94TH GENERAL ASSEMBLY
State of Illinois
2005 and 2006
SB0335

 

Introduced 2/15/2005, by Sen. James A. DeLeo

 

SYNOPSIS AS INTRODUCED:
 
New Act
30 ILCS 105/5.640 new

    Creates the Legal Document Preparer Act. Provides that, beginning July 1, 2006, no person shall engage in the preparation of legal documents unless the person is certified. Establishes the Board of Legal Document Preparers and outlines its duties and powers. Provides eligibility requirements for certification. Sets out the services that may be provided by a legal document preparer. Provides guidelines for the application process and the renewal of certification. Provides for disciplinary actions. Provides for a code of conduct for legal document preparers. Sets out a fee schedule. Amends the State Finance Act to provide for the Legal Document Preparer Fund.


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FISCAL NOTE ACT MAY APPLY

 

 

A BILL FOR

 

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1     An ACT concerning legal document preparers.
 
2     Be it enacted by the People of the State of Illinois,
3 represented in the General Assembly:
 
4     Section 1. Short title. This Act may be cited as the Legal
5 Document Preparer Act.
 
6     Section 5. Purpose. The Illinois Supreme Court has
7 inherent regulatory power over all persons providing legal
8 services to the public regardless of whether they are lawyers
9 or nonlawyers. The Court recognizes, however, that the need to
10 protect the public from possible harm caused by nonlawyers
11 providing legal services must be balanced against the public's
12 need for access to legal services. Accordingly, this Act is
13 intended to: (i) protect the public through the certification
14 of legal document preparers to ensure conformance to the
15 highest ethical standards and performance of responsibilities
16 in a professional and competent manner, in accordance with all
17 applicable statutes and court rules; and (ii) result in the
18 effective administration of the Legal Document Preparer
19 Program.
 
20     Section 10. Definitions. As used in this Act:
21     "Board" means the Board of Legal Document Preparers
22 appointed by the Chief Justice of the Supreme Court.
23     "Certification" means a certificate issued by the Program
24 Coordinator, upon decision of the Board, to a person or entity
25 when the person or entity meets the requirements of this Act.
26     "Day" means any calendar day except Saturday, Sunday, or a
27 federal or State holiday.
28     "Director" means the Director of the Administrative Office
29 of the Illinois Courts (AOIC).
30     "Formal charges" means the document setting forth specific
31 acts of misconduct by a certified legal document preparer or

 

 

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1 violations of this Act, including any amendments, authorized by
2 the Board upon a determination of probable cause.
3     "Formal disciplinary proceedings" means filing of formal
4 charges specifying misconduct by a certified legal document
5 preparer.
6     "Hearing officer" means an individual appointed pursuant
7 to this Act to preside over an administrative hearing regarding
8 the denial of initial or renewal certification or a complaint
9 regarding alleged misconduct of a certificate holder.
10     "Informal disciplinary proceedings" means resolution of a
11 complaint prior to the filing of formal charges.
12     "Legal document preparer" means an individual who is
13 certified pursuant to this Act to prepare or provide legal
14 documents, without the supervision of an attorney, for an
15 entity or a member of the public who is engaging in self
16 representation in any legal matter. An individual whose
17 assistance consists merely of secretarial or receptionist
18 services is not a legal document preparer.
19     "Letter of concern" means a communication from the Board
20 notifying a certificate holder of the Board's determination the
21 certificate holder has violated a provision of this Act and
22 that informal discipline is appropriate. A letter of concern is
23 not appealable.
24     "Program Coordinator" means the staff appointed by the
25 Director to administer the program.
26     "Revoked" means a certificate is permanently invalidated
27 or canceled as a result of proceedings brought by the Board,
28 after a finding of probable cause, pursuant to a statement of
29 formal charges.
30     "Suspended" means a certificate is not revoked, but the
31 certificate holder is not permitted to exercise the privileges
32 of the certificate for a set period of time as a result of
33 proceedings brought by the Board, after a finding of probable
34 cause, pursuant to a statement of formal charges.
35     "Trainee" means a person who would qualify for
36 certification as a legal document preparer but for the lack of

 

 

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1 required experience and who is seeking to gain the required
2 experience to qualify as a certified legal document preparer by
3 working under the supervision of a certificate holder to
4 perform authorized services, as set forth in this Act.
5     "Valid" means currently in effect, issued, and signed by
6 authorized staff of the applicable program and not suspended or
7 revoked.
 
8     Section 13. Applicability. Beginning July 1, 2006, no
9 person shall engage in the preparation of legal documents
10 unless that person is certified as a legal document preparer
11 pursuant to this Act. No person shall represent himself or
12 herself as a certified legal document preparer unless that
13 person holds a valid certificate as a certified legal document
14 preparer. A certified legal document preparer shall also comply
15 with the requirements of this Act.
 
16     Section 15. Responsibilities of the Supreme Court. The
17 Supreme Court shall:
18         (1) Administer the legal document preparer
19     certification program.
20         (2) Adopt rules for the implementation and
21     administration of the program. At a minimum, the rules
22     shall include a code of conduct, minimum qualifications,
23     and procedures for certification.
24         (3) Establish and collect fees, costs, and fines
25     necessary for the implementation and enforcement of the
26     program.
27         (4) Establish a Legal Document Preparer Fund
28     consisting of monies received for certification fees,
29     costs, and fines.
 
30     Section 20. Responsibilities of the Program Coordinator.
31 The Program Coordinator, designated by the Director, shall:
32         (1) Administer the Legal Document Preparer
33     Certification Program.

 

 

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1         (2) Forward all certification fees, costs, and fines
2     imposed and received pursuant to this Act to the State
3     Treasurer for deposit into the Legal Document Preparer
4     Fund.
5         (3) Provide updates to the Board and make
6     recommendations regarding matters pertaining to
7     certification, complaints, investigations, and all other
8     matters relevant to certified legal document preparers.
9         (4) Maintain a list of certified legal document
10     preparers. The Program Coordinator shall distribute the
11     list to the Supreme Court and make it available to the
12     public.
13     The Program Coordinator may charge for the costs of
14 providing copies of the certification list or any other public
15 records of the program pursuant to the Rules of the Supreme
16 Court.
 
17     Section 25. Board of Legal Document Preparers.
18     (a) The Board of Legal Document Preparers shall be
19 established and shall consist of the following 11 members:
20         (1) five certified legal document preparers who have
21     each worked as a legal document preparer for at least 5
22     years;
23         (2) the Director or his or her designee;
24         (3) one judge or court administrator;
25         (4) one clerk of the circuit court or his or her
26     designee;
27         (5) one attorney; and
28         (6) two public members not affiliated with any lawyer,
29     judge, certified legal document preparer, or court system.
30     (b) The Chief Justice of the Supreme Court shall appoint
31 Board members to initial terms of one, 2, and 3 years.
32 Thereafter, all terms shall be 3 years. If a vacancy occurs in
33 a Board member position, the Chief Justice shall fill the
34 vacancy expeditiously in the manner provided for in the
35 original appointment.

 

 

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1     (c) The Board shall:
2         (1) make recommendations to the Supreme Court
3     regarding rules, policies, and procedures to implement and
4     enforce the requirements regarding certified legal
5     document preparers, including applicant testing,
6     administrative fees, a code of conduct, continuing
7     education, and any other matter pertaining to certified
8     legal document preparers;
9         (2) issue certificates to qualified applicants;
10         (3) direct the Program Coordinator to conduct
11     investigations into alleged violations of this Act by
12     certified legal document preparers; and
13         (4) adjudicate and make all final decisions regarding
14     alleged violations by certified legal document preparers
15     pursuant to Section 100 of this Act.
 
16     Section 30. Requirements for certification.
17     (a) Any individual person, if eligible pursuant to
18 subsection (b) of this Section, or any business entity, if
19 eligible pursuant to Section 40, may apply for certification.
20     (b) The Board shall grant an initial certificate to an
21 individual applicant who meets the each of the following
22 qualifications. The applicant shall:
23         (1) be a citizen or legal resident of this country;
24         (2) be at least 18 years of age;
25         (3) be of good moral character;
26         (4) comply with the laws, court rules, and orders
27     adopted by the Supreme Court governing legal document
28     preparers in this State; and
29         (5) possess one of the following combinations of
30     education or experience:
31             (A) a high school diploma or a general equivalency
32         diploma evidencing the passing of the general
33         education development test and a minimum of 2 years of
34         law-related experience in one or a combination of the
35         following situations:

 

 

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1                 (i) under the supervision of a licensed
2             attorney;
3                 (ii) providing services in preparation of
4             legal documents prior to July 1, 2006;
5                 (iii) under the supervision of a certified
6             legal document preparer after July 1, 2006; or
7                 (iv) as a court employee;
8             (B) a four-year bachelor of arts or bachelor of
9         science degree from an accredited college or
10         university and a minimum of one year of law-related
11         experience in one or a combination of the following
12         situations:
13                 (i) under the supervision of a licensed
14             attorney;
15                 (ii) providing services in preparation of
16             legal documents prior to July 1, 2006;
17                 (iii) under the supervision of a certified
18             legal document preparer after July 1, 2006; or
19                 (iv) as a court employee;
20             (C) a certificate of completion from a paralegal or
21         legal assistant program that is institutionally
22         accredited but not approved by the American Bar
23         Association, that requires successful completion of a
24         minimum of 24 semester units, or the equivalent, in
25         legal specialization courses;
26             (D) a certificate of completion from an accredited
27         educational program designed specifically to qualify a
28         person for certification as a legal document preparer
29         under this Act;
30             (E) a certificate of completion from a paralegal or
31         legal assistant program approved by the American Bar
32         Association;
33             (F) a degree from a law school accredited by the
34         American Bar Association; or
35             (G) a degree from a law school that is
36         institutionally accredited but not approved by the

 

 

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1         American Bar Association.
 
2     Section 35. Procedures for initial individual
3 certification.
4     (a) Applicants shall file a completed application, signed
5 and verified under oath, with the Program Coordinator. An
6 applicant for individual certification shall submit with the
7 application one color passport-size photograph, 2 inches by 2
8 inches.
9     (b) The applicant shall pay the fees for initial
10 application, as established in Section 225, at the time the
11 application is submitted. The Program Coordinator shall not
12 accept an application without payment of the fees.
13     (c) The applicant shall have one year from the date of the
14 initial application to complete the certification process. The
15 Board shall treat an applicant who does not complete the
16 process within one year as a new applicant and require the
17 applicant to submit a new application and certification fees.
 
18     Section 40. Eligibility for certification as a business
19 entity.
20     (a) A corporation, limited liability company, partnership,
21 or sole proprietorship that employs certified legal document
22 preparers shall obtain certification as a business entity. The
23 business entity shall execute and submit a principal form
24 designating one or more principals who are certified as
25 individual legal document preparers pursuant to this Act. The
26 principal shall have the duties and responsibilities set forth
27 in Section 65 of this Act. In the event a designated principal
28 is no longer able or willing to serve as the principal, a
29 certified business entity shall immediately designate another
30 certified legal document preparer as the new principal and
31 within 20 days file an executed principal form with the Program
32 Coordinator.
33     (b) The owner of a legal document preparer business is not
34 required to hold certification provided the owner has a

 

 

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1 designated principal who holds valid certification as a legal
2 document preparer.
3     (c) A corporation, limited liability company, or
4 partnership that essentially operates as a sole proprietorship
5 is not required to hold certification as a business provided
6 the individual operating the business holds valid
7 certification as a legal document preparer and the business
8 entity has applied for and obtained a business entity
9 certification exemption.
10     (e) No person who has been disbarred by the highest court
11 in any state, and who has not been reinstated, may retain any
12 ownership interest in a certified legal document preparer
13 business.
14     (f) No person whose certificate has been revoked by the
15 Board of Legal Document Preparers or a comparable entity in
16 another state may retain any ownership interest in a certified
17 legal document preparer business.
 
18     Section 45. Procedures for initial business certification.
19     (a) An applicant for certification as a legal document
20 preparer shall file a completed application, signed and
21 verified under oath by the person completing the application,
22 with the Program Coordinator. The executed principal form and a
23 list of all certified legal document preparers acting for or on
24 behalf of the business entity shall accompany the application.
25     (b) The applicant shall pay the nonrefundable fees for
26 initial certification as a business, as established in Section
27 225, at the time the application is submitted. The Program
28 Coordinator shall not accept an application without payment of
29 fees.
30     (c) The applicant shall have one year from the date of the
31 initial application to complete the certification process. The
32 Board shall treat an applicant that does not complete the
33 process within one year as a new applicant and require the
34 applicant to submit a new application and certification fees.
35     (d) A business entity that has filed an application for

 

 

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1 certification may file a written request with the Board to be
2 exempted from the requirements of this Act. The Board shall
3 review each exemption request individually. If the Board
4 approves a business entity certification exemption, the Board
5 shall refund the fees submitted with the exempted entity's
6 business application.
 
7     Section 50. Standard certification.
8     (a) Beginning July 1, 2008, all applicants for individual
9 certification, in addition to meeting the requirements set
10 forth in Section 30, shall meet the examination requirements of
11 this Section.
12     (b) The examination for standard certification shall
13 consist of a written knowledge test of the rules of the Supreme
14 Court relating to legal document preparers.
15     (c) The Board shall administer the examination and shall
16 specify a date and place for the examination. An applicant must
17 pass with a final score on the test that meets the guidelines
18 established by the Board.
19     (d) An applicant who fails to pass the written examination
20 may retake the examination one time within 6 months of the date
21 of the failed examination, provided the applicant has not been
22 disqualified. An applicant who fails to pass the second and any
23 subsequent examinations may not take the examination again for
24 a period of 6 months.
25     (e) The Board shall disqualify an applicant from taking any
26 future examination if the Board determines the applicant
27 engaged in fraud, dishonesty, material misrepresentation, or
28 corruption while taking the examination.
29     (f) The applicant shall have one year from the date of the
30 application to complete the requirements for standard
31 certification. The Board shall treat an applicant who does not
32 complete the process within one year as a new applicant and
33 require the applicant to retake the examination and pay all
34 standard certification and examination fees.
 

 

 

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1     Section 55. Certification.
2     (a) If the Board is satisfied that an applicant meets the
3 requirements of this Act, the Board shall issue a certificate
4 to the applicant designating the status of the legal document
5 preparer as associated with a business or as acting
6 independently. Upon instruction from the Board, the Program
7 Coordinator shall promptly notify a successful applicant of
8 certification and provide the applicant with a document, in a
9 form determined by the Board, stating the applicant's name,
10 date of certification, and certificate number.
11     (b) The Board may refuse to issue a certificate if the
12 Board finds that any of the following applies:
13         (1) the applicant does not meet the requirements for
14     certification;
15         (2) the applicant has not submitted the applicable
16     documents and fees;
17         (3) the applicant engaged in fraud, dishonesty,
18     corruption, or material misrepresentation in applying for
19     a certificate or on a certificate examination in this State
20     or another state;
21         (4) the applicant has a record of a conviction by final
22     judgment of a felony or any other offense involving moral
23     turpitude;
24         (5) the applicant is currently on probation, parole, or
25     community supervision for a felony offense or is named in
26     an outstanding warrant for a felony;
27         (6) a court has ordered treatment for the applicant
28     pursuant to the Mental Health and Developmental
29     Disabilities Code or has found the applicant incapacitated
30     pursuant to the Probate Act of 1975;
31         (7) the applicant is subject to revocation or
32     suspension of a certificate pursuant to this Act or has had
33     any occupational or professional license denied, revoked,
34     or suspended; or
35         (8) the applicant has been found civilly liable in an
36     action involving fraud, intentional misrepresentation,

 

 

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1     misappropriation, theft, or conversion.
2     (c) An applicant's failure to disclose information on the
3 application that is subsequently revealed through the
4 fingerprint background check may constitute good cause for
5 automatic denial of the certification if the nondisclosed
6 information is relevant to the practice of legal document
7 preparation.
8     (d) On instruction from the Board, the Program Coordinator
9 shall promptly notify an applicant who is denied certification,
10 in accordance with this Act, of the reasons for the denial and
11 of the applicant's right to a hearing.
12     (e) An applicant may exercise the right to a hearing on the
13 decision to deny certification by filing a written request
14 within 15 days after receipt of notice of the denial. The
15 applicant is the moving party at the hearing and has the burden
16 of proof. The provisions of Sections 165 through 200 of this
17 Act concerning hearings and Section 215 of this Act concerning
18 judicial review apply regarding the procedures for the hearing
19 and review.
 
20     Section 60. Authorized services. A certified legal
21 document preparer may:
22         (1) prepare or provide legal documents, without the
23     supervision of an attorney, for an entity or a member of
24     the public in any legal matter when that entity or person
25     is not represented by an attorney;
26         (2) provide general legal information, but may not
27     provide any kind of specific advice, opinion, or
28     recommendation to a consumer about possible legal rights,
29     remedies, defenses, options, or strategies;
30         (3) provide general factual information pertaining to
31     legal rights, procedures, or options available to a person
32     in a legal matter when that person is not represented by an
33     attorney;
34         (4) make legal forms and documents available to a
35     person who is not represented by an attorney; and

 

 

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1         (5) file and arrange for service of legal forms and
2     documents for a person in a legal matter when that person
3     is not represented by an attorney.
 
4     Section 65. Designated business principal. The designated
5 principal of a certified business entity shall:
6         (1) prepare and submit, with the initial business
7     application, a list of all certified legal document
8     preparers acting for or on behalf of the business entity;
9         (2) file with the Program Coordinator, by June 30th of
10     each year, a list of all certified legal document preparers
11     and a list of all trainees acting for or on behalf of the
12     business entity as of June 1st of that year;
13         (3) actively and directly supervise all other
14     certified legal document preparers, trainees, and staff
15     working for the certified business entity; and
16         (4) represent the business entity, at the discretion of
17     the entity, in any proceeding under this Act.
 
18     Section 70. Code of conduct. Each certified legal document
19 preparer shall adhere to the code of conduct provided for in
20 Section 220 of this Act and any code of conduct set forth in
21 Supreme Court Rules.
 
22     Section 75. Identification. Beginning July 1, 2006, a
23 certified legal document preparer shall include the legal
24 document preparer's name, the title "Illinois Certified Legal
25 Document Preparer" or the abbreviation "ILCLDP," and the legal
26 document preparer's certificate number on all documents
27 prepared by the legal document preparer that are filed in any
28 Illinois court. The legal document preparer shall also provide
29 his or her title and certificate number upon request.
 
30     Section 80. Notification of changes.
31     (a) A certificate holder shall inform the Program
32 Coordinator, in writing, of any change in name, address,

 

 

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1 employment, or phone number within 30 days after the change
2 occurs.
3     (b) If the status of a certificate holder changes from
4 being associated with a business entity, the certificate holder
5 shall, within 30 days after the change, notify the Program
6 Coordinator in writing.
7     (c) A business entity shall notify the Program Coordinator
8 in writing within 30 days after the termination of employment
9 when an employee who is a certified legal document preparer
10 leaves the employment of the business entity.
 
11     Section 85. Supervision of trainees.
12     (a) If a certificate holder employs a person who would
13 qualify for certification as a legal document preparer but for
14 the lack of required experience, the certificate holder may
15 train the employee to perform legal document preparer services
16 authorized by this Act for a period not to exceed 2 1/2 years.
17     (b) The trainee may perform authorized legal document
18 preparer services, as set forth in Section 60 of this Act, only
19 under the supervision of the certificate holder. Neither the
20 trainee nor the certificate holder may represent that the
21 trainee is a certified legal document preparer.
22     (c) Any certificate holder who undertakes to train an
23 employee as a legal document preparer shall:
24         (1) assume personal professional responsibility for
25     the trainee's guidance in any legal document preparation
26     work undertaken and for supervising, generally or
27     directly, as necessary, the quality of the trainee's legal
28     document preparation work;
29         (2) assist the trainee in activities to the extent the
30     certificate holder considers it necessary;
31         (3) ensure that the trainee is familiar with and
32     adheres to the provisions of this Act and the code of
33     conduct set forth in Supreme Court Rules; and
34         (4) provide the certificate holder's name and
35     certificate number, as required by Section 75, on any

 

 

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1     documents filed in a court that were prepared by the
2     trainee under the certificate holder's supervision.
 
3     Section 90. Expiration; surrender; renewal of
4 certification; continuing education requirements.
5     (a) All initial certifications expire at midnight on June
6 30th of each year. The Board may not, except in extenuating
7 circumstances, renew an initial certificate beyond June 30,
8 2006. All standard certifications expire at midnight on June
9 30th of each odd-numbered year. All certificates shall continue
10 in force until expired, suspended, revoked, or terminated. If
11 the Board receives the request for renewal and prescribed fees
12 after the established deadline, the Board shall determine the
13 certificate expired on June 30th.
14     (b) An applicant may voluntarily surrender a certificate.
15 The surrender is not valid until accepted by the Board. The
16 Board may require additional information reasonably necessary
17 to determine whether the certificate holder has violated this
18 Act. The Board shall, within 120 days after the voluntary
19 surrender of the certification, either file a notice of hearing
20 regarding a complaint and disciplinary action or accept the
21 surrender.
22     (c) The certificate holder is responsible for applying for
23 a renewal certificate. To remain eligible to serve as a legal
24 document preparer in this State, a certified legal document
25 preparer shall submit a completed renewal application,
26 applicable fees, and documentation by the renewal application
27 deadlines established by the Board.
28     (d) All certified legal document preparers shall attend 10
29 hours of continuing education every year, consisting of
30 Board-approved continuing education relevant to the
31 preparation of legal documents. The certified legal document
32 preparer shall provide documentation on an approved form of
33 completion of at least 10 hours of continuing education and
34 shall submit this documentation with the application for
35 renewal of certification.

 

 

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1     (e) The Board may, before granting a renewal of
2 certification, require additional information reasonably
3 necessary to determine whether the applicant continues to meet
4 the qualifications specified in this Act. This may include
5 background information, fingerprinting, a signed affidavit, or
6 any other reasonable information that the Board may require.
 
7     Section 95. Decision regarding renewal.
8     (a) On receipt of the renewal application and the renewal
9 fee, the Board shall issue the applicant a new standard
10 certificate for 2 years, unless the Board finds that the
11 applicant does not meet the requirements for renewal.
12     (b) The Board may deny renewal of a certificate for any of
13 the reasons specified in subsection (b) of Section 55 of this
14 Act.
15     (c) On instruction from the Board, the Program Coordinator
16 shall promptly notify qualified applicants of the renewal of
17 their certification and provide them with a document in a form
18 determined by the Board, stating the applicant's name, date of
19 certification, and certificate number.
20     (d) On instruction from the Board, the Program Coordinator
21 shall promptly notify an applicant denied renewal of
22 certification of the reasons for the denial and of the
23 applicant's right to a hearing.
24     (e) An applicant is entitled to a hearing on the decision
25 to deny renewal if the applicant files a written request with
26 the Board within 15 days after receipt of notice of the denial.
27 The applicant is the moving party at the hearing and has the
28 burden of proof. The provisions of Sections 165 through 200 of
29 this Act concerning hearings and Section 215 of this Act
30 concerning judicial review apply regarding the procedures for
31 the hearing and review.
 
32     Section 100. Grounds for discipline. A certificate holder
33 is subject to disciplinary action if the Board finds that the
34 certificate holder has:

 

 

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1         (1) willfully violated or willfully failed to comply
2     with applicable laws, court orders, orders of the Board, or
3     provisions of the Illinois Supreme Court Rules or with this
4     Act;
5         (2) violated or failed to discharge any obligation
6     required by this Act;
7         (3) exhibited gross negligence or incompetence in the
8     performance of his or her duties as a legal document
9     preparer;
10         (4) engaged in fraud, dishonesty, or corruption;
11         (5) aided or assisted another person to engage in
12     independent preparation of legal documents if the other
13     person is not a certified legal document preparer;
14         (6) been convicted by final judgment of a felony
15     offense or any other offense involving moral turpitude;
16         (7) been the subject of court-ordered treatment
17     pursuant to the Mental Health and Developmental
18     Disabilities Code or been found to be incapacitated
19     pursuant to the Probate Act of 1975; or
20         (8) engaged in any other activity or omission for which
21     the Board is authorized to revoke or suspend a certificate
22     under this Act.
 
23     Section 105. Effect of expiration of certification on
24 discipline. The expiration provisions described in Section 90
25 and Section 95 of this Act do not affect the right of the Board
26 to investigate and take disciplinary action regarding the
27 certification of a certificate holder if a complaint or
28 investigation is pending prior to the expiration date.
29 Non-renewal of the certification by the certificate holder does
30 not affect this provision.
 
31     Section 110. Cease and desist order. A hearing officer or
32 a circuit court judge, upon petition by the Board, may enter an
33 order for an individual to immediately cease and desist from
34 conduct that constitutes engaging in the practice of legal

 

 

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1 document preparation without the required certification.
 
2     Section 115. Subpoenas; oaths; evidence.
3     (a) For the purposes of investigations or hearings under
4 this Act, the Board or a hearing officer may administer oaths
5 and affirmations, subpoena witnesses, take evidence, and
6 require the production of documents, records, or information,
7 whether kept in original form or electronically stored or
8 recorded, or other items relevant or material to the inquiry.
9     (b) If a person fails to obey a subpoena issued pursuant to
10 this Section, the Board or a hearing officer may request that
11 the circuit court issue an order that requires the appearance
12 by a person or the production of documents or other items, or
13 both to the same extent as provided in the subpoena. The court
14 may treat the failure to obey the order as contempt of court
15 and may punish the contempt.
16     (c) Subpoenas shall be issued in the same manner and served
17 as provided by the Code of Civil Procedure.
 
18     Section 120. Immunity. Persons appointed by the Supreme
19 Court to serve in an advisory capacity to the Legal Document
20 Preparer Program, staff of the Legal Document Preparer Program,
21 hearing officers, and employees of the Administrative Office of
22 the Illinois Courts who participate in the Legal Document
23 Preparer Program are immune from civil liability for good faith
24 conduct that relates to the performance of their official
25 duties under the program.
 
26     Section 125. Confidentiality. The Board, program staff,
27 and court employees shall keep information or documents
28 obtained or generated by the Board, program staff, or court
29 employees in the course of an open investigation under this Act
30 or received in an initial report of misconduct under this Act
31 confidential except as mandated by public record rules adopted
32 by the Supreme Court or adopted pursuant to this Act. Upon
33 determination by the Board, if the alleged violations are

 

 

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1 sufficiently serious to warrant the filing of formal charges,
2 then the complaint and all records of proceedings and actions
3 by the Board pertaining to the complaint shall be open to
4 public inspection. Any complaint dismissed by the Board
5 pursuant to Section 140 or subdivision (b)(1) of Section 150 of
6 this Act is confidential and not subject to public inspection.
7 Documents relating to other actions shall be open to public
8 inspection upon final disposition of the action by the Board.
 
9     Section 130. Service. The Board shall serve notice of
10 formal proceedings by personal service upon the certificate
11 holder or the certificate holder's counsel or by certified
12 mail, return receipt requested, to the certificate holder's
13 address of record with the Board. Service by mail is complete
14 upon deposit in the United States mail. Proof of service shall
15 be made by filing with the hearing officer a verified statement
16 that service was made. Delivery of all other papers or notices,
17 including a request for a response to a complaint, shall be
18 made by first class mail unless otherwise ordered by the Board.
 
19     Section 135. Complaint.
20     (a) All judicial officers or their designees and all
21 certified legal document preparers shall, and any other person
22 may, notify the Program Coordinator if they have personal
23 knowledge that a certificate holder has violated this Act. A
24 complainant shall make the complaint in writing with sufficient
25 specificity to warrant further investigation. The complaint
26 shall include the name and telephone number of the complainant.
27     (b) On receipt of a complaint, the Program Coordinator and
28 program staff shall investigate and prosecute, and the Board
29 shall adjudicate, alleged violations of this Act as necessary
30 for the enforcement of this Act. The Board may initiate a
31 complaint on its own motion.
 
32     Section 140. Initial screening. Upon receipt of a
33 complaint, the Program Coordinator shall conduct an initial

 

 

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1 screening to determine whether the complaint warrants further
2 investigation and evaluation. If the Program Coordinator
3 believes the complaint is outside the jurisdiction of this Act,
4 the Program Coordinator shall recommend that the Board dismiss
5 the complaint. If the Board concurs, the Board shall dismiss
6 the complaint. The Board may refer the complaint to another
7 State agency or entity with jurisdiction, if appropriate. If
8 the Program Coordinator determines that the complaint is within
9 the jurisdiction of the Board, the Program Coordinator shall
10 conduct a preliminary investigation pursuant to Section 145 of
11 this Act.
 
12     Section 145. Preliminary investigation; recommendation.
13     (a) The Program Coordinator and program staff shall conduct
14 all investigations promptly, discreetly, and confidentially.
15     (b) The Program Coordinator shall deliver the complaint to
16 the certificate holder within 15 days after commencement of the
17 investigation and shall require that the certificate holder
18 provide a written response within 10 days of delivery of the
19 complaint. The Program Coordinator and the Board shall not
20 proceed with disciplinary action under this Act without
21 providing this notice and opportunity to respond.
22     (c) Upon completion of the preliminary investigation, the
23 Program Coordinator shall prepare a written summary and shall
24 present it to the Director. The summary shall include the staff
25 recommendation for disposition of the alleged violation.
 
26     Section 150. Review of complaint and investigation.
27     (a) The Director shall review the Program Coordinator's
28 recommendation regarding a complaint and may direct program
29 staff to conduct further investigations or may concur with the
30 Program Coordinator's recommendation. If the Director concurs
31 with the Program Coordinator's recommendation, the Program
32 Coordinator shall provide the Board with a copy of the
33 complaint, written summary, and recommended disposition. If
34 the Director does not concur with the Program Coordinator's

 

 

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1 recommendation, the Director may submit his or her
2 recommendation to the Board along with a statement explaining
3 the recommendation and the reasons for the rejection of the
4 Program Coordinator's recommendation. The Director shall
5 notify the Program Coordinator of his or her decision regarding
6 the recommendation.
7     (b) Upon completion of the investigation, the Board shall
8 review the complaint and the staff summary and recommendation.
9 The Board may dispose of the matter as follows:
10         (1) determine that no violation exists and dismiss the
11     complaint;
12         (2) order further investigation;
13         (3) determine that the complaint is appropriate for
14     resolution without proceeding to formal proceedings; or
15         (4) determine that the alleged violations warrant the
16     filing of formal charges, and direct program staff to
17     prepare the notice of formal charges and right to hearing
18     and proceed as provided in subsection (b) of Section 155 of
19     this Act.
20     (c) If the Board finds that the public health, safety, or
21 welfare requires emergency action and incorporates a finding to
22 that effect in the order disposing of the matter, the Board
23 may, with the consensus of a majority of the members of the
24 full Board, order the summary suspension of a certificate
25 pending a proceeding for certificate revocation or other
26 disciplinary action. The Board shall provide notice to the
27 certificate holder of its intent to seek summary suspension at
28 least 3 days prior to commencing summary suspension
29 proceedings. The Board shall ensure that disciplinary
30 proceedings are promptly instituted within 20 days after its
31 order disposing of the matter. The Program Coordinator shall
32 immediately notify all presiding judges of the circuit court of
33 any summary suspension under this Section.
 
34     Section 155. Formal proceedings.
35     (a) The Board may commence formal proceedings if the Board

 

 

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1 finds reasonable cause to believe the certificate holder has
2 violated this Act and the complaint is not appropriate for
3 resolution by an informal disciplinary proceeding or a letter
4 of concern.
5     (b) The Board shall serve a statement of formal charges on
6 the certificate holder with a notice advising the certificate
7 holder of the certificate holder's rights pursuant to this Act.
8 The notice shall include the following information:
9         (1) a short and plain statement of the allegations and
10     factual basis supporting the relief requested; amendments
11     to the statement are permissible;
12         (2) a reference to the particular Sections of this Act
13     involved;
14         (3) a statement that the certificate holder has the
15     right to a hearing, upon request in writing within 15 days
16     after receipt of the notice; and
17         (4) a statement of the requirements for responding to
18     formal charges, as specified in subsection (c) of Section
19     165 of this Act.
20     (c) The certificate holder shall file an answer to the
21 notice and statement of formal charges within 15 days after the
22 date the notice is served unless otherwise ordered by the
23 Board. Answers shall comply with the Supreme Court Rules and
24 Code of Civil Procedure. Any defenses not raised in the answer
25 are waived. If a certificate holder fails to file an answer
26 within the time provided, the certificate holder is in default,
27 the factual allegations in the formal charges are deemed
28 admitted, and the Board may determine the matter against the
29 certificate holder.
 
30     Section 160. Discovery.
31     (a) Discovery is permitted as provided in this Act, as the
32 parties mutually agree, or as the hearing officer permits.
33     (b) Within 15 days after the filing of an answer to a
34 statement of formal charges, the parties shall exchange the
35 names, addresses, and telephone numbers of all persons known to

 

 

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1 have knowledge of the relevant facts, designating those persons
2 the parties intend to call at the hearing and summarizing their
3 anticipated testimony.
4     (c) The parties shall exchange other evidence relevant to
5 the formal charges that is not otherwise confidential.
6     (d) The parties have a continuing duty to supplement
7 information required to be exchanged under this Act.
8     (e) Parties may take depositions of other parties or any
9 witnesses expected to be called. Depositions of document
10 custodians are permissible to secure production of documents
11 and to establish an evidentiary foundation. No other
12 depositions shall be taken except upon the agreement of all
13 parties, an order of the hearing officer following a motion
14 demonstrating good cause, or an order of the hearing officer
15 following a prehearing conference.
16     (f) To the extent practicable, all discovery shall be
17 completed within 30 days after the filing of the answer or 15
18 days before the hearing, whichever is longer.
19     (g) The hearing officer may preclude any party from calling
20 a witness or presenting evidence at the hearing if the witness
21 or evidence has not been disclosed as required under this
22 Section.
23     (h) The hearing officer shall resolve all discovery
24 disputes. These rulings are final except on review.
 
25     Section 165. Hearings.
26     (a) A certificate holder subject to formal charges or an
27 applicant denied initial or renewal certification may request a
28 hearing within 15 days after receipt of the notice of formal
29 charges or notice of denial of certification. Hearing requests
30 must specify the provision of this Act that entitles the person
31 to a hearing, the factual basis supporting the request for a
32 hearing, and the relief demanded.
33     (b) Upon written demand by a person entitled to a hearing
34 pursuant to this Act or at the direction of the Board, the
35 Program Coordinator may select a hearing officer,

 

 

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1 knowledgeable in conducting hearings, to hold a hearing
2 regarding the initial or renewal certification of an applicant
3 or alleged misconduct by a certificate holder. The Board may
4 request that the presiding judge of the circuit court in the
5 county where the alleged violation took place, if applicable,
6 supply a hearing room and any other necessary resources.
7     (c) The hearing officer shall prepare and give to the
8 parties a notice of the hearing at least 15 days prior to the
9 date set for the hearing. The notice shall include a statement
10 of the time, place, and nature of the hearing and a statement
11 of the legal authority and jurisdiction for conduct of the
12 hearing.
13     (d) The hearing officer shall hold the hearing within 45
14 days after receipt of an applicant's or certificate holder's
15 request for a hearing unless postponed by mutual consent for
16 good cause. If the Board has requested a hearing, the hearing
17 officer shall hold the hearing as soon as practicable at the
18 discretion of the hearing officer, but no sooner than 15 days
19 after service of the notice of hearing, as required by
20 subsection (c) of this Section.
 
21     Section 170. Prehearing motions. Parties shall file
22 prehearing motions at least 5 days prior to the scheduled
23 hearing date unless otherwise ordered by the hearing officer.
24 Parties shall file responses within 5 days after the filing of
25 the motion. Copies of all motions and other filings shall be
26 delivered to the hearing officer and all parties to the
27 proceeding.
 
28     Section 175. Prehearing conference. The hearing officer
29 may order a prehearing conference at the request of any party
30 or on the hearing officer's own initiative. The purpose of the
31 conference is to consider any or all of the following actions:
32         (1) to reduce or simplify the issues for adjudication;
33         (2) to dispose of preliminary legal issues, including
34     ruling on prehearing motions;

 

 

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1         (3) to stipulate to the admission of uncontested
2     evidence, facts, and legal conclusions;
3         (4) to identify witnesses;
4         (5) to resolve discovery issues, if any; and
5         (6) to consider any other matters that will aid in the
6     expeditious conduct of the hearing.
 
7     Section 180. Procedure at hearing.
8     (a) The hearing officer shall preside over the hearing. The
9 hearing officer has the authority to decide all motions,
10 conduct prehearing conferences, determine the order of proof
11 and manner of presentation of other evidence, issue subpoenas,
12 place witnesses under oath, question witnesses, recess or
13 adjourn the hearing, and prescribe and enforce general rules of
14 conduct and decorum. Informal disposition of any case by
15 stipulation, agreed settlement, consent order, or default is
16 permissible.
17     (b) A party is entitled to enter an appearance, introduce
18 evidence, examine and cross examine witnesses, make arguments,
19 and generally participate in the conduct of the hearing.
20     (c) A party may represent himself or herself or appear at a
21 hearing through counsel. An attorney who intends to appear on
22 behalf of a party shall promptly notify the hearing officer and
23 the Board, providing the name, address, and telephone number of
24 the party represented and the name, address, and telephone
25 number of the attorney. A corporate officer may represent a
26 business entity in any proceeding under this Act.
27     (d) All persons appearing before a Board or hearing officer
28 in any proceeding shall conform to the conduct expected in the
29 Illinois Circuit Court.
30     (e) The hearing officer may conduct the hearing in an
31 informal manner and without strict adherence to the rules of
32 pleading or evidence. The hearing officer shall require that
33 evidence supporting a decision is substantial, reliable, and
34 probative and shall exclude irrelevant, immaterial, or unduly
35 repetitious evidence.

 

 

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1     (f) The hearing officer shall require that all testimony
2 considered be under oath or affirmation, except matters of
3 which judicial notice is taken or entered by stipulation. The
4 hearing officer may administer oaths and affirmations.
5     (g) In all matters brought at the request of the Board,
6 evidence in support of the Board's action shall be presented
7 first and the Board has the burden of proof. In matters brought
8 at the request of someone other than the Board, including
9 requests for a hearing on the denial of certification or
10 renewal of certification, the person seeking the hearing shall
11 present evidence first and carries the burden of proof.
12     (h) There is no right to a jury. All hearings shall be open
13 to the public.
 
14     Section 185. Record of hearing.
15     (a) The hearing officer shall ensure that all portions of
16 the hearing are electronically recorded and transcribed at the
17 request of any party. The party making the request shall pay
18 the cost of the transcript.
19     (b) A certified competent court reporter shall make a full
20 stenographic record of the proceedings if requested by a party
21 within 5 days prior to a hearing. The cost of the transcript is
22 the responsibility of the requesting party. The hearing officer
23 may require prepayment or a monetary deposit to cover the cost
24 of the transcript. If transcribed, the record is a part of the
25 court's record of the hearing, and any other party with a
26 direct interest is entitled to receive a copy of the
27 stenographic record, at the request and expense of the party.
 
28     Section 190. Recommendations of hearing officer. If
29 applicable, the hearing officer shall, within 30 days after the
30 closing of the record of a hearing, prepare written
31 recommendations and deliver the recommendations to the Board.
32     The recommendations shall include findings of fact, based
33 on a preponderance of the evidence introduced at the hearing,
34 and conclusions of law separately stated.
 

 

 

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1     Section 195. Decisions; orders. The Board shall render the
2 final decision in writing and shall include findings of fact
3 and conclusions of law separately stated. The Board shall make
4 findings of fact by a preponderance of the evidence based
5 exclusively on the evidence introduced at the hearing and on
6 matters officially noticed.
7     The Board shall notify the parties of the decision either
8 personally or by mail to their last known addresses.
 
9     Section 200. Rehearing. Any party to a hearing may request
10 a rehearing or reargument of the matters involved in the
11 hearing by filing a written request with the hearing officer
12 within 15 days after receipt by the party of the order at
13 issue. The request shall conform to the requirements of Article
14 III of the Code of Civil Procedure. Any party served with a
15 request for rehearing may file a response within 15 days after
16 service. The hearing officer shall rule on the request within
17 30 days after its filing date.
 
18     Section 205. Disciplinary actions.
19     (a) Whether or not the investigation concerning an alleged
20 violation by a certificate holder results in the filing of
21 formal charges, which may or may not include a hearing, the
22 Board shall do one or more of the following, as it determines
23 appropriate:
24         (1) determine that no violation exists and dismiss the
25     complaint;
26         (2) resolve the violation by consent order or other
27     negotiated settlement between the parties;
28         (3) place restrictions on the certificate holder;
29         (4) mandate additional training for the certificate
30     holder;
31         (5) issue cease-and-desist orders, letters of concern,
32     or warnings;
33         (6) order revocation or suspension of certification

 

 

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1     for violations of this Act; or
2         (7) impose restitution for substantiated economic
3     damages.
4     The Board may assess costs and impose civil penalties
5 associated with these violations, after a formal hearing,
6 provided that a civil penalty may not exceed $2,000 for each
7 violation of this Act and may not exceed an aggregate of
8 $15,000. The Attorney General shall bring an action in the
9 circuit court to enforce the collection of any monetary penalty
10 imposed. The Program Coordinator shall deposit these costs and
11 civil penalties in the Legal Document Preparer Fund.
12     (b) The Board shall issue an order specifying the
13 violations found, the facts supporting the findings, and any
14 sanctions imposed pursuant to this Act.
 
15     Section 210. Notice of suspension or revocation;
16 reinstatement.
17     (a) The Board shall promptly serve notice of suspension or
18 revocation of any certification upon the certificate holder.
19     (b) A legal document preparer whose certificate has been
20 suspended or revoked may apply in writing for a reinstatement
21 of the certificate on a showing of good cause and payment of
22 the renewal fee. The Board may grant or deny the request, may
23 require the applicant to take or retake the examination for
24 certification, and may impose other appropriate conditions for
25 reinstatement.
 
26     Section 215. Judicial review. All final administrative
27 decisions of the Board pursuant are subject to judicial review
28 under Article III of the Code of Civil Procedure and its rules.
29 The term "administrative decision" is defined as in Section
30 3-101 of the Code of Civil Procedure. Proceedings for judicial
31 review shall be commenced in the circuit court of any county
32 permitted by Section 3-104 of the Code of Civil Procedure.
 
33     Section 220. Code of conduct.

 

 

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1     (a) Preamble. This code of conduct shall apply to all
2 certified legal document preparers in this State. The purpose
3 of this code is to establish minimum standards for performance
4 by certified legal document preparers.
5     (b) Ethics.
6         (1) A legal document preparer shall avoid impropriety
7     and the appearance of impropriety in all activities, shall
8     respect and comply with the laws, and shall act at all
9     times in a manner that promotes public confidence in the
10     integrity and impartiality of the legal and judicial
11     systems.
12         (2) A legal document preparer shall be alert to
13     situations that are conflicts of interest or that may give
14     the appearance of a conflict of interest.
15         (3) A legal document preparer shall promptly make full
16     disclosure to a consumer of any relationships that may give
17     the appearance of a conflict of interest.
18         (4) A legal document preparer shall refrain from
19     knowingly making misleading, deceptive, untrue, or
20     fraudulent representations while assisting a consumer in
21     the preparation of legal documents. A legal document
22     preparer shall not engage in unethical or unprofessional
23     conduct in any professional dealings that are harmful or
24     detrimental to the public.
25     (c) Professionalism.
26         (1) A legal document preparer shall treat information
27     received from the consumer as confidential, yet recognize
28     and acknowledge that the privilege of confidential
29     communications is not extended to certified legal document
30     preparers.
31         (2) A legal document preparer shall be truthful and
32     accurate when advertising or representing the legal
33     document preparer's qualifications, skills, or abilities
34     or the services provided, and shall refrain from
35     denigrating or otherwise calling into disrepute the
36     products or services offered by any other legal document

 

 

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1     preparer or attorney.
2         (3) A legal document preparer shall maintain and
3     observe the highest standards of integrity and
4     truthfulness in all professional dealings.
5         (4) A legal document preparer shall keep abreast of
6     current developments in the law as it relates to legal
7     document preparation and shall fulfill ongoing training
8     requirements to maintain professionalism and the skills
9     necessary to perform his or her duties competently.
10     (d) Fees and services.
11         (1) A legal document preparer shall, upon request of a
12     consumer at any time, disclose in writing an itemization of
13     all rates and charges to that consumer.
14         (2) A legal document preparer shall determine fees
15     independently, except when otherwise established by law,
16     entering into no unlawful agreements with other legal
17     document preparers on the fees to any consumer.
18         (3) A legal document preparer shall at all times be
19     aware of and avoid impropriety or the appearance of
20     impropriety, which may include, but is not limited to:
21             (A) establishing contingent fees as a basis of
22         compensation;
23             (B) directly or indirectly receiving any gift,
24         incentive, reward, or anything of value as a condition
25         of the performance of professional services; or
26             (C) directly or indirectly offering to pay any
27         commission or other consideration in order to secure
28         professional assignments.
29         (4) A legal document preparer may consult with,
30     associate with, collaborate with, and involve other
31     professionals in order to assist the consumer.
32     (e) Skills and practice.
33         (1) A legal document preparer shall provide completed
34     documents to a consumer in a timely manner. The legal
35     document preparer shall make a good faith effort to meet
36     promised delivery dates and make timely delivery of

 

 

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1     documents when no date is specified. A legal document
2     preparer shall meet document preparation deadlines in
3     accordance with rules, statutes, court orders, or
4     agreements with the parties. A legal document preparer
5     shall provide immediate notification of delays.
6         (2) A legal document preparer shall accept only those
7     assignments for which the legal document preparer's level
8     of competence will result in the preparation of an accurate
9     document. The legal document preparer shall decline an
10     assignment when the legal document preparer's abilities
11     are inadequate.
12     (f) Performance in accordance with law.
13         (1) A legal document preparer shall perform all duties
14     and discharge all obligations in accordance with
15     applicable laws, rules, or court orders.
16         (2) A legal document preparer shall not represent that
17     he or she is authorized to practice law in this State, nor
18     shall the legal document preparer provide legal advice or
19     services to another by expressing opinions, either verbal
20     or written, or by representing another in a judicial,
21     quasi-judicial, or administrative proceeding, or other
22     formal dispute resolution process, except as directed by
23     the Supreme Court Rules or this Act. A legal document
24     preparer shall not attend court with a consumer for the
25     purpose of assisting the consumer in the court proceeding,
26     unless otherwise ordered by the court.
27         (3) A legal document preparer shall not provide any
28     kind of advice, opinion, or recommendation to a consumer
29     about possible legal rights, remedies, defenses, options,
30     or strategies. This shall not, however, preclude a
31     certified legal document preparer from providing the type
32     of information permitted in Section 60 of this Act. A legal
33     document preparer shall inform the consumer in writing that
34     a legal document preparer is not a lawyer, is not employed
35     by a lawyer, and cannot give legal advice and that
36     communications with a legal document preparer are not

 

 

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1     privileged. A legal document preparer shall not use the
2     designations "lawyer", "attorney at law", "counselor at
3     law", "law office", "J.D.", "Esq.", or other equivalent
4     words, the use of which is reasonably likely to induce
5     others to believe the legal document preparer is authorized
6     to engage in the practice of law in this State.
 
7     Section 225. Fee Schedule.
8     (a) Initial certification. The fees for initial
9 certification shall be nonrefundable and shall be as follows:
10         (1) individual certification - $300
11         (2) renewal of initial individual certification - $300
12         (3) business entity certification - $300
13         (4) renewal of initial business certification - $300
14     (b) Standard certification.
15         (1) individual certification - $250
16         (2) renewal of standard individual certification -
17     $500
18         (3) business entity certification - $250
19         (4) renewal of standard business certification - $500
20         (5) late renewal fee - $50
21     (c) Examination fee for standard individual
22 certifications.
23         (1) Certified Legal Document Preparers - $0 (No fee is
24     required for legal document preparers who hold a valid
25     certificate at the time of application for examination.)
26         (2) Noncertified Legal Document Preparers - $50 (For
27     applicants who do not hold a valid Illinois legal document
28     preparer certificate at the time of application for the
29     examination.)
30         (3) Reexaminations - $50 (For any applicant who does
31     not pass the examination on the first attempt. The $50 fee
32     applies to each reexamination.)
33         (4) Reregistration - $50 (For any applicant who
34     registers for an examination date and fails to appear at
35     the designated site on the scheduled date and time.)
 

 

 

SB0335 - 32 - LRB094 10548 LCB 40831 b

1     Section 230. Fund. The Legal Document Preparer Fund is
2 created as a special fund in the State treasury. Subject to
3 appropriation by the General Assembly, all monies in the Legal
4 Document Preparer Fund shall be used to further the objectives
5 of this Act.
 
6     Section 800. The State Finance Act is amended by adding
7 Section 5.640 as follows:
 
8     (30 ILCS 105/5.640 new)
9     Sec. 5.640. The Legal Document Preparer Fund.