11.1 Grounds for Suspension or Revocation

Where the Power Comes From

A California notary serves at the pleasure of the Secretary of State (SOS), who issues the four-year commission and may also take it away. The controlling statute is Government Code (GC) section 8214.1, which lists the specific grounds for action, and GC 8214.3, which lets the SOS act even before a criminal case concludes. The exam treats this as black-letter law: it expects you to recognize a listed ground when you see one in a fact pattern.

The SOS has four escalating tools. Memorize the distinction between the two that end a commission temporarily versus permanently:

The Grounds Listed in GC 8214.1

The statute enumerates the grounds. The most heavily tested are:

• Conviction of a felony, or of a misdemeanor involving the elements of a notary's duties (subdivision (b)).
• Failure to discharge fully and faithfully any duty of a notary public (subdivision (e)).
• The commission of any act involving dishonesty, fraud, or deceit with the intent to substantially benefit the notary or another, or substantially injure another (subdivision (f)).
• Making a false statement on the application for the commission (subdivision (c)).
• Willful failure to properly maintain the sequential journal of official acts (subdivision (g) area).
• Practicing law without a license, or charging more than the statutory maximum notary fee.

Exam Tip: Backdating a certificate is the classic trap. It is never a clerical "convenience" — it is an act of deceit under subdivision (f) and a textbook revocation ground, even on a first offense.

Distinguishing the Grounds

The exam rewards precision about which ground a fact pattern triggers, because the presumptive sanction differs. A useful mental sort:

• Identity/honesty failures (false statement on the application, deceit, fraud) sit at the top of the severity scale — they go to whether the public can trust the notary at all, and they presume revocation.
• Competence/process failures (incomplete certificate, missing oath, journal gaps, expired seal) are duty-of-care violations under subdivision (e). A single, isolated lapse trends toward reproval or suspension; a willful or repeated pattern climbs toward revocation.
• Boundary violations — practicing law without a license, advising on immigration as a non-attorney, or charging above the statutory fee — are independently actionable even if every certificate was technically correct.

Note that GC 8214.3 lets the SOS act on a plea or verdict of guilty before sentencing or appeal concludes, so a notary cannot stall discipline by appealing a conviction.

Worked Example

A notary completes an acknowledgment dated three days earlier so a client can meet a recording deadline. No money changes hands and the signer was genuinely present at signing. Is this defensible? No. The certificate now contains a statement the notary knows is false. That is dishonesty/deceit under 8214.1(f) and supports revocation regardless of intent to profit. Contrast a notary who forgets one journal thumbprint on a non-deed document — that is a failure-to-perform issue more likely drawing a suspension or fine.

A second example: an applicant answers "no" to a felony-conviction question that should have been "yes." Even if the notary later performs flawless work, the false statement on the application under subdivision (c) is itself a ground to deny or revoke — the misrepresentation, not the underlying conviction alone, is the violation.

Due Process Before Any Action

The SOS cannot simply mail a revocation. Action proceeds under the Administrative Procedure Act, giving the notary:

1. Written accusation/notice describing the alleged violation.
2. A right to file a Notice of Defense and request a hearing.
3. A hearing before an Administrative Law Judge (ALJ) at the Office of Administrative Hearings.
4. A proposed decision, which the SOS may adopt, reduce, or increase.
5. Judicial review by writ of mandate in superior court.

The 2012 Notary Public Disciplinary Guidelines set presumptive sanctions for each violation, ranging from a public reproval and education requirement up to full revocation, and list aggravating factors (prior discipline, financial harm, multiple acts) and mitigating factors (candor, restitution, isolated lapse). Know that the SOS weighs these rather than applying a flat penalty.

A revoked or surrendered commission is not a paperwork formality. Within 30 days of any termination, the former notary must deliver all journals to the county clerk and destroy the seal so it cannot be misused. Failing to surrender the journal is itself a separate violation. A notary whose commission is revoked may also be barred from reapplying, and the SOS may permanently deny a future commission to anyone whose dishonesty makes them untrustworthy for the office.