193E—7.13(543B) Support personnel for licensees; permitted and barred activities. Whenever a licensee affiliated with a broker engages support personnel to assist the affiliated licensee in the activities of the real estate brokerage business, both the firm or sponsoring broker and the affiliated licensee are responsible for supervising the acts or activities of the support personnel; however, the affiliated licensee has the primary responsibility for supervision. Unless the support person holds a real estate license, the support person cannot perform any activities, duties, or tasks of a real estate licensee as identified in Iowa Code sections 543B.3 and 543B.6 and may perform only ministerial duties that do not need discretion or the exercise of the licensee’s own judgment. Personal assistants are considered support personnel.
	7.13(1) Individuals actively licensed with one firm or broker cannot work as support personnel for a licensee affiliated with another firm or broker. Individuals with an inactive status license may work as support personnel for a licensee but cannot participate in any activity that needs a real estate license.
	7.13(2) Any real estate brokerage firm or broker that allows an affiliated licensee to employ, or engage under an independent contractor agreement, support personnel to assist the affiliated licensee in carrying out brokerage activities complies with the following:
	a. 	Implement a written company policy authorizing the use of support personnel by licensees;
	b. 	Specify in the written company policy, which may incorporate the duties listed in subrule 7.13(4), any duties that the support personnel may perform on behalf of the affiliated licensee;
	c. 	Ensure that the affiliated licensee and the support personnel receive copies of the duties that support personnel may perform.
	7.13(3) Broker supervision and improper use of license and office. While individual and designated brokers are responsible for supervising the real estate-related activities of all support personnel, an affiliated licensee employing a personal assistant has the primary responsibility for supervision of that personal assistant. A broker is not held responsible for inadequate supervision if:
	a. 	The unlicensed person violated a provision of Iowa Code chapter 543B or of commission rules that is in conflict with the supervising broker’s specific written policies or instructions;
	b. 	Reasonable procedures have been established to verify that adequate supervision was being provided;
	c. 	The broker, upon hearing of the violation, attempted to prevent or mitigate the damage;
	d. 	The broker did not participate in the violation; and
	e. 	The broker did not attempt to avoid learning of the violation.
	7.13(4) In order to provide reasonable assistance to licensees and their support personnel, but without defining every permitted activity, the commission has identified certain tasks that unlicensed support personnel under the direct supervision of a licensee affiliated with a firm or broker may not perform.
	a. 	Permitted activities include, but are not limited to, the following:

(1)	Answer the telephone, provide information about a listing to licensees, and forward calls from the public to a licensee;	
(2)	Submit data on listings to a multiple listing service;	
(3)	Check on the status of loan commitments after a contract has been negotiated;	
(4)	Assemble documents for closings;	
(5)	Secure documents that are public information from the courthouse and other sources available to the public;	
(6)	Have keys made for company listings;	
(7)	Write advertisements and promotional materials for the approval of the licensee and supervising broker;	
(8)	Place advertisements in magazines, newspapers, websites, social media, and other media as directed by the supervising broker;	
(9)	Record and deposit earnest money, security deposits, and advance rents, and perform other bookkeeping duties;	
(10)	Type contract forms as directed by the licensee or the supervising broker;	
(11)	Monitor personnel files;	
(12)	Compute commission checks;	
(13)	Place signs on property;	
(14)	Order items of routine repair as directed by a licensee;	
(15)	Act as courier for such purposes as delivering documents or picking up keys. The licensee remains responsible for ensuring delivery of all executed documents obligated by Iowa law and commission rules;	
(16)	Schedule appointments with the seller or the seller’s agent in order for a licensee to show a listed property;	
(17)	Arrange dates and times for inspections;	
(18)	Arrange dates and times for the mortgage application, the preclosing walk-through, and the closing;	
(19)	Schedule an open house;	
(20)	Perform physical maintenance on a property; or	
(21)	Accompany a licensee to an open house or a showing and perform the following functions as a host or hostess:
1.	Open the door and greet prospects as they arrive;
2.	Hand out or distribute prepared printed material;
3.	Have prospects sign a register or guest book to record names, addresses and telephone numbers;
4.	Accompany prospects through the home for security purposes and not answer any questions pertaining to the material aspects of the house or its price and terms.	
(22)	Independently host open houses for tours attended by licensed brokers and salespersons only.	
	b. 	Barred activities include, but are not limited to, the following:

(1)	Making cold calls by telephone or in person or otherwise contacting the public for the purpose of securing prospects for listings, leasing, sale, exchanges, or property management;	
(2)	Independently hosting open houses, kiosks, home show booths, or fairs attended by the public;	
(3)	Preparing promotion materials or advertisements without the review and approval of licensee and supervising broker;	
(4)	Showing property independently;	
(5)	Answering any questions on title, financing, or closings (other than time and place);	
(6)	Answering any questions regarding a listing except for information on price and amenities expressly provided in writing by the licensee;	
(7)	Discussing or explaining a contract, listing, lease, agreement, or other real estate document with anyone outside the firm;	
(8)	Negotiating or agreeing to any commission, commission split, management fee, or referral fee on behalf of a licensee;	
(9)	Discussing with the owner of real property the terms and conditions of the real property offered for sale or lease;	
(10)	Collecting or holding deposit moneys, rent, other moneys or anything of value received from the owner of real property or from a prospective buyer or tenant;	
(11)	Providing owners of real property or prospective buyers or tenants with any advice, recommendations or suggestions as to the sale, purchase, exchange, rental, or leasing of real property that is listed, to be listed, or currently available for sale or lease; or	
(12)	Holding one’s self out in any manner, orally or in writing, as being licensed or affiliated with a particular firm or real estate broker as a licensee.	
[ARC 7769C, IAB 4/17/24, effective 5/22/24]