing B&P 17923(a) 2. Necessity of filing B&P 17923
Filing Requirements:

Fictitious business name(s) previously filed B&P 17923(b)(1). Street address of the principal place of business B&P 17923(b)(3). Filing date of the FBN statement relating to the withdrawal from partnership B&P 17923(b)(2). 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 a limited liability company insert address as shown in their articles of incorporation or organization. 7. Signature of withdrawing party must be executed in the same manner as the FBN statement B&P
1. 2. 3. 4.
17923(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 section Indexing: B&P 17925(a)(4) Publication: B&P 17923(c) Retention: B&P 17925(b) Indices B&P 17927(b)(c) Hard Copy Comments: 1. B&P 17923(a) states that a Statement of Withdrawal from Partnership may be 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.

FBN Withdrawal from Partnership-Quick Reference

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TITLE:

FBN - WITHDRAWAL FROM PARTNERSHIP OPERATING AS A FBN EXAMINATION PROCEDURE

Purpose: Process Withdrawal filing for one or more customers withdrawing from their partnership of an existing FBN Statement. Pre-filing Checklist: 1. Place of filing B&P 17923(a) 2. Necessity of filing B&P 17923

STEP ACTION 1. 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

FBN Withdrawal from Partnership-Examination Procedure

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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 business 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 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 filed FBN 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) Indices B&P 17927(b)(c) Hard Copy Comments: 1. B&P 17922(a) states that a statement of abandonment shall be filed 2. 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).

FBN Abandonment-Quick Reference

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Title:

FBN - ABANDONMENT OF USE OF FBN - EXAMINATION PROCEDURE

Purpose: To make available to the public a statement by persons or business entities no longer doing business 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

STEP ACTION 1. 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.

FBN Abandonment-Examination Procedure

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Title:

FBN PROOFS OF PUBLICATION - QUICK REFERENCE

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

Pre-filing Checklist: 1. Necessity for filing - B&P 17917(d) 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) Indices B&P 17927 Hard Copy Comments: 1. The process for filing Proofs of Publication varies from county to county. Follow your local county guidelines.

FBN Proofs of Publication-Quick Reference

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TITLE:

FBN PROOFS OF PUBLICATION - FILING PROCEDURE

Purpose: To file the Proofs of Publication forms.

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

STEP ACTION 1. 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 the Proofs of Publication Quick Reference page 17. *File the form.

2.

*Any additional steps pursuant to your local county guidelines.

FBN Proofs of Publication-Filing Procedure

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County Clerks Reference Manual Title:

LEGAL DOCUMENT ASSISTANT (LDA) - QUICK REFERENCE

Purpose: To make available to the public the registration of any person or entity who provides, for compensation, any self help service for members of the public who are representing themselves in a legal matter. Pre-filing Checklist: 1. Verification of bond per requirements on page 22 - B&P 6405 2. Place of filing - B&P 6402 3. Person or entity - B&P 6401 4. Education and experience requirements on page 21 are met - B&P 6402.1 5. 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 6450

B&P

7. 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 is required (secondary). 2. Primary or secondary registration. If secondary, it must state the county in which the primary registration is filed - B&P 6403(a)(7) 3. Personal information; name, age, address, and telephone 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 page 21).

Corporation/Partnership Filing Requirements: 1. Place of filing - B&P 6402 a. County in which the principal place of business is located (primary). b. Any other county in which the LDA performs acts for which registration is required (secondary). 2. Primary or secondary registration. If secondary, it must state the county in which the primary registration is filed - B&P 6403(c)(7) 3. Personal information; name, age and telephone number of all corporate officers or general partners - 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 the general partners must qualify under a, b, c, or d, - B&P 6402.1 (see Education
Requirements page 21).

6. 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 7. Signature of applicant executed under penalty of perjury - B&P 6403(d) 8. Bond - $25,000 - B&P 6405(a)(1) Note: Notary may not acknowledge their own signature - GC 8224.1 9. Photograph of applicant (passport size or smaller) - B&P 6407(b)

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

If a Corporation, application must be signed by: a. Chairman of the Board or b. President or c. Vice President and i. Secretary ii. Assistant Secretary iii. Chief Financial Officer iv. Assistant Treasurer If a Partnership, application must be signed by: At least one general partner. (continued on next page)

LDA Quick Reference

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Title:

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

Corporation/Partnership Filing Requirements:
8.

Individual Filing Requirements:

Bond - B&P 6405(a)(2) a. $25,000 for 1-4 LDAs b. $50,000 for 5-9 LDAs c. $100,000 for 10 or more LDAs Note: Notary may not acknowledge their own signature GC 8224.1

Fees: Registration - B&P 6404 File 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 ordinances Additional ID cards (must individually qualify) - B&P 6407(a) Legal References: B&P 6400-6415 B&P 6450 GC 27361 California Code of Regulations, Title 16, Division 38, Chapter 5, Articles 1 & 2, Sections 3900-3950 Indexing: B&P 6407(a) 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, 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 2.Continuation certificates require the original recorded bond be included with a cover page for filing and recording.

LDA Quick Reference

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TITLE:

LDA EDUCATION REQUIREMENTS

EDUCATION REQUIREMENTS - B&P 6402.1

Applicant shall possess at least one of the four options outlined below: 1. Paralegal program/ABA School a. 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 School a. 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 of completion) AND b. I successfully completed a minimum of 24 semester units (or the equivalent) in legal specialization courses (must attach copy of school transcripts). Number of semester units (or the equivalent) 3. College or University a. I have a bachelors degree in (List field) AND b. I have completed at least one year of law-related experience working under the supervision of a licensed attorney (must attach original statement on the attorneys letterhead signed by the attorney describing the scope and dates of your experience) OR I completed at least one year of experience providing self-help service as defined by Business and Professions Code 6400 (d) before January 1, 1999 (must attach original statement describing the scope and dates of your experience) 4. High School or General Equivalency Diploma a. I have a high school diploma (must attach copy of diploma) OR I 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 a licensed attorney (must attach original statement on the attorneys letterhead signed by the attorney describing the scope and dates of your experience) OR I completed at least two years of experience providing self-help service as defined by Business and Professions Code 6400 (d) before January 1, 1999 (must attach original statement describing the scope and dates of your experience). (must attach copy of diploma)

LDA Education Requirements

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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 LDAs Note: 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. If signed by an attorney in fact for the surety, a copy of the Power of Attorney must be attached to the bond unless the bond indicates it has been executed pursuant to CCP 995.630(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 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 6405(g).

B&P

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 27361 2. 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 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 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 LDA must individually qualify and register, but may be covered under the corporation or partnership bond. Some counties require a letter from the corporation or partnership on company letterhead, with original signatures, authorizing the employee to be covered 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 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 5. Continuation certificates require the original recorded bond be included with a cover page for filing and recording.
Rev. 02/29/2008

Individual Process Server - Bond/Cash in Lieu of

22

County Clerks Reference Manual

TITLE:

LDA EXAMINATION PROCEDURE

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 6405 2. Place of filing B&P 6402 3. Person or entity B&P 6401 4. Education and experience requirements on page 21 are met - B&P 6402.1 5. 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) STEP ACTION 1. 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 filing c. Type of registration "primary" or "secondary i. Primary - county in which his or her principal place of business is located ii. Secondary - any other county in which the LDA performs acts for which registration is required d. Personal information i. Name/business name ii. Business address iii. Telephone number iv. Identification e. Education/Experience (see page 21). Ensure applicant has attached the required documents verifying they have met the education/experience requirements f. Disqualifications - B&P 6403. Ensure applicant is not disqualified pursuant to any of the following: i. Civil judgment ii. Criminal conviction iii. Registration revocation iv. Suspension or disbarment Note: 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. Determine filing and recording fees. If a cover sheet is needed, additional fees may apply. *File the registration and bond a. File stamp the registration b. File stamp the bond c. Determine expiration date of registration - B&P 6406(a) (Whichever occurs first): i. Two years from the date of filing OR ii. Date the bond expires Note: 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.

2. 3.

*These steps are interchangeable depending on each county's guidelines and program system.
(continued on next page)
LDA Examination Procedure
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County Clerks Reference Manual

TITLE:

LDA EXAMINATION PROCEDURE

STEP ACTION d. Assign registration number - B&P 6407(a) i. New registration (or previous registration has expired) - assign next consecutive number from the registration log. ii. Renewals (no lapse in the registration period) - Assign same registration number as the previous filing. 4. *Cashier and receipt

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

LDA Examination Procedure

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County Clerks Reference Manual

TITLE:

LDA EXAMINATION PROCEDURE (IDENTIFICATION CARDS)

STEP ACTION 5. *Prepare and issue identification card - B&P 6407 a. Specification of card size - 3 " X 2 " b. Title - Legal Document Assistant c. Registrants name and address d. Name of county of registration e. Registration number f. Date of expiration g. 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

PHOTO NOT REQUIRED

6. *Give additional information to applicant as applicable (follow your local county guidelines). a. Issue copy of registration b. Expiration date of the registration c. Renewal process 7. *Index the registration 8. *Route bond to County Recorder

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

LDA Examination Procedure

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County Clerks Reference Manual

TITLE:

LDA DENIALS, APPEALS, REVOCATIONS & COMPLAINTS

Denials of 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 application 2. County Clerk notice with reasons for denial 3. Copies of relevant documentation Within 30 days of receipt, the director shall send a written decision to applicant and County Clerk listing reasons 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&P
6412.1

LDA Denials, Appeals, Revocations & Complaints

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County Clerks Reference Manual Title:

UNLAWFUL DETAINER ASSISTANT (UDA) - QUICK REFERENCE

Purpose: To make available to the public the registration of any person or entity who for compensation renders assistance 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 6405 2. Place of filing B&P 6402 3. Person or entity B&P 6401 4. 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 place of business is located (primary). b. Any other county in which he or she performs acts for which registration is required (secondary). 2. Primary or secondary registration. If secondary, it must state the county in which the primary registration is filed - B&P 6403(a)(7) 3. Personal information; name, age, address, and telephone 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 of perjury - B&P 6403(d) 7. Bond - $25,000 - B&P 6405(a)(1). Note: Notary may not acknowledge their own signature - GC 8224.1 8. Photograph of applicant (passport size or smaller) - B&P 6407(b) Corporation/Partnership Filing Requirements: 1. Place of filing - B&P 6402 a. County in which the principal place of business is located (primary). b. Any other county in which the UDA performs acts for which registration is required (secondary). 2. Primary or secondary registration. If secondary, it must state the county in which the primary registration is filed - B&P 6403(c)(7) 3. Personal information; name, age and telephone number of all corporate officers or general partners - 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 or b. President or c. Vice President and i. Secretary ii. Assistant Secretary iii. Chief Financial Officer iv. Assistant Treasurer If 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 UDAs b. $50,000 for 5-9 UDAs c. $100,000 for 10 or more UDAs

UDA Quick Reference

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County Clerks Reference Manual Title:

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

Fees: Registration - B&P 6404 File 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 ordinances Additional ID cards (must individually qualify) - B&P 6407(a) Legal References: B&P 6400-6415 GC 27361 California Code of Regulations, Title 16, Division 38, Chapter 5, Articles 1 & 2, Sections 3900-3950. Indexing: B&P 6407(a) 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 of the surety from the bond CCP 995.440 2.Continuation certificates require the original recorded bond be included with a cover page for filing and recording.

UDA Quick Reference

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County Clerks Reference Manual

TITLE:

UDA BOND/CASH IN LIEU OF

Requirements - B&P 6405 1. 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 UDAs Note: 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. If signed by an attorney in fact for the surety, a copy of the Power of Attorney must be attached to the bond unless the bond indicates it has been executed pursuant to CCP 995.630(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 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 6405(g).

B&P

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 27361 2. 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 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 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 from the corporation or partnership on company letterhead, with original signatures, authorizing the employee to be covered 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 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 5. Continuation certificates require the original recorded bond be included with a cover page for filing and recording.

UDA Bond/Cash in Lieu of

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County Clerks Reference Manual

TITLE:

UDA EXAMINATION PROCEDURE

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 6405 2. Place of filing B&P 6402 3. Person or entity B&P 6401 4. 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) STEP ACTION 1. 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 filing c. Type of registration "primary" or "secondary" i. Primary - county in which his or her principal place of business is located ii. Secondary - any other county in which the UDA performs acts for which registration is required d. Personal information i. Name/business name ii. Business address iii. Telephone number iv. Identification e. Disqualifications - B&P 6403. Ensure applicant is not disqualified pursuant to any of the following: i. Civil judgment ii. Criminal conviction iii. Registration revocation iv. Suspension or disbarment Note: 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 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 registration b. File stamp the bond c. Determine expiration date of registration - B&P 6406(a) (Whichever occurs first): i. Two years from the date of filing OR ii. Date the bond expires Note: 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) Assign number - B&P 6407(a) d. i. New registration (or previous registration has expired) - assign next consecutive number from the registration log. ii. Renewals (no lapse in the registration period) - Assign same registration number as the previous filing. 4. *Cashier and receipt

*These steps are interchangeable depending on each county's guidelines and program system. (continued on next page)
Individual Process Server - Examination Procedure
Rev. 02/29/2008

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County Clerks Reference Manual

TITLE:

UDA EXAMINATION PROCEDURE (IDENTIFICATION CARDS)

STEP ACTION 5. *Prepare and issue identification card - B&P 6407 a. Specification of card size 3 " X 2 " b. Title Unlawful Detainer Assistant c. Registrants name and address d. Name of county of registration e. Registration number f. Date of expiration g. 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

PHOTO NOT REQUIRED

6. *Give additional information to applicant as applicable (follow your local county guidelines). a. Issue copy of registration b. Expiration date of the registration c. Renewal process 7. *Index the registration 8. *Route bond to County Recorder

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

Individual Process Server - Examination Procedure

Rev. 02/29/2008

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County Clerks Reference Manual

TITLE:

UDA DENIALS, APPEALS, REVOCATIONS & COMPLAINTS

Denials of 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 application 2. County Clerk notice with reasons for denial 3. Copies of relevant documentation Within 30 days of receipt, the director shall send a written decision to applicant and County Clerk listing reasons 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 an unlawful detainer assistant may be filed in any superior court B&P
6412.1

UDA Denials, Appeals, Revocations & Complaints

Rev. 02/29/2008

32

County Clerks Reference Manual

Rev. 02/29/2008

37