6.3 Grounds for Discipline
Key Takeaways
- The Attorney General may suspend, revoke, deny, or attach conditions to a notary commission
- Violating HRS Chapter 456 or HAR Chapter 5-11 is grounds for discipline
- False statements or material omissions on the application are independent grounds for discipline
- Loss of eligibility (residency, age, good character) or a disqualifying criminal conviction can end a commission
- Discipline follows due process: notice, an opportunity to respond, a decision, and a right to appeal
The Attorney General as Regulator
In Hawaii, notaries are commissioned and disciplined by the Department of the Attorney General (AG) - not by a county clerk or the courts. This is a frequently tested distinction. The AG's disciplinary toolbox is broad:
- Suspend a commission for a fixed period.
- Revoke a commission entirely.
- Deny an original application or a renewal.
- Refuse to reinstate a suspended commission or restore a forfeited one.
- Impose administrative fines (see Section 6.4).
- Attach conditions, such as additional training or audits.
Categories of Grounds
| Category | Representative Examples |
|---|---|
| Statutory violations | Notarizing without appearance; refusing to keep a journal under HRS Chapter 456 |
| Rule violations | Breaching HAR Chapter 5-11 stamp, journal, or certificate rules |
| Application fraud | False statements, omissions, or substantial misstatements on the application |
| Professional misconduct | UPL, acting with a financial interest, notarizing a known false document |
| Loss of eligibility | No longer meeting age, residency, or good-character requirements |
| Criminal conduct | Conviction of a crime involving dishonesty, fraud, or forgery |
Eligibility and Character
A Hawaii notary applicant must generally be at least 18 years old, a resident of Hawaii, and of good moral character. Losing any baseline qualification is itself a ground. For example, a notary who permanently relocates to the mainland loses Hawaii residency and therefore eligibility, which the AG may treat as grounds to end the commission.
Misconduct Versus Honest Mistake
The exam often contrasts deliberate misconduct with a correctable clerical slip. Knowing the difference matters:
| Conduct | Likely Treatment |
|---|---|
| Knowingly notarizing a forged signature | Revocation, possible criminal referral |
| Notarizing without the signer present | Serious discipline |
| A single typo in a certificate, promptly corrected | Usually not standalone discipline |
| Failing to keep any journal at all | Discipline plus administrative fine |
Due Process: How Discipline Proceeds
- Complaint or discovery - a member of the public, a court, or an AG audit surfaces a possible violation.
- Investigation - the AG gathers the journal, certificates, and statements.
- Notice of charges - the notary is told what they are alleged to have done.
- Opportunity to respond - the notary may explain, produce records, or be heard.
- Decision - the AG imposes suspension, revocation, denial, fine, or no action.
- Appeal - the notary may seek review of an adverse decision.
Because a notary may be disciplined for failing to comply with an audit or inspection, cooperating fully and producing the journal on request is itself a defense against additional charges.
Reinstatement and Restoration
| Situation | Path Back |
|---|---|
| Suspended commission | Apply to the AG for reinstatement (a reinstatement fee applies) |
| Forfeited commission | Apply for restoration (a restoration fee applies) |
| Revoked for serious cause | May be barred for a period, with no guarantee of a new commission |
Common trap: Students assume any discipline is permanent. In fact, a suspension is temporary and curable, while a revocation is the most severe administrative outcome short of criminal prosecution. Match the remedy to the severity of the conduct on exam questions.
Discipline Is Independent of Civil and Criminal Tracks
A single act can move through three separate systems. The Attorney General handles administrative discipline (commission status and fines). A harmed member of the public can pursue civil liability (money damages, often reached through the notary's bond or errors-and-omissions coverage). Prosecutors can pursue criminal charges for knowing misconduct. These tracks operate independently, so a notary may face discipline even if no one sues and no prosecutor acts, and vice versa.
The exam tests this by asking whether the AG can discipline a notary who was "never sued" - the answer is yes, because discipline does not depend on a lawsuit.
Cooperation as a Defense
Because failure to comply with an audit or inspection is itself a ground for discipline, the practical takeaway is to cooperate fully when the AG requests records. A notary who promptly produces a complete, accurate journal demonstrates good faith and limits exposure. A notary who stonewalls converts a possibly minor original issue into a separate, certain violation - sometimes a more serious one than the conduct that prompted the inquiry.
Worked Example: Pattern Versus Isolated Error
Consider two notaries. The first transposes two digits in one certificate date and corrects it the same day. The second routinely notarizes for absent signers because "the boss says it's fine." The first is an isolated clerical error unlikely to support standalone discipline. The second shows a pattern of serious misconduct - notarizing without appearance strikes at the core duty - and is a strong candidate for revocation plus fines, and possibly criminal referral if any document was used to deceive. Exam questions reward recognizing that pattern and intent escalate the remedy.
Eligibility Recap
Keep the baseline qualifications fresh, because losing them is a clean disciplinary ground: the notary must be at least 18 years old, a Hawaii resident, and of good moral character, and must keep their information current with the Attorney General. A notary who moves to the mainland, lets residency lapse, or is convicted of a disqualifying offense no longer satisfies the statute, and the AG may act on that basis alone. The lesson for the exam is that ongoing eligibility - not just eligibility at the moment of commissioning - is a continuing obligation.
Which body holds the authority to suspend, revoke, deny, or condition a Hawaii notary commission?
A notary submits a renewal application that omits a prior disqualifying conviction. Aside from any criminal exposure, what is the administrative consequence?