Source: http://www.btr.state.az.us/regulations/substantive_policy.asp
Timestamp: 2013-05-24 16:37:18
Document Index: 437139827

Matched Legal Cases: ['§ 41', '§ 41', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 41', '§ 44', '§ 44', '§ 32', '§ 32', '§ 41', '§ 32', '§ 32', '§ 32', '§ 32', '§ 41', '§ 32', '§ 32', '§ 33', '§ 33', '§ 33', '§ 33', '§ 41']

The Administrative Procedure Act requires the publication of substantive policy statements issued by agencies (A.R.S. § 41-1013(B)(14)). Substantive policy statements are written expressions which inform the general public of an agency's current approach to rule or regulation practice. Substantive policy statements are 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 a substantive policy statement does impose additional requirements or penalties on regulated parties you may petition the Agency under A.R.S. § 41-1033 for a review of the statement.
Alteration of Plans During Plan Checks (Effective May 30, 1997) Interpretation of term "Total Cost of Such Construction" (Effective March 9, 2001) Fire Sprinklers and Fire Alarm Systems (Effective March 18, 2002) Sealing Of Standard Details (Effective June 17, 2002) Use Of Electronic Seals And Signatures (Effective June 17, 2002) Home Inspector Financial Assurance Bond Language (Effective August 20, 2002) Dating and Signing Seals and Revisions to Drawings (Effective December 9, 2002) Home Inspector Preferred Vendor or Similar Programs (Effective January 13, 2004) Monumenting Public Land Survey System Section or Quarter Section Corners (Effective November 9, 2004) Requirements for Recording Results of Survey Drawings (Effective June 21, 2005) System or Component Source/End Point (Effective November 24, 2009) Survey Monuments In Subdivisions (Effective February 22, 2011) Direct Supervision for Sampling and Testing (Effective January 24, 2012) 1. ALTERATION OF PLANS DURING PLAN CHECKS
Questions have also been brought forward relating to the altering of sealed plans by building officials during the plan review check process. After reviewing its statutes and rules, the Board developed this substantive policy statement. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
Documents that are signed and sealed by registrants that represent the exercise of the registrant’s professional discretion and judgement are professional documents. Arizona Revised Statute § 32-125 requires registrants to seal plans, specifications, plats or reports prepared by the registrant or his or her bona fide employee. Substitution of a registrant’s professional judgement that results in a modification to the document constitutes the practice of the profession. If the modification is performed by a nonregistrant, the nonregistrant must be working under the direct supervision of a registrant. Additionally, the supervising registrant shall sign and seal the changes to the documents. No person may alter a registrant’s sealed professional document except under the following circumstances: Another registrant may, when employed to check the documents, modify the documents. However, the registrant modifying such documents shall clearly delineate all modifications, seal those changes, and be held fully responsible for the changes made and the impact of those changes on the original design. A.R.S. § 32-125(B). Any person checking documents for compliance with any applicable statutes, codes, ordinances, rules or regulations such as building codes, fire codes or zoning ordinances may "redline" and/or list required changes to meet the codes, as this is not the practice of the profession. However, a nonregistrant may not require modification of a professional document submitted for review, unless that modification is supported by reference to an applicable code or standard. In other words, a nonregistrant shall not modify, in any manner, a document embodying the discretion or judgement of a registrant, unless the nonregistrant can cite a specific code or standard to support that modification. Filed with the Secretary of State on 5-30-97.
Arizona Revised Statutes §§ 32-101(A), -121, -128(B), -130, and -145. Arizona Administrative Code R4-30-301(A)(3) and R4-30-304. Profession, in this policy statement, means architecture, assaying, engineering, geology, landscape architecture, or land surveying.
2. INTERPRETATION OF TERM "TOTAL COST OF SUCH CONSTRUCTION
Questions have been brought forward relating to the term "total cost of such construction", as contained in A.R.S. § 32-144(A)(6), and what the Board of Technical Registration (Board) has interpreted this term to encompass. After reviewing its statutes, the Board developed this substantive policy statement. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
A.R.S. § 32-144(A)(6) states that a non-registrant may design a water or wastewater treatment plant, or extensions, additions, modifications or revisions, or extensions to water distribution or collection systems, if the total cost of such construction does not exceed twelve thousand five hundred dollars. The term at issue has, in the past, been consistently interpreted by the Board to include the design and construction of the system. The term does not include any fees, such as for permits or registration, nor costs for maintenance. This term also has not been interpreted to include costs for purchase of lands. The term simply includes costs for services normally performed by a designer and a contractor .
Filed with the Secretary of State on 4-26-01.
Arizona Revised Statutes §§ 32-101(A), -144(A)(6), and -145.
3. FIRE SPRINKLERS AND FIRE ALARM SYSTEMS
Questions have been brought forward relating to roles of registrants and non-registered persons in preparing design documents for fire sprinkler, fire alarm, and other code regulated alarm systems. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
A qualified registrant, or any other person, may develop installation drawings for fire sprinkler, fire alarm, and other regulated code alarm systems and submit those drawings to the authority having jurisdiction for review and/or permit as allowed by the authority having jurisdiction. All layouts prepared in accordance with the criteria specified by a professional registrant are not considered to be professional documents. Installation drawings for sprinkler systems may include selecting pipe sizes by performing hydraulic calculations in accordance with applicable codes and standards. Preparation of fire alarm installation drawings, include circuiting and voltage drop and battery calculations, in accordance with applicable codes and standards may be done by non-registrants as allowed by the authority having jurisdiction. For fire sprinkler systems, the following are considered to be professional registrant activities:
Consider the range of hazards of the project; Prepare hazard analysis; identify the hazard classification of the intended occupancy, including any special hazards; Determine the applicable codes and standards and appropriate engineering practices; Ascertain the availability and adequacy of the water supply for the project; Determine the appropriate design density and area of operation for each hazard area. For fire alarm and other code regulated alarm systems, the following are considered to be professional registrant activities:
Determine the system type; Determine the applicable codes and standards and appropriate engineering practices; Determine device types and locations; Prepare generalized riser diagram; Coordinate and interface with other systems; Develop system specifications. Examples of work that may be done by a non-registrant are: Layout of automatic fire sprinkler systems and their related hydraulic calculations for installation or permit. Filed with the Secretary of State on 3-28-02.
Arizona Revised Statutes § 32-101(B)(11). Arizona Administrative Code, Title 4, Chapter 30 R4-30-302 (B)(4). 4. SEALING OF STANDARD DETAILS
Arizona Revised Statutes § 32-125 (B), (D), and (E). 5. USE OF ELECTRONIC SEALS AND SIGNATURES
Questions have been brought forward relating to the use of electronic seals and signatures on professional documents. After reviewing Board statutes and rules, including R4-30-304, as well as A.R.S. § 32-125 (E), A.R.S. § 41-132 and A.R.S. § 44-7001 through A.R.S. § 44-7043, the Board developed this substantive policy statement. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
Electronic seals and signatures that meet the criteria of Arizona Revised Statutes (A.R.S.) Title 41 and Title 44 are acceptable for all professional documents. Security, verification and control of the signature are the responsibility of the registrant.
This policy statement does not change or limit any existing rule or method of sealing professional documents.
Arizona Revised Statutes § 32-125 (B) and (E). Arizona Administrative Code, Title 4, Chapter 30, R4-30-304. 6. HOME INSPECTOR FINANCIAL ASSURANCE BOND LANGUAGE Questions have been brought forward relating to language that will be acceptable to the Board, for use in issuing bonds as financial assurance for home inspectors as provided in A.R.S. § 32-122.02. The certification of home inspectors is currently being conducted under Emergency Rules approved by the Attorney General on August 14, 2002, and home inspectors are mandated to provide proof of financial assurance within 60 days of receipt of certification. Therefore, this substantive policy statement is offered as guidance until such time as the final rules relating to the certification of home inspectors are in place.
This substantive policy statement is advisory only. A substantive policy statement 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 A.R.S. § 41-1033 for a review of the statement.
The following language contained in a bond obtained by a home inspector as proof of financial assurance under the provisions of A.R.S. § 32-122.02 is acceptable to the Board:
KNOW ALL MEN BY THESE PRESENTS that we, ______as Principal, and ______, a Corporation, qualified and authorized to do business in the State of Arizona as a Surety, are held and firmly bound unto the State of Arizona, Board of Technical Registration for use and benefit of any injured person as defined below, in the sum of TWENTY-FIVE THOUSAND AND NO/100 ($25,000.00) lawful money of the United States of America, to be paid to any injured person for which payment well and truly be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.
WHEREAS, the above named Principal has made application to the Board of Technical Registration, State of Arizona, for certification as a Home Inspector within the meaning of Title 32, Article 1, of the Arizona Revised Statutes and rules adopted pursuant thereto and is required by the provisions of such statutes and rules to furnish a bond in the sum named above.
NOW, THEREFORE, the condition of this obligation is such that if the Principal shall strictly, honestly and faithfully comply with the provisions of the statutes and rules adopted pursuant thereto and shall satisfy any final judgment in favor of an injured person arising out of any transaction governed by the provisions of such statutes and rules, then this obligation shall be void; otherwise to remain in full force and effect.
“Injured Person” as used herein means any person who contracts with a Certified Home Inspector to obtain a home inspection and who is damaged by the failure of the home inspector to perform the inspection or related services in accordance with the provisions of Title 32, Article 1, of the Arizona Revised Statutes and the rules adopted pursuant thereto.
This bond shall become effective on __________, and shall remain in force until the Surety is released from liability to the Board of Technical Registration, State of Arizona, or until this bond is cancelled by the Surety. The Surety may cancel this bond and be relieved of further liability hereunder by giving thirty days written notice to the Principal and to the Board of Technical Registration at its offices.
This bond shall be one continuing obligation, and the liability of the Surety for the aggregate of any and all claims which have been awarded by litigation and deemed uncollectible shall in no event exceed the amount of the penalty hereof.
In witness whereof, the signature of the Principal hereto is affixed, and the corporate seal and the name of the Surety hereto is affixed and attested by its duly authorized officers at Phoenix, Arizona, this _____day of ____________________, 200____.
(Print name of principal officer) BY:___________________________________
(Signature of Principal) NAME OF SURETY BY:___________________________________
Filed with the Secretary of State on 8-20-02.
Arizona Revised Statutes § 32-122.02(B)(2).
7. Dating and Signing Seals and Revisions to Drawings
Questions have been received concerning to the dating of a registrant’s seal on professional documents when original documents are sealed and when revisions are made to professional documents after they have been sealed and signed by the registrant. After reviewing Board statutes and rules, including R4-30-304, as well as A.R.S. § 32-125, the Board developed this substantive policy statement. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
To comply with R4-30-304:
If a professional document is revised by the originating registrant after the date the seal is signed, that registrant may: indicate the date, nature and scope of the revisions, or, re-seal, re-sign, and re-date, with the current date.
If an electronic document is revised and re-plotted, it is considered a new professional document. It is not acceptable to change the date on a seal. When multiple sheets in a set of professional documents are individually sealed, only those revised sheets need to be re-sealed and signed. The cover sheet for the set does not need to be re-sealed unless the cover sheet has been revised.
Filed with the Secretary of State on 1-26-04.
Arizona Revised Statutes § 32-125 (B) and (E). Arizona Administrative Code, Title 4, Chapter 30, R4-30-304. 8. HOME INSPECTOR PREFERRED VENDOR OR SIMILAR PROGRAMS
The Board's rules at A.A.C. R4-30-301.01(B)(1) provide that Certified Home Inspectors shall not "pay or receive, directly or indirectly, in full or in part, a commission or compensation as a referral or finder's fee." Questions have been brought forward regarding whether the Board considers the participation by Certified Home Inspectors in preferred vendor or similar programs with real estate companies, offices, agents or brokers, when compensation is paid by the Certified Home Inspector to the real estate entity, as violating this rule. This substantive policy statement is offered as guidance to persons interpreting this rule.
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 Arizona Revised Statutes § 41-1033 for a review of the statement.SUBSTANTIVE POLICY STATEMENT
Arizona Administrative Code Section R4-30-301.01(B)(1) prohibits a Certified Home Inspector from paying compensation, even in an indirect manner, in order to obtain a referral for home inspection business. Many real estate companies, offices, brokers and/or agents have established programs under various names (i.e., "preferred vendor," "approved vendor," "marketing partner") in which the home inspector makes a financial payment to the real estate entity to be included on a list of recommended inspectors, preferred providers or part of a similar program.
The Board believes that payment by Certified Home Inspectors to real estate entities or other parties who have a financial interest in the real estate transaction, to be included on a list of recommended inspectors, preferred providers, or similar program, is at a minimum an indirect payment for referral of business by the party to the Certified Home Inspector and violates A.A.C. R4-30-301.01(B)(1).
Filed with the Secretary of State on 1-16-04.
Arizona Revised Statutes §§ 32-106(A)(5), and -128. Arizona Administrative Code, Title 4, Chapter 30, R4-30-301.01(B)(1). 9. Monumenting Public Landsurvey System Section or Quarter Section Corners
10. REQUIREMENTS FOR RECORDING RESULTS OF SURVEY DRAWINGS
The Board's rules provide that Land Surveyors must adhere to the Arizona Boundary Survey Minimum Standards and with state laws pertaining to the surveyor's area of practice. (A.A.C. R4-30-301 (4) and (13), effective August 7, 2004) The Arizona Boundary Survey Minimum Standards at Section 13 provides standards to ensure the recordation of appropriate survey drawings. Section 13 (C) concerns the requirement to record a survey drawing whenever ANY land boundary monuments are set in conjunction with a “new” survey. Questions have been raised regarding the Board's interpretation of what a “new” survey means in the context of Section 13 (C). This substantive policy statement is offered as guidance to persons interpreting Section 13 in complying with the Board's rules.
The Board's rules provide that Land Surveyors must adhere to the Arizona Boundary Survey Minimum Standards and with state laws pertaining to the surveyor's area of practice. (A.A.C. R4-30-301 (4) and (13) effective August 7, 2004) The Arizona Boundary Survey Minimum Standards at Section 13 provides standards for when a surveyor must create and record survey drawings. Section 13 (C) concerns the requirement to record a survey drawing when any land boundary monuments are set in conjunction with the new survey.
The Board interprets the term “new survey” to be synonymous with “present survey” or “most recent survey” so that even if the present or most recent survey is a retracement of an existing prior survey, whenever any monuments are established, including those set to replace missing or damaged monuments of the previous survey, those actions require the surveyor to create and record a survey drawing documenting the new monumentation as established. Accepted by the Board on June 21, 2005
The appropriate date on the seal of an original document is the day that document is sealed and signed.
11. System or Component Source/End Point Questions have arisen concerning the specified source/end point for a system or component in a home when a system or component is not in the scope of work of the home inspection.
After reviewing Board statutes and rules, including R4-30-301.01, the Board developed this substantive policy statement. This substantive policy statement is offered as guidance to persons interpreting Board statutes and rules.
In the case of a system or component excluded from the scope of the home inspection, the source point or end of inspection locations shall be described as:
The excluded component from system to the point at which the feed is dedicated to that component or system.
As an example, the inspection of a swimming pool electrical feed may end at the point it exits the electrical panel if it is fed from the main electrical panel. If the swimming pool is fed by a sub-panel dedicated to components or systems excluded from the inspection scope, the sub-panel is not required to be inspected. Inspection of the water supply feeding the swimming pool automatic fill system may be excluded and not inspected to the point at which it exits the structure or other feed source.
Arizona Revised Statutes § 32-101(B)(18)
Arizona Administrative Code, Title 4, Chapter 30, R4-30-301.01
Issued: November 24, 2009
Effective: November 24, 2009
Filed with the Arizona Secretary of State’s Office December 14, 2009.
12. SURVEY MONUMENTS IN SUBDIVISION
Questions have arisen regarding when subdivisions must be monumented in the context of Section 8, Section 13 of the Arizona Boundary Survey Minimum Standards (adopted by the Board on June 15, 2001 and originally effective in Rules on February 12, 2002), and A.R.S. § 33-105(A). This substantive policy statement is offered as guidance to persons interpreting said Section B, Section 13, and A.R.S.§ 33-105 In complying with the Board's rules.
The Board's rules provide that Land Surveyors must adhere to the Arizona Boundary SurveyMinimum Standards and with state laws pertaining to the surveyor's area of practice. (A.A.C.R4-30-301(4) and (13). The Arizona Boundary Survey Minimum Standards at Section 8 provides standards to ensure that land surveys are properly monumented. Section 13 provides standards to ensure that land surveys are recorded. A.R.S. § 33-105 concerns the requirement that land surveys be recorded. A.R.S. § 33 -105 (A) requires that a survey be recorded within 90 days after Its completion.
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 A.R.S. § 41-1033 for a review of the statement.
The Board interprets the term "subdivision" to mean those land divisions where the plat recording process follows rules and regulations defined by local government entities such as cities and counties. In many such cases, the requirement to set the corner monuments prior to recording the Final Plat cannot be complied with.
Board rule R4-30-301(4) states "A registrant shall comply with state,municipal, and county laws, codes, ordinances, and regulations pertaining to the registrant's area of practice" and R4-30-301(6) states "A registrant shall apply the technical knowledge and skill that would be applied by other qualified registrants who practice the same profession In the same area and at the same time .
If local subdivision regulations allow for the recording of a subdivision plat without having all of the survey monuments set, an acceptable interim practice would include placing all exterior boundary monuments at the time of filing the preliminary plat and recording a Record of Survey in compliance with state statutes. Interior property corners shall then be monumented as soon as completion of the infrastructure and improvements make it practical to do so. If such monuments should differ from the type described on the Final Plat,a Record of Survey shall be filed showing these differences.
All monuments set shall be under the direct supervision of the surveyor of record. If for any reason the surveyor of record is not available to supervise the setting of the interior corner monuments, subsequent to the recording of the Final Plat, the replacement surveyor shall set monuments with his/her identifying number and a Record of Survey shall be recorded in accordance with the state statutes.
13. DIRECT SUPERVISION FOR SAMPLING AND TESTING