Brokers-in-charge should study the guidelines and be sure that the supervision they are exercising over their salesmen is in compliance.
Upon the recommendation of an Advisory Committee formed by the Real Estate Commission (Bulletin Volume 28, No. 2), the Commission has endorsed guidelines to assist brokers-in-charge in understanding their responsibilities with regard to supervising real estate salesmen.
Real Estate Commission Rule A .0506(c) A broker-in-charge who certifies to the Commission that he will supervise a licensed salesman shall actively and personally supervise the salesman in a manner which reasonably assures that the salesman performs all acts for which a real estate license is required in accordance with the Real Estate License Law and Commission rules. A supervising broker who fails to supervise a salesman as prescribed in this Rule may be subject to disciplinary action by the Commission.
The following factors will be among those used by the Real Estate Commission to determine adequacy of supervision; however, the Commission is not limited to making a determination on these factors alone, but will examine all pertinent evidence.
1. Whether the broker-in-charge is physically available to assist, advise and review the practice of the salesman, and whether the salesman is physically able to be supervised.
[Note: A broker-in-charge must be reasonably available to manage and supervise salesmen during regular business hours. When a broker-in-charge is a regular full-time employee or is engaged in a full-time activity at a location other than the office of the broker-in-charge, a presumption will be made that the broker-in-charge is unable to so manage an office.]
2. Whether the broker-in-charge has established written policies and procedures under which salesmen are expected to operate, including supervisory policies and practices for the review of documents and other information prepared by the salesmen.
3. Whether the broker-in-charge reviews and monitors the brokerage activities of salesmen in his charge.
4. Whether the broker-in-charge holds regular staff meetings and otherwise assures that policies and procedures are being properly implemented.
5. Whether the broker-in-charge provides ongoing, quality training programs and materials to salesmen, and disseminates, in a timely manner, all regulatory information which he receives pertaining to the practice of real estate brokerage.
6. The experience level of the salesman.
[Note: The level of supervision should be commensurate with the level of qualification and experience of the salesmen being supervised.]
7. The number of salesmen supervised by the broker-in-charge and the ratio of supervisors to salesmen.
8. Whether the broker-in-charge has delegated supervisory responsibility to another licensee at the office; and if so, the level of training and experience of the licensee, and the procedures established to verify that adequate supervision is being performed. [Note: In the event a broker-in-charge delegates his duties and responsibilities to another licensee, the broker-in-charge remains responsible for supervising all salesmen in his charge.]
9. The types of activity in which the salesman is engaged.
[Note: A salesman must keep the broker-in-charge fully informed of all activities being performed by the salesman which require a real estate license and any other activities that might impact on the responsibilities of the broker-in-charge. However, the failure of the salesman to keep the broker-in-charge fully informed shall not relieve the broker-in-charge of his duties, obligations or responsibilities as broker-in-charge.]
10. Whether the broker-in-charge takes any corrective or remedial action upon learning of a violation of the license law or Commission rules by a salesman in his charge. Or whether the broker participated in, ratified or attempted to avoid learning of the violation.