Wally the question that I could never get answered is who actually owns the file. Or are there two of "the file" If your guy didn't quit yet he should make a complete copy of all files for himself and don't trust the cert. The state does not seem to care who has it as long as there is one. Frank is becoming too much of a politician to give you the dirty secrets. Yet he still doesnt get paid enough for that job.
This is from the old forum based on the same question.
Posted by Dale S on May 15, 2001 at 10:27:38
Legal question about the “Work File”
Is a Trainee Appraiser responsible for maintaining and storing a separate work file? Or is there only 1 “Work File” which is stored and maintained by the State Cert at the Appraisal office.
Your professional opinions would be very helpful.
Posted by Monica on May 15, 2001 at 11:26:11 in response to Legal question about the Work File posted by Dale S on May 15, 2001 at 10:27:38
When I was a trainee, I always kept a copy of the work file. When you send your log to the state and the ask for samples, you have to produce your work file also. If the trainee has worked for several companies, it might be difficult to retrieve all of the work files. I would recommend it to all of your trainees. It only takes a few seconds to run your notes through a copier or scanner. It's always better to be safe than sorry.
Monica
Monica
I agree with you. A trainee should at least keep a copy of the original report, preferably as a hard copy. The Record Keeping section in USPAP requires appraisers to either keep their own copy or make neccesary arrangements with the party holding the workfile. Unfortunately, anytime an appraiser/fee shop or appraiser/employer relationship comes to an end, the appraiser's rights to access can be in jeopardy. Since appraisers work on computers to produce the reports, it should be no big deal to copy the file to a floppy, and I would do it with or without permission from the head cheese. Ya' can't trust anyone else to look after your own best interests.
As a side note, this is an excellent question to inquire about when interviewing for any appraisal job or fee shop relationship. Anyone who's sketchy about letting an appraiser keep a copy of their own work has something to hide and might be looking for a designated victim.
George Hatch
Posted by Monica on May 16, 2001 at 10:25:41 in response to Re: Legal question about the Work File posted by George Hatch (San Diego) on May 16, 2001 at 08:29:19
I did it due to my first boss' lack of organizational skills in the office. I remember those days in (96-97)when I was searching for hard copies in the file room and so many were missing. It was scary. I didn't want one of mine to become unavailable, if needed in the future. I also kept a copy on a floppy. I hate all the extra files around here,but it is definately comforting.
Posted by Tawfik Ahdab on May 15, 2001 at 14:03:23 in response to Re: Legal question about the Work File posted by Monica on May 15, 2001 at 11:26:11
On the subject of trainees... even if the trainee does not personally keep the workfile (a common occurrence, I suspect) in states such as Oregon, trainees have access to the workfile kept by any appraiser(s) he or she may have worked for. The State Board can compel the appraiser to make the workfile available to the appraiser assistant.
Regards,
Tawfik Ahdab
Posted by Oregon Doug on May 15, 2001 at 17:05:27 in response to Re: Legal question about the Work File posted by Tawfik Ahdab on May 15, 2001 at 14:03:23
Tawfik - on the subject of trainees: In Oregon, a complaint can only be lodged against an appraiser - not against a trainee because a trainee is not yet a licensed/certified appraiser (except in the case of unlicensed activity, when the state may go after any one doing appraisals without a license).
Re-read the Record Keeping section, lines 375/76. It's best to establish a written agreement between an appraiser and a supervisory appraiser on this issue.
As an example: a staff appraiser for Tin Box Bank, fsb completes an appraisal & work file. That appraiser may not be permitted to make copies of files for retention off premsis due to TBB's internal confidentually policy and employee/employer relationship. If the staff appraiser leaves and a complaint is subsiquently filed against him when he was an employee, he may be unable to produce a copy of the work file. The state can ask, but not compell TBB to provide a copy of the work file.
Unfortunately, Oregon would be forced to require a 90 day suspension of the appraiser's lic/cert based on our existing laws. The appraiser may well then have a substantial claim against TBB.
Other states may have different approaches, but that's pretty much how it is here, not always as simple as it sounds......Oregon Doug
Welcome back, Doug.
I would think that reason would be applied to a situation of the sort you describe. But of course, you never know!
I should add that the state board can and sometimes does audit the workfile contributed to by a trainee for purposes of auditing whether his/her work displays evidence of competency and compliance with USPAP prior to issuance of a license or certificate.
Tawfik Ahdab
Posted by Mike Garrett, RAA (Colorado) on May 15, 2001 at 11:02:10 in response to Legal question about the Work File posted by Dale S on May 15, 2001 at 10:27:38
I would suspect that the work file should be kept where the State Regulatory Agency would go to inspect same, ie., the location of the company, not the appraiser. If the trainee wants to make a copy of it..that's fine, but it should be in the file along with a copy of the appraisal.
It's an immediate "Red Flag" if you are audited and the file is missing.
Posted by Tom Hildebrandt GAA on May 15, 2001 at 10:43:20 in response to Legal question about the Work File posted by Dale S on May 15, 2001 at 10:27:38
Dale S.
USPAP does not specify whether the trainee or the supervisor maintains the workfile, just that there is one. The issue as to who does what for the work product is a business decision.
Since the supervisor is ultimately responsible for the work product, he is ultimately responsible for the workfile. However, the trainee is also responsible so both need to come to a good understanding of what is expected.
Some times the individual state regulatory agency has issued opinions or guidance. Check with your state to make sure that your workfile is maintained in accordance with their guidance.
Regards
Tom Hildebrandt GAA
