Citation System Exhibit A 10/07
Citation System Exhibit A 10/07
Citation system (fines and ethics)
A. Complaint is received by AOR and is channeled through one of two possible routes:
1. Anonymous - goes to Anonymous Subcommittee.
a.) If Grievance Committee is complainant, decision is
made by Anonymous Subcommittee.
2. Identified Complainant - decision whether conduct is
subject to citation is made by Grievance Committee.
3. Determination is made if possible violation is alleged
and is a citable offense. a) Citation is sent out. b) If possible violation is alleged, but conduct is not eligible
for citation, matter will be sent forward for full ethics hearing. c) If no possible violation isalleged, complaint will be
dismissed. 1. Complainant has right to request Directors’ review of decision to dismiss.B. Upon receipt of a citation, violator has 10 days to elect one of the following options: 1. Pay the fine. 2. Ethics Training – if this is chosen violator will pay the
fine, to be refunded upon proof of completion. 3. Election for full Ethics hearing to contest citation. a) If hearing is elected, further review by Grievance
Committee is not necessary. b) Violator will have a full due process hearing where
hearing panel has the following options: 1. Dismiss the citation and complaint 2. Uphold the citation and corresponding fine 3. Increase the discipline, including any allowable
sanction.C. Failure to pay fine or respond to citation within 10 days results in a warning letter that matter will be forwarded for full Ethics hearing, if no response within 20 more days. 1. Letter sent to violator and Designated Broker.D. Failure to pay fine or fulfill other sanction within 30 days from date of citation results in matter being sent for full Ethics hearing, which opens up the possibility of any allowable sanction determined by the hearing panel, including possible suspension or expulsion from membership.E. Benefit of electing ethics trainingis that violation is kept in file only for purpose of keeping track of number of citations and the time frames in which they were given. 1. Ethics training can only be used once in any 3 year
period. 2. Ethics training cannot be used for purpose of
increasing sanction aftera full hearing or for publication.F. Where an actual complainant reports the citable behavior – as opposed to an anonymous complaint or citation initiated by the Grievance Committee – notificationof the action taken by the Grievance Committee would be given to the complainant.
1. Helps complainant feel "vindicated." G. C.A.R. will publish the model citation list. 1. Fines cannot exceed $5,000, since that is the
maximum allowed by N.A.R. 2. Citableoffenses adopted and amount of citation fine
are local option.H. Broker willalways be notified of a citation when violator is agent.I. Model rules to be drafted by Staff.J. Need N.A.R. approval.
