Law Book - Arizona Department of Real Estate

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2005.10 No. 2005.10 Short Title: Electronic Signatures This substantive policy statement is advisory only. A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made in accordance with the Arizona Administrative Procedure Act. If you believe that this substantive policy statement does impose additional requirements or penalties on regulated parties you may petition the agency under ARS 41-1033 for a review of the statement. Description of Practice/Procedure: A broker may use an electronic signature to indicate the broker’s approval of contracts and agreements as required by statute. The following elements or requirements must be met and will be the basis for any Broker Audit of that aspect of the broker’s practice: A. System must meet the criteria under A.R.S. § 44-7031: A signature is a secure electronic signature if, through the application of a security procedure, it can be demonstrated that the electronic signature at the time the signature was made was all of the following: 1. Unique to the person using it. 2. Capable of verification. 3. Under the sole control of the person using it. 4. Linked to the electronic record to which it relates in such a manner that if the record were changed the electronic signature would be invalidated. B. The brokerage must have and enforce a written internal policy regarding personal computer security and, at a minimum, require that any person with electronic signature authority and capability locks or signs off his/her computer every time they walk away from their computer. C. The brokerage must have a back-up system defined for when the computers are down for an extended period of time. (i.e. how and when contracts and agreements will be manually reviewed) D. The system must have the ability to create a secure history log of all activity for electronic signatures which can be reviewed by Department auditors and investigators. Authority: A.R.S. § 32-2151.01 identifies Arizona Licensed Broker requirements for record keeping. Subsection G requires the designated broker to review each listing agreement, purchase or lease agreement or similar instrument within 5 days of the date the parties executed the document, and to place the broker’s initials and date of review on the same page as the parties’ signatures. Commissioner’s Rule R4-28-1103 describes a broker’s professional duties and requirement for written policy manual. Policy Program: Enforcement/Auditing Effective Date: 11/5/2004; Renumbered 4/01/05. No. 2005.09 rev. APPENDIX: SUBSTANTIVE POLICY STATEMENTS Short Title: Non-commercial Requests to Inspect Department Records & Fees for Copies This substantive policy statement is advisory only. A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made in accordance with the Arizona Administrative Procedure Act. If you believe that this substantive policy statement does impose additional requirements or penalties on regulated parties you may petition the agency under ARS 41-1033 for a review of the statement. Description of Practice/Procedure: Arizona’s public record statute, A.R.S. § 39-121, provides: ‘‘Public records and other matters in the office of any officer at all times during office hours shall be open to inspection by any person.’’ Contact the Custodian of Records, Arizona Department of Real Estate, 2910 N. 44th Street, Suite 110, Phoenix, AZ 85018, to request an appointment to review, or in writing to request copies of, any file of record at The Department. If the request is for numerous files or a requested file is stored off-site, additional time may be required. Fees charged to ADRE for retrieval will be passed on to the requesting party. The charge for photocopies of records is published in the ADRE Fee Schedule available on the ADRE web site: www.azre.gov, for non-commercial use, except in response to any Subpoena Duces Tecum. Fees for certification of copies, fees for employment histories, and other similar services are also published in that Schedule. The following sets out the minimum number of days typically required for files to be retrieved and any restricted information to be redacted: 144
145 APPENDIX: SUBSTANTIVE POLICY STATEMENTS No. 2005.08 3-5 day advance notice for: salesperson, broker, school, instructor or course file. 3-5 days advance notice for: audit inspection or hearing/disciplinary file. 5-7 days advance notice for: recovery fund files; public report files (for: subdivisions, time-shares, membership campgrounds, & unsubdivided land); cemetery applications; and closed investigative files. The Department will deny public inspection of a particular document if: 1) the document is made confidential by statute; 2) the document involves the privacy interests of persons; 3) disclosure would be detrimental to the best interests of the state; 4) it is correspondence between the Attorney General’s Office and the Department, or any other document, that contains information protected under attorney/client privilege; 5) it is criminal history record information; or 6) it is a written offer to settle or compromise, or is correspondence related to settlement of administrative actions by the Department; 7) it is an internal memorandum regarding regulated parties and case strategy; and 8) it is an instrument of the internal deliberative process. The Department will deny public inspection or reproduction of information and documents in open (active or pending) audits and investigations, unless the Commissioner authorizes disclosure of the information or production of documents as being in the public interest. Such open files remain confidential until the matter is final, a notice of hearing is issued, or the matter is settled by consent order. The following information shall be redacted: a licensee’s date of birth and Social Security Number; and in some circumstances, the residence address of a licensee. Authority: The authority to charge a fee for copying is at A.R.S § 39-121.03. Fees for copies required by a Subpoena Duces Tecum are set by Arizona Rules of Civil Procedure. The authority to withhold specific documents from the Department’s public record is cited for the following types of documents: correspondence between the Attorney General’s Office and the Department as well as advice given to the Department from the Attorney General’s Office pursuant to A.R.S. § 12-2234; criminal history record information pursuant to A.R.S. § 41-1740; written offers to settle or compromise administrative actions by the Department; all correspondence related to settlement negotiations pursuant to Rule 408, Arizona Rules of Evidence; and memoranda, both interoffice & intra-office, to the Commissioner, either directly or through the supervisory chain of command, of an advisory or consultative nature pursuant to the deliberative process privilege. The authority to keep confidential all information and documents in an open audit file or investigation file is found at A.A.C. R4-28-1303. The authority to redact certain data from the Department’s records before they are produced includes: dates of birth pursuant to Scottsdale Unified School District v. KPNX, 191 Ariz. 297, 955 P.2d 534 (1998); Social Security Numbers pursuant to 42 USC § 405 (c)(2)(C)(viii)(I). See S.P.S. 2005.03 relative to restricted release of home addresses. Policy Program: Administration; Administrative Actions; Education & Licensing; Investigations & Audits; Subdivision Compliance. Effective Date: 6/18/1999; Revised & Renumbered 5/28/04; Renumbered 4/01/2005; Revised 8/21/2006. No. 2005.08 Short Title: Payment of Commission to Salesperson After License Expiration or Transfer of Employment This substantive policy statement is advisory only. A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made in accordance with the Arizona Administrative Procedure Act. If you believe that this substantive policy statement does impose additional requirements or penalties on regulated parties you may petition the agency under ARS 41-1033 for a review of the statement. Description of Practice/Procedure: When a real estate licensee has rightfully earned a commission while in the employ of a broker, and in accordance with their agreement, that broker shall pay the licensee, even though the licensee may have left the employ of that broker. The same finding applies to similar circumstances for an associate broker. Authority: A.R.S. § 32-2155 Policy Program: Enforcement Effective Date: 6/18/99; Revised & Renumbered 5/28/04; Renumbered 4/01/05.
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32-2101. Definitions In this chapte
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59. "Unimproved lot or parcel" mean
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32-2137. Cancellation of active lic
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32-2163. Unlawful acts; out-of-stat
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32-2176. Payment of finder fees to
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(b) The subdivision is located with
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83 REAL ESTATE 32-2197.22 B. A pers
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Page 160 and 161: AGRICULTURAL ACTIVITIES. Public rep
Page 162 and 163: BROKERS AND SALESPERSONS —Cont’
Page 164 and 165: BROKERS AND SALESPERSONS —Cont’
Page 166 and 167: CLOSING —Cont’d Timeshares, §3
Page 168 and 169: DEFINED TERMS —Cont’d Component
Page 170 and 171: ESCROW OR TRUST ACCOUNTS —Cont’
Page 172 and 173: JOINT VENTURE AGREEMENTS. Membershi
Page 174 and 175: MEMBERSHIP CAMPING BROKERS —Cont
Page 176 and 177: PROFESSIONAL LIMITED LIABILITY COMP
Page 178 and 179: REAL ESTATE BROKERS —Cont’d Lic
Page 180 and 181: REAL ESTATE DEPARTMENT —Cont’d
Page 182 and 183: RENTAL PROPERTY —Cont’d Residen
Page 184 and 185: SUBDIVISIONS —Cont’d Exception
Page 186 and 187: TIMESHARES —Cont’d Public repor
Page 188: Notes
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Law Book - Arizona Department of Real Estate

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