Ombudsman

Role of Ombudsman

SBAOR Ombudsmen receive and respond to questions and complaints about members; can contact members to inform them that a member of the public or another REALTOR® has raised a question or issue; and can contact members to obtain information necessary to provide an informed response to the person complaining.

The Ombudsman’s role is primarily one of communication and conciliation, not adjudication. Ombudsmen do not determine whether ethics violations have occurred, rather they anticipate, identify, and resolve misunderstandings and disagreements before matters ripen into more significant disputes

Ombudsmen are not attorneys and cannot give legal advice or answer legal questions.

Involving the Ombudsman

Boards and associations have considerable latitude in determining how and when ombudsmen will be utilized. For example, ombudsmen can field and respond to a wide variety of inquires and complaints, including general questions about real estate practice, transaction details, ethical practice, and enforcement issues. Ombudsmen can also receive and respond to questions and complaints about members; can contact members to inform them that a client or customer has raised a question or issue; and can contact members to obtain information necessary to provide an informed response.

In cases where an ombudsman believes that a failure of communication is the basis for a question or complaint, the ombudsman can arrange a meeting of the parties and to facilitate a mutually acceptable resolution.

Where a written ethics complaint in the appropriate form is received, it can be initially referred to the ombudsman who will attempt to resolve the matter. 

Right to Decline Ombudsman Services

Persons filing complaints, or inquiring about the process for filing ethics complaints, will be advised that ombudsman services are available to attempt to informally resolve their complaint. Such persons will also be advised that they may decline ombudsman services and can have their complaint referred to ethics mediation (if available), or considered at a formal ethics hearing.

Resolution of Complaints

If a matter complained of is resolved to the mutual satisfaction of all parties through the efforts of an ombudsman, the formal ethics complaint brought initially (if any) will continue to be processed until withdrawn by the complainant.

Failure to Comply With Agreed Upon Resolution

Failure or refusal of a member to comply with the terms of a mutually agreed on resolution shall entitle the complaining party to resubmit the original complaint or, where a formal complaint in the appropriate form had not been filed, to file an ethics complaint. The time the matter was originally brought to the board or association’s attention will be considered the filing date for purposes of determining whether an ethics complaint is timely filed.

Referrals to the Grievance Committee or to State Regulatory Bodies

Ombudsmen cannot refer concerns they have regarding the conduct of any party utilizing their services to the Grievance Committee, to the state real estate licensing authority, or to any other regulatory body. The prohibition is intended to ensure impartiality and avoid the possible appearance of bias. 

Confidentiality of Ombudsman Process

The allegations, discussions and decisions made in ombudsman proceedings are confidential and shall not be reported or published by the board, any member of a tribunal, or any party under any circumstances except those established in the Code of Ethics and Arbitration Manual of the National Association as from time to time amended.

Problem with a local REALTOR®?

1. Do your best to resolve the issue with the agent personally.

2. Contact the broker of record for the licensee. You can easily look up agent information on the Department of Real Estate site: www.dre.ca.gov 

3. If the issue is one of communication, please try the Ombudsman program 

4. If no resolution can be found, you may always file a complaint.

Download the Ombudsman Intake form below, and fill it out to the best of your ability. Return it to the association by either;

• Emailing to: scaballero@sbaor.com or
• Dropping off/mailing at the SBAOR building at: 1415 Chapala St. Santa Barbara, CA 93101 (Please note anonymous complaints will not be processed)

Within 2-3 days an Ombudsman will be vetted out for you, and will contact you to start the process.

Download the Ombudsman Intake Form