OREIA ETHICS & GRIEVANCE COMMITTEE
(Orig. 9/08/07)

ADMINISTRATION

NAME

The name of this ‘standing committee’ shall be the ‘OREIA Ethics & Grievance Committee.’

PURPOSE

The purpose of this committee shall be to establish a ‘Code of Ethics,’ ‘Grievance Procedures,’ and an ‘Appeals Process;’ and it shall be charged with the responsibility to oversee compliance with the same and report regularly to the Board of Directors. And further, it shall conduct an annual review of these matters, recommending modifications as deemed appropriate. In the conduct of its business, the members shall employ the highest levels of discretion and confidentiality.

MEMBERS

This committee shall consist of five regular members and one alternate member who shall represent no less than three separate local OREIA member associations. The Chairman shall be appointed by the President and the Members shall be approved by the Board of Directors.

MEETINGS

This committee shall meet at least annually, preferably in the first quarter of the calendar year; and it shall otherwise meet as deemed necessary by the Chairman.

RESPONSIBILITY

This committee shall have the responsibility to address any OREIA matters brought to its attention regarding violations of the ‘Code of Ethics,’ and any subsequent grievances filed or appeals processed as a result of those ethics violations where such violations, grievances or appeals involve any of the following:

• All OREIA Board Directors, as they are elected by their local member associations;
• All OREIA officers;
• Any OREIA committee members or chairpersons;
• Any and all OREIA staff, employees, sub-contractors or commercial affiliates;
• Any local OREIA member associations, but only in matters regarding their OREIA membership agreement compliance; or in such rare instances where a local association, acting as a whole would commit an ethical violation against another local association as a whole, or against OREIA as a whole; and
• Any individual OREIA member whose ethical violations are so egregious in nature that those actions have impacted multiple local associations and/or have impacted the State association; but only after the matter is first referred to the member’s ‘home’ association and that association has either refused to act or has been unable to effect satisfactory resolution in their actions.

Except as noted above, this committee shall not have responsibility over matters concerning individual member actions within a local OREIA member association; nor shall it intervene in any processes within that local association. Additionally, this committee shall not have responsibility over matters that have otherwise been delegated to the Convention Committee; nor shall it intervene in any of those processes unless requested to do so by that committee Chairperson or by the OREIA President.

DUTIES

Deriving its authority from its appointment by the President and its approval by the Board of Directors, and where its authority is not otherwise superseded, this committee shall have the duty to:

• Oversee compliance with the ‘Code of Ethics,’ ‘Grievance Procedures’ and ‘Appeals Process’ as described herein;
• Conduct reasonable and appropriate investigations into properly filed grievances;
• Exercise the right to refuse to conduct investigations into certain grievances filed;
• Make recommendations to the Board of Directors for certain actions to be taken against offending parties;
• Issue written reprimands and letters of censure to the offending parties;
• Require non-monetary measures of restitution of the offending parties;
• Levy immediate, but temporary suspensions upon individuals, including elected or appointed positions, or associations for very egregious offenses, where failure to do so would be detrimental to the welfare of OREIA, pending further investigation. Such temporary suspensions could include, but not go beyond the next immediate quarterly Board meeting without approval of the Board.
• Exact punishment upon an individual or an association in a manner to include but not necessarily be limited to suspension of attendance at or participation in any and/or all OREIA and OREIA sponsored functions to include but not be limited to meetings, retreats, seminars, vendor shows, conventions and mini-conventions. Said suspensions shall not be permitted to exceed one-hundred/twenty (120) days from the date of implementation of such sanction.
• Report its actions to the Board of Directors as deemed necessary or desirable by that Board.

This committee shall not have the authority to cause an individual or an association to be suspended as described above for a period that exceeds one-hundred/twenty (120) days; nor shall it have the authority to cause an individual or an association to be permanently removed from an elected or appointed position; and nor shall it have the authority to expel an individual or an association from OREIA, though it may make such recommendations to the Board of Directors as a result of its investigations.

CODE OF ETHICS OF THE OHIO REAL ESTATE INVESTORS’ ASSOCIATION

PREAMBLE

The ownership and management of real estate is one of the largest businesses in the free enterprise system of the United States. As such it involves the interaction of countless individuals and businesses to provide safe and affordable housing in the form of single family homes, condominiums and apartments, the building of new construction, and the management and occupancy of commercial, office, retail and industrial property. The multitude of related businesses including property owners and managers, financial institutions, real estate professionals, contractors, and others all seek to support and promote the success of this business.

As such, the Ohio Real Estate Investors Association (OREIA) has adopted standards of competency, fairness, and high integrity for the conduct of business and interaction between individuals and businesses in the industry. Members of OREIA are thus committed to upholding high standards of conduct; not attempting to gain any unfair advantage over their competitors; refraining from making unsolicited comments about other practitioners; and acting in an objective and professional manner.

In interpretation of these and other obligations, OREIA members should accept the guide handed down through the centuries and embodied in the Golden Rule, “Whatsoever you would have others do unto you, do so unto them”. Accepting this standard, OREIA members pledge to observe in spirit and all activities through associates, other business professionals, the public and through personal contact, technological communication or other means to conduct their business with the tenets set forth below.

ARTICLE I
OREIA BOARD MEMBERS AND ASSOCIATION LEADERS

• To accept only those duties and responsibilities which they feel they are prepared to complete, and to fulfill the obligations which they agree to accept.
• To conduct themselves in language and behavior at all OREIA meetings and functions in a professional manner, with respect for other people and their opinions.
• To represent the best interest of OREIA in all matters relating to the Association.
• To promote responsible, professional leadership by example.
• To avoid personal conflict of interest or competing interests with association business.
• To aid and promote the professional development and advancement of all OREIA member associations and individual members.
• To prudently and honestly protect the funds and accounts of the association.
• To deal with any federal, state, or local officials in a professional manner and only comment about the association’s business or position as directed and permitted by the Board.

ARTICLE II
OREIA VENDORS AND COMMERCIAL AFFILIATES

• Must conduct their business in fair competition and avoid conflict of interest with other association business members or affiliates.
• Must act in a spirit of cooperation for the betterment of the OREIA organization.
• Must avoid any inappropriate behavior towards the public or their own employees or associates at all OREIA activities and sponsored events.
• Must especially avoid any criminal behavior which might reflect on the real estate industry, OREIA or any ORIEA member, or member organization.

ARTICLE III
OREIA MEMBER ORGANIZATIONS

• Must act in a spirit of cooperation for the betterment of the entire association and not malign other members or organizations.
• Must strive to avoid conflicts between member associations in manners of membership and business conduct.
• Must promote ethical business practices within the individual and business members of their organizations.
• Must enforce the code of ethics and standards of practice of their own associations.
• Must act as role models for the profession of Real Estate Investing when dealing with the public, the media, government officials, and all others.
• Must promote education of their members and increase the competency and cooperation of their members.

ARTICLE IV
OREIA MEMBER ORGANIZATION MEMBERS

• Must not malign other REIA members or organizations.
• Will act as positive role models for the profession of Real Estate Investing when dealing with tenants, the public, media, government officials or other affiliate REIA members.
• Will keep themselves informed on matters affecting housing, or other real estate activity in the community and at the state and federal level.
• Will maintain and operate their business in accordance with fair and honorable standards of competition.
• Will help other members whenever possible.
• Will provide safe and sanitary housing.
• Will abide by all local, state and federal laws pertaining to the real estate industry.
• Will obey all laws, especially related to full and proper disclosures and lending practices.
• Will adhere to all fair housing laws and principals and thereby know that it is illegal, pursuant to Fair Housing Law to refuse to sell, transfer, assign, rent, lease, sublease or finance housing accommodations, refuse to negotiate for the sale or rental of housing accommodations, or otherwise deny or make unavailable housing accommodations because of race, color, religion, sex, familial status, ancestry, disability or national origin or to so discriminate in advertising the sale or rental of housing, in the financing of housing, or in the provision of real estate brokerage services. It is also illegal, for profit, to induce or attempt to induce a person to sell or rent a dwelling by representations regarding the entry into the neighborhood of a person or persons belonging to one of the protected classes.

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GRIEVANCE PROCEDURES

Any person, group of people, association, OREIA staff member, employee, sub-contractor or commercial affiliate, or member of the public at large that has engaged in any interaction with OREIA and all that it entails may file a grievance complaint with the OREIA Ethics and Grievance Committee as detailed below:

• All Complaints must be in writing and they must be signed by the complaining party or parties. Delivery is deemed as acceptable if it is made by mail, fax, or email. Note, however, that an unsigned email transmission must be followed up with a signed hard copy.
• All Complaints should be delivered directly to the Committee Chairperson whose contact information shall be made available on the OREIA web site. Alternatively, Complaints may be delivered to the OREIA President or OREIA Executive Director who shall then immediately deliver the same to the Committee Chairperson.
• A Complaint Form will be made available on the OREIA web site. It is not necessary to use the provided form, but in any alternate form, a Complaint must include certain minimum information as detailed later herein.
• At a minimum, any Complaint submitted to the Committee shall include:
  • All appropriate contact information for the complaining party or parties;
  • All known contact information for the offending party or parties;
  • All known dates, times and locations of the alleged offense or offenses;
  • All known contact information for any witnesses to the alleged offense or offenses;
  • A brief description of the nature of the offense, referencing any specifically known violations of the OREIA Code of Ethics; and
    The provision of any evidence of the offense, or a notation of the type of such evidence that can and may be produced as requested by the Committee upon its determination to conduct an investigation into the offense or offenses.
• Upon receipt of a Complaint by the Committee Chairperson, that Chairperson shall promptly (within approximately three days) notify the Complainant of its receipt and verify with the Complainant any details needed. Subsequent to that notification, the Chairperson shall promptly and simultaneously notify the OREIA President and the Committee members of the receipt of a Complaint.
• Upon notification by the Chairperson, the Committee shall make determination as to the merits of the Complaint as it relates to the OREIA Code of Ethics.
  • If the Complaint appears to have merit, then the Chairperson will promptly notify the Complainant, the alleged offender(s), and the OREIA President and Executive Director to let them know that an investigative process will be initiated. The alleged offender(s) will be provided with a copy of the Complaint and a solicitation for their response as appropriate.
  • If the Complaint appears to be without merit, then the Chairperson will promptly notify the Complainant of the same, double checking to see if there is any other evidence or substantive information that was previously not considered. Barring the provision of such additional information, the Complainant will be advised of the Committee’s decision to forgo any further action as well as his/her rights of appeal. The Chairperson will also promptly notify the alleged offender(s), and the OREIA President and Executive Director to let them know that a Complaint was received, the nature of the Complaint and who lodged the Complaint; and further, that it was determined by the Committee to be without merit.
• Once the Committee has determined that the need exists for further action on a Complaint, the Committee will move forward without delay, acting always with the highest levels of discretion and confidentiality. At its discretion, the Committee will determine the most efficient and/or most appropriate manner in which to gather evidence, conduct interviews, and coordinate the overall investigation. Though the Committee will at all times act with the greatest sense of urgency, it is the unique nature of each Complaint that will impact the investigative schedule. As such, the Committee will establish timeframes for inquiries, evidence submissions, responses, etc. as deemed appropriate for each particular investigation.
• Upon completion of an investigation, the Committee will:
  • Promptly notify the Complainant, the alleged offender(s), and the OREIA President and Executive Director of the same;
  • Produce its findings;
  • Make recommendations to the Board of Directors for certain actions to be taken, and/or otherwise take such actions as the Committee is authorized to take; and
  • Advise both the Complainant and the Offender of their respective rights of appeal.
• The Committee will report to the Board of Directors on a regular basis as to the fact that it has or has not received any Complaints; whether or not those Complaints were found to have merit or not; what the status of any ongoing investigations are; and the final disposition of any completed investigations. Limited details of ongoing or completed investigations will be provided to the Board of Directors at ‘public meetings’ as deemed necessary and appropriate by the Committee. However, full disclosure of all details will be available to any Board Director upon request, or at ‘public meetings’ if the Committee is so directed to make such disclosure by the Board of Directors.

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APPEALS PROCESS

Any Complainant(s) or Offender(s) or alleged Offender(s) is entitled to use of the Appeals Process as is deemed necessary or desirable. All appeals will be submitted to and be heard by the Board of Directors. However, notification of the ‘intent to appeal’ shall be made first to the OREIA President so that arrangements can be made to have it put on the agenda for the next quarterly meeting, or to otherwise be heard in a Special Meeting called for the purpose of hearing said appeal. All appeals or notifications of intent to appeal must be initiated within thirty (30) days from notice of the Committee’s decisions; otherwise, the decisions of the Committee would prevail.

• Complainant(s) may choose to use the Appeals Process if:
  • The Committee refuses to ‘hear’ or investigate a properly submitted Complaint; or if
  • The Committee ‘hears’ and investigates a properly submitted Complaint, and the Complainant is dissatisfied with the findings, outcome, actions and/or recommendations of the Committee, or for other reasons as deemed appropriate by the Complainant.
• An Offender(s) or alleged Offender(s) may choose to use the appeals Process if:
  • He/she believes that the Committee did not thoroughly investigate the Complaint; or if he/she believes that the Committee did not act with objectivity in its investigation or otherwise was inadequate or incompetent in its investigative processes; or if
  • He/she believes that the outcome of the Committee’s investigation resulted in recommendations and/or punishments that were disproportionate to the offense, or for other reasons deemed appropriate by the Offender(s).
• If either a Complainant(s) or an Offender(s) wishes to file an appeal, he/she should advise the Committee Chairperson of his intent, and then he/she should advise the OREIA President of that same intent so it can be appropriately scheduled to be heard by the Board of Directors.
• The Appeal will typically be heard at the next, immediate, quarterly Board meeting; but, the Appellant may request a Special Meeting of the Board of Directors if the actions taken by or the recommendations made by the Committee are ‘time-sensitive’ in regards to upcoming OREIA functions or events that will occur prior to the next quarterly meeting of the Board of Directors.
• Any Appeal submitted to the OREIA President should be made in writing in a form of the Appellant’s choosing, or on a form that may be made available on the OREIA web site; it should otherwise follow the same guidelines and format as detailed in the Grievance Procedure. The OREIA President will schedule the hearing and advise the Appellant of the date and time. If, as a result of the Grievance Procedure, the Appellant has been suspended from attendance at the upcoming Board meeting, then the Appellant would only be permitted to attend that portion of the upcoming Board meeting that will deal with his/her appeals process.
• The decisions rendered by the Board of Directors in the appeals process shall be final. There will be no other recourse available to the Appellant within the confines of OREIA. However, this would not preclude the Appellant from taking further civil and/or criminal court actions as allowable by law.