Specimen Forms

The Manual refers to certain forms used in connection with arbitration proceedings conducted under it. Following are specimens of such forms.

They should not be used until they are first reviewed by Board counsel to assure that they conform to state law and to any special requirements established by the Board. (NOTE: The State Association may wish to have State Association legal counsel review the contents of the Manual, including the Specimen Forms, to adapt it to comply with state law, and to recommend adoption of the amended Manual by all local Boards within the state.) The Specimen Forms are intended to provide a format and may require further adaptation and modification by the local Board prior to implementation and use.

After such review and modification as necessary, the local Board or State Association may add to the forms the appropriate identification data of the Board and reproduce them in quantities desired by the Board.

General Instructions and Information for Filing and Replying to Arbitration Requests

No hearing will be held in the absence of a complainant. An arbitration hearing may (depending on state law and the option selected by the Board) proceed in the absence of the respondent.

1. Arbitration requests must be typewritten and submitted with a sufficient number of copies to enable the Board to provide one to each respondent plus one copy for the Board’s records. Any reply must be typewritten and submitted with a sufficient number of copies to enable the Board to provide one to each complainant plus one copy for the Board’s records. Additional copies of the arbitration request and reply should be furnished by the complainant and respondent as requested by the Professional Standards Administrator. If the complainant is a member of the public, extra copies of the arbitration request should not be requested.
2. Arbitration requests will be referred to the Professional Standards Administrator, and by the Professional Standards Administrator to the Chairperson of the Grievance Committee. If the Grievance Committee finds the matter to constitute a proper cause of action, it will be referred to the Professional Standards Administrator to arrange a hearing; if not found to constitute a proper cause of action, it will be returned to the complainant with the decision of the Grievance Committee, together with information advising the complainant of the procedures by which the Grievance Committee’s decision may be appealed to the Board of Directors.
3. If there is to be a hearing, respondent will have fifteen (15) days after service of copy of the arbitration request to reply. Copy of the reply will be sent to complainant, the Board President, and the Professional Standards Committee Chairperson. The date for hearing will be set and all parties will be notified of the date and place of hearing at least twenty-one (21) days in advance.
4. If no response is filed to the arbitration request within (15) fifteen days from when the request for response was transmitted, the Grievance Committee shall make its determination as to whether an arbitration hearing should be scheduled based upon the information set forth in the request. Complainant, the Board President, and the Professional Standards Committee Chairperson will be advised that no reply has been filed. (Revised 05/15)
5. All parties may be represented by legal counsel, provided that notice of intention to be represented is transmitted to all other parties and to the Hearing Panel at least fifteen (15) days prior to the hearing. Failure to provide timely notice may result in a continuance of the hearing.
6. It is the responsibility of each party to arrange for his witnesses to be present at the hearing. All parties appearing at the hearing may be called as witnesses without advance notice. (Revised 11/14)
7. Parties are strongly encouraged to provide any and all documents and evidence they intend to introduce during the hearing to the other party(ies) and to the association prior to the day of the hearing. Providing documents and evidence in advance can expedite the hearing process and prevent costly, unnecessary continuances. (Adopted 5/15)
8. Either party may file with the Professional Standards Administrator, within ten (10) days from the date the names of the members of the Professional Standards Committee are transmitted to the parties, a written request for disqualification of any potential member of the Hearing Panel for any of the following reasons:
   1. is related by blood or marriage to either complainant or respondent
   2. is an employer, partner, or employee, or in any way associated in business with either complainant or respondent
   3. is a party to the hearing, or a party or a witness in another pending case involving complainant or respondent
   4. knows any reasons acceptable to the Hearing Panel or tribunal which may prevent him from rendering an impartial decision
9. The notice of hearing will contain names of members of the tribunal who will hear the case and should be accompanied by an “Outline of Procedure for Arbitration Hearing” and the Arbitration Guidelines (including the Worksheet). Parties’ requests for continuances shall only be granted when all parties mutually agree to a subsequent specified date, or when the hearing panel chair determines that denying the continuance would deny the requestor a fair hearing. (Revised 11/14)
10. The parties shall not discuss the case with any member ofthe Hearing Panel or the Board of Directors at any time prior to announcement of a decision in the case.

(Revised 05/15)