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Learning Objectives for Professional Standards Administrators' Training

Upon completion of the Professional Standards Administrator Training, participants will be able to:

  1. Briefly describe the history of the Code of Ethics as it relates to its origins, its influence on state licensing laws, and its establishment of arbitration as the monetary dispute resolution process between REALTORS® .
  2. Identify concepts in the Preamble to the Code of Ethics, including concepts such as the wide distribution of land ownership; highest and best use of the land; principles of competency, fairness, and high integrity; and the concept of adhering to the Code, regardless of inducement of profit and/or instruction from clients to the contrary.
  3. List the major categories of the Articles in the Code (Duties to Clients and Customers, Duties to the Public, and Duties to REALTORS®).
  4. Describe the structure of the Code and its supporting materials (Articles, Standards of Practice, and Case Interpretations).
  5. List the Articles of the Code, commonly the subject of complaints.
  6. Describe the concepts of these commonly cited Articles of the Code, including Articles 1, 2, 9, 12, and 16.
  7. List the concepts related to providing due process in a hearing.
  8. Identify antitrust concerns that might arise when applying the professional standards process.
  9. Describe, generally, how ethics complaints and arbitration complaints are processed, including who is eligible to file complaints, the difference between an ethics and an arbitration complaint, and the difference between the grievance committee and the professional standards/arbitration committee.
  10. Describe the role and composition of grievance committee, in general, in an ethics complaint and an arbitration request.
  11. Identify factors the grievance committee applies when reviewing an ethics complaint and an arbitration request.
  12. Describe the confidentiality provisions of the professional standards process.
  13. List the bases and procedure for challenges to hearing panel members.
  14. Define the notice procedures for witnesses and attorneys.
  15. Describe hearing procedures followed for both ethics and arbitration hearings.
  16. Define the requirements for recording a hearing and the appropriate use of hearing records.
  17. Define the standards of proof for both ethics and arbitration hearings.
  18. Describe the role of both staff and association counsel during a hearing and during executive session.
  19. Describe the components of the decision form to be completed by an ethics hearing panel.
  20. List available disciplinary actions that may be imposed by an ethics hearing panel.
  21. Identify the options a board must adopt in conducting an arbitration hearing  with the attendance of the respondent or in the absence of the respondent.
  22. Identify the procedure for processing a complaint that alleges a violation of Article 17.
  23. List the components of an arbitration award.
  24. Describe the difference between a refusal to arbitrate and a refusal to abide by an award.
  25. Describe the mediation process for an arbitration claim, and the opportunity for associations to adopt mediation of potentially unethical conduct.
  26. Describe the ombudsman process.
  27. Describe the citation policy and schedule of fines, if adopted.
  28. List the board of directors’ actions that may be taken when there is an appeal and when there is no appeal of an ethics decision.
  29. Describe the process for handling an appeal of the grievance committee’s decision.
  30. Describe the availability of and procedure for an appeal of an ethics decision.
  31. Describe the availability of and procedure for a procedural review of an arbitration award.
  32. Briefly describe the bases upon which a procuring cause arbitration claim is decided.
  33. Identify the resources available in the Code of Ethics and Arbitration Manual (CEAM) related to:
  • checklists for ethics complaints and arbitration claims
  • time frames for processing ethics complaints and arbitration requests
  • forms available for processing ethics and arbitration cases
  • actions required to be taken by a board or association to properly adopt the CEAM and its options.

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