6.3 Grounds for Discipline
Key Takeaways
- Under Title 4, section 1924, the Secretary of State may deny, refuse to renew, revoke, suspend, or condition a commission for acts showing a lack of honesty, integrity, competence, or reliability
- The nine enumerated grounds include failure to comply with RULONA, a fraudulent application, conviction of a crime punishable by one year or more or any crime involving fraud/dishonesty/deceit, failure to discharge duties, and false advertising
- Discipline in another state is itself a ground for action in Maine
- Notaries are entitled to timely notice and a hearing under Maine's Administrative Procedure Act (Title 5, Chapter 375, Subchapter 4)
- Section 1924 discipline is separate from civil and criminal liability and can run alongside both
The Disciplinary Authority
The Maine Secretary of State administers and disciplines notaries. Title 4, section 1924 authorizes five categories of action against a commission.
| Action | Effect |
|---|---|
| Denial | Refuse to issue a commission to an applicant |
| Refusal to renew | Decline to renew an existing commission |
| Suspension | Temporarily bar notarial acts |
| Revocation | Terminate the commission |
| Condition | Impose limits or requirements as a condition of holding it |
The Governing Standard
The Secretary of State may act for any act or omission that demonstrates the individual lacks the honesty, integrity, competence, or reliability to act as a notary public. Note that the statutory standard is four traits; a common exam trap omits honesty.
The Nine Enumerated Grounds (A through I)
| Ground | Substance |
|---|---|
| A | Failure to comply with RULONA (Chapter 39) |
| B | Fraudulent, dishonest, or deceitful statement or omission in the application |
| C | Conviction of any crime punishable by one year or more of imprisonment, or any crime involving fraud, dishonesty, or deceit |
| D | A finding or admission of liability in a proceeding based on fraud, dishonesty, or deceit |
| E | Failure to discharge any duty required of a notary |
| F | Use of false or misleading advertising, or claiming a duty/right/privilege the notary does not have |
| G | Violation of a rule of the Secretary of State |
| H | Denial, refusal to renew, revocation, suspension, or conditioning of a commission in another state |
| I | Violation of Title 21-A, section 903-E (election-related conduct) |
Worked Application
- A notary backdates a deed and is later sued; an admission of liability based on deceit satisfies Ground D, while the backdating itself violates Ground E (failure to discharge duties properly).
- A notary is convicted of misdemeanor theft. Even if the sentence is under a year, theft commonly involves dishonesty, triggering Ground C independent of the imprisonment threshold.
- A notary's Florida commission was revoked. Ground H lets Maine act on that out-of-state discipline alone.
Due Process
Discipline is not automatic. The notary is entitled to timely notice and a hearing in accordance with Maine's Administrative Procedure Act, Title 5, Chapter 375, Subchapter 4.
- Notice — the Secretary of State states the proposed action and grounds in writing.
- Hearing request — the notary may demand a contested-case hearing.
- Hearing — conducted under the Administrative Procedure Act.
- Decision — a final, appealable order issues.
Distinguishing the Categories of Action
Candidates often blur the five actions together, but they are distinct tools the Secretary of State selects based on severity. Denial and refusal to renew are applied at the gate, before or at the end of a term, and require no prior wrongdoing as a commissioned notary, only a present failure of the standard. Suspension is temporary and remedial, used when the conduct is serious but correctable, such as a notary who repeatedly omits required journal entries. Revocation is the terminal sanction for fraud, dishonesty, or repeated serious failures.
Conditioning is the most flexible: the Secretary of State may, for example, require additional training, restrict the notary to certain act types, or mandate enhanced recordkeeping while still allowing practice.
How a Single Incident Can Hit Multiple Grounds
Real disciplinary cases rarely involve just one ground. Consider a notary who notarizes an absent signer's deed, lies about it on a renewal form, and is then sued.
| Conduct | Ground triggered |
|---|---|
| Notarized without personal appearance | A (RULONA non-compliance) and E (failure of duty) |
| False statement on the renewal application | B (fraudulent application) |
| Court finding of liability for the deceit | D (admission/finding based on deceit) |
| Resulting felony conviction | C (crime of dishonesty) |
This overlap is why the honesty, integrity, competence, reliability standard is written broadly: the Secretary of State need only show one ground, but most matters present several, making the sanction easy to sustain on appeal.
Protecting Your Commission
| Practice | Why it helps |
|---|---|
| Follow RULONA procedures exactly | Avoids Ground A and Ground E exposure |
| Keep accurate records of each act | Evidence of competence and reliability |
| Decline when in doubt | A refusal is rarely actionable; a bad act is |
| Report out-of-state discipline honestly | Concealment can become a Ground B application fraud |
| Renew on time and track your expiration | Acting on a lapsed commission compounds discipline |
| Take and document the required exam and course | Demonstrates competence if questioned |
If the Secretary of State opens a matter, cooperate and respond within the deadlines stated in the notice. Failing to answer a notice or to appear at the scheduled hearing typically results in a default order imposing the proposed action, so engagement is almost always better than silence.
On the Exam
- Standard = honesty, integrity, competence, reliability (four traits).
- Five actions = deny, refuse to renew, suspend, revoke, condition.
- Criminal ground = crime punishable by one year or more, or any fraud/dishonesty/deceit crime.
- Out-of-state discipline is itself a ground.
- Hearing rights flow from the Maine Administrative Procedure Act.
Which is the complete statutory standard the Secretary of State applies under section 1924?
A Maine notary's commission was revoked in another state for misconduct. What does this mean for the Maine commission?
Before the Secretary of State finalizes a revocation, the notary is entitled to what?