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  #1  
Old 02-01-2008, 11:59 AM
Ken Lemoine Ken Lemoine is offline
 
Join Date: Feb 2004
Location: Phoenix, AZ
State: Arizona
Professional Status: Certified Residential Appraiser
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Default Trainee Workfiles

I tried to help our industry and interviewed several people before finally accepting to take on a trainee. At first, she was eager and willing to learn and seemed to be catching on. However, after a couple of months, I guess the "honeymoon" was over and I started to realize that she was not remembering even the simple things. I knew I had my hands full when I pointed to a gas meter and she thought it was an electrical meter. Things got progressively worse after that.

One day I discovered that she was sharing details of our reports and observations with a realtor friend of hers. This really concerned me because of the confidentiality. I reviewed USPAP with her and she "says" did not realize it was a violation. At that moment I lost trust and felt like I could not continue with her any longer. Soon after, I severed the relationship.

Now she is calling me up and asking for a copy of the reports that we worked on together. I do not feel that I can trust her with copies of the reports and my signatures. I read the rules for trainees and supervisors and it states that I can not deny her access to the work files. It does not say that I must give a copy, just that I can not deny access. Does this mean that I can offer her access to the files from 1pm to 2pm every third Tuesday of every month that ends in a "y" as long as she is willing to view them in my presence in my office?

I am really baffled on this one. Any ideas on what should and/or can I do?
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  #2  
Old 02-01-2008, 12:37 PM
Mike Kennedy's Avatar
Mike Kennedy Mike Kennedy is offline
 
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Location: Southern Hudson Valley
State: New York
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Suggest reviewing your States appraisal licensing regulations regarding an Individuals personal responsibility to retain an exact copy of each appraisal report signed by either a Licensed Assistant, LA, Cert, or GC by the Signatories. Also the requirements for Licensed Assistants to log and provide same to the State as qualifications to Test and get fully licensed.

http://www.appraisal.state.az.us/SupervisorAppraisersTrainees.htm

see page 3 - guidelines for supervisory and trainees RECORD KEEPING.


http://www.appraisal.state.az.us/SAT...Guidelines.pdf

3. Complying with the record keeping requirements that provide for the trainee's access to and retrieval of reports completed while in training.


Note: The Arizona Board of Appraisal requires that the sample reports submitted in connection with an application be true, accurate, signed copies with no redactions.

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Last edited by Mike Kennedy : 02-01-2008 at 12:44 PM.
  #3  
Old 02-01-2008, 12:57 PM
Ken Lemoine Ken Lemoine is offline
 
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I understand what you are saying, however, the Board has not made a request for these files. She has not submitted her logs to be licensed yet. She wants a copy of the files for her records. If the Board requests copies for whatever reason, I will certainly have them available for her. But due to the fact that no request has been made, I can not see giving her the work files just so that she will have them.
  #4  
Old 02-01-2008, 12:58 PM
stefan olafson stefan olafson is offline
 
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Location: Grand Forks, ND
State: North Dakota
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You sure can be in the room when she is back at your office getting access to the reports she worked on with you. I'm be darn sure why she needs access? Most of the time it's only required when there is a problem!
  #5  
Old 02-01-2008, 01:04 PM
George W Dodd's Avatar
George W Dodd George W Dodd is offline
 
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Ken,

The way I interpret that is you are required to provide exact copies for experience credit only. You are not required to give her a copy of the workfile or reports not used for experience credit. You might consider providing redacted copies of the reports to her and then if needed as samples to the Board provide the entire report.
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  #6  
Old 02-01-2008, 01:09 PM
Ken Lemoine Ken Lemoine is offline
 
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State: Arizona
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The way our Board has it written in their guidelines is very broad. It only says that denying access is a violation of the Ethics Rule. But it does not explain how "access" is to be defined nor does it define "denying". If she wants to access the files at 2am and I don't want to get out of bed, that could be perceived as denied access. I understand the spirit of the guideline, but the guideline leaves alot to interpretation....
  #7  
Old 02-01-2008, 01:31 PM
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Lawrence R. Lawrence R. is offline
 
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Location: Winchestertonfieldville
State: South Carolina
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Default Time to Quote Uncle Skip.

What files?????
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  #8  
Old 02-01-2008, 04:11 PM
Mike Kennedy's Avatar
Mike Kennedy Mike Kennedy is offline
 
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Quote:
Originally Posted by Ken Lemoine View Post
The way our Board has it written in their guidelines is very broad. It only says that denying access is a violation of the Ethics Rule. But it does not explain how "access" is to be defined nor does it define "denying". If she wants to access the files at 2am and I don't want to get out of bed, that could be perceived as denied access. I understand the spirit of the guideline, but the guideline leaves alot to interpretation....

The Specific Guideline:

22. I am a trainee and have been working with the same supervising appraiser for some time. Recently, my supervising appraiser told me that since I was only a trainee, I had no right to access workfiles on appraisals where I provided significant professional assistance. Is my supervising appraiser correct? Do trainees have no rights regarding access to workfiles?
(Effective 7/2/07)

ANSWER:

(Paraphrased from the Appraisal Standards Board (ASB) USPAP Q&A 9/06) As background, USPAP places workfile retention requirements on the APPRAISER.

In assignments where more than one appraiser is involved (e.g., a supervising appraiser and a trainee)


each share a responsibility for complying with the Record Keeping section of the ETHICS RULE.

A supervising appraiser must not impede a trainee's ability to access files. Denying access to workfiles is a violation of the ETHICS RULE.

This Rule specifies the personal obligations and responsibilities of the individual appraiser.

However, it should also be noted that groups and organizations in appraisal practice share the same ethical obligations.




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Last edited by Mike Kennedy : 02-01-2008 at 04:16 PM.
  #9  
Old 02-01-2008, 04:33 PM
Ken Lemoine Ken Lemoine is offline
 
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Default

Thanks Mike. I appreciate the research you provided. I actually have the same information. The way I interpret this information is that it is okay for me to tell her that she can access the work files from my workplace between 1 and 2 o'clock on Mondays under my direct supervision. This guideline does not stipulate that I have to provide a copy of the work file. I just have to grant her access to the files which happen to be located in my office and I am only in the office from 1 and 2 o'clock on Mondays. She can access those files all she wants during those times.

Now if a copy of the work file is requested by the Board of Appraisal or by anyone else who is perhaps investigating the report, I will certainly provide copies promptly. But just to give her copies because she wants them, well, too much identity theft and not enough trust to just hand them over.
  #10  
Old 02-01-2008, 04:44 PM
Mike Kennedy's Avatar
Mike Kennedy Mike Kennedy is offline
 
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I understand your position. I suggest "INDIVIDUAL" responsibility means each Appraiser is required to maintain HARD COPY (no different than Electronic Signature retention). Also Suggest getting written clarification / confirmation from "the horses mouth" - your Board.
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Last edited by Mike Kennedy : 02-01-2008 at 04:47 PM.
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