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Ethics

General Provis​ions Relating to Ethics

Statement of Professional Standards Policy Applicable to Ethics Proceedings

Part One, Section 1 — Definitions Relating to Ethics
Part One, Section 2 — Qualification for Tribunal
Part One, Section 3 — Duty to Give Evidence
Part One, Section 4 — Right of Counsel to Appear
Part One, Section 5 — Witnesses
Part One, Section 6 — Conduct of Hearing
Part One, Section 7 — Notices
Part One, Section 8 — Interpretation of Bylaws
Part One, Section 9 — Waiver
Part One, Section 10 — Communication and Clerical
Part One, Section 11 — Attempt to Influence Tribunal

Membership Duties and Their Enforcement

Part Two, Section 12 — Duties of Membership
Part Two, Section 13 — Power to Take Disciplinary Action
Part Two, Section 14 — Nature of Discipline
Part Two, Section 15 — Selection and Appointment of the Grievance Committee
Part Two, Section 16 — Selection and Appointment of the Professional Standards Committee

The Grievance Committee

Part Three, Section 17 — Authority
Part Three, Section 18 — Function
Part Three, Section 19 — Review of Ethics Complaint

The Ethics H​earing

Part Four, Section 20 — Initiating an Ethics Hearing
Part Four, Section 21 — Ethics Hearing
Part Four, Section 22 — Decision of Hearing Panel
Part Four, Section 23 — Action of the Board of Directors
Part Four, Section 24 — Initial Action by Directors
Part Four, Section 25 — Preliminary Judicial Determination Prior to Imposition of Discipline
Part Four, Appendix I — Role of the Board of Directors in Reviewing and Ratifying Ethics Hearing Panel Decisions
Part Four, Appendix II — Appropriate Interpretation of “Pertinent Facts” as Used in Article 2 of the Code of Ethics
Part Four, Appendix III — Responsibility of Member Boards with Respect to Article 10 of the Code of Ethics
Part Four, Appendix IV — Rationale of Declaratory Relief Procedure
Part Four, Appendix V — Ethics Hearing Checklist with Administrative Time Frames
Part Four, Appendix VI — Cooperative Enforcement of the Code of Ethics
Part Four, Appendix VII — Sanctioning Guidelines
Part Four, Appendix VIII — Procedures for Consideration of Alleged Violations of Article IV, Section 2, Bylaws, NATIONAL ASSOCIATION OF REALTORS®
Part Four, Appendix IX — Presenting and Negotiating Multiple Offers
Part Four, Appendix X — Before You File an Ethics Complaint
Part Four, Appendix XI — Ethics Mediation

Conduct of an Ethics Hearing

Part Five: Outline of Procedure for Conduct of an Ethics Hearing
Part Five: Outline of Procedure for an Ethics Hearing Involving a Complaint and Counter-Complaint
Part Five: Chairperson’s Procedural Guide: Conduct of an Ethics Hearing
Part Five: Chairperson’s Procedural Guide: Conduct of an Appeal Hearing (Ethics)

Fast Track S​up​plement

Optional Procedures for Expediting Ethics Complaints (provided only at REALTOR.org)

Specimen Fo​r​ms for Ethics

Part Six, Specimen Forms
Part Six, Form #E-1 — Ethics Complaint
Part Six, Form #E-2 — Notice to Respondent
Part Six, Form #E-3 — Reply
Part Six, Form #E-4 — Grievance Committee Request for Information (Ethics Complaint)
Part Six, Form #E-5 — Response to Grievance Committee Request for Information
Part Six, Form #E-5.1 — Grievance Committee Report Form
Part Six, Form #E-6 — Notice of Right to Challenge Tribunal Members
Part Six, Form #E-7 — Challenge to Qualification by Parties to Ethics Proceeding
Part Six, Form #E-8 — Official Notice of Hearing
Part Six, Form #E-9 — Outline of Procedure for Ethics Hearing
Part Six, Form #E-9a — Outline of Procedure for Ethics Hearing with Complaint and Counter-Complaint
Part Six, Form #E-10 — Certificate of Qualification
Part Six, Form #E-11 — Decision of Ethics Hearing Panel
Part Six, Form #E-12 — Action of the Board of Directors
Part Six, Form #E-13 — Request for Appeal
Part Six, Form #E-14 — Official Notice of Appeal Hearing
Part Six, Form #E-15 — Checklist of Professional Standards Concerns
Part Six, Form #E-16 — Seating Arrangements for Hearings
Part Six, Form #E-17 — Ethics Activity Report
Part Six, Form #E-18 — Outline of Content of Petition for Declaratory Relief
Part Six, Form #E-19 — Sample Agreement to Establish Multi-Board (or Regional) Professional Standards Enforcement Procedures
Part Six, Form #E-20 — Notice to Respondent (Ethics) and Optional Waiver of Right to Hearing
Part Six, Form #E-21 — Sample Letter of Reprimand/Warning
Part Six, Form #E-22 — Appeal of Grievance Committee Dismissal of Ethics Complaint
Part Six, Form #E-23 — Action of the Appeal Hearing Tribunal (Ethics Complaint)