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Chapter 3 A Summary of the Procedures

The primary goal of the complaint procedures for dealing with alleged violations of the ITAA Code of Ethics is to ensure that procedural fairness exists for all parties involved in the ethics complaint process. An objective will be to facilitate a resolution to the complaint through a mediation process, without the need to proceed to a formal complaint.

However when applying this process fails to facilitate a resolution, the Ethics Committee will provide a structure for confrontation, a fair hearing and if necessary fair and sound judgement to ensure that members of the ITAA represent and conduct themselves professionally in line with the ITAA Code of cC.

3.1An individual is required to confront the ITAA member whose behaviour they believe to be in violation of the Code of Ethics and invite a change in behaviour.

3.2 Should the confrontation prove to be unsuccessful or impractical then a formal written complaint must first be dealt with by the local TA Association. When no such authority exists, or it is impractical for the local TA Association to deal with the complaint, the ITAA Ethics Committee will then admit the complaint to the following procedure.

3.3. A formal written complaint must be filed with the ITAA Ethics Committee, addressed to “The chairperson ITAA Ethics Committee C/o ITAA office in an envelope marked “CONFIDENTIAL”. A copy of the “complaint form” is available by request from the ITAA office.

3.4The office manager will check to see if the complaint is about a member of ITAA and if so will send a copy of the formal complaint to the chairpersons of the Ethics Committee. If the person complained about is not a member of ITAA, the office manager will advise the chairpersons who advise the complainant that the Association has no authority to deal with the matter.

3.5 The chairpersons of the Ethics Committee and if required, the legal counsel and or the Ethics Committee for the Association, shall review the complaint and shall determine whether it states allegations which, if proven factual, would constitute violation(s) of the Code of Ethics.

3.6 If there are sufficient grounds for the complaint to be investigated, the chairpersons shall:-

1. Notify the complainant in writing that the complaint will be investigated and
2. Request the complainant's permission to disclose his or her name to the member being complained about (respondent), and
3. Seek permission to provide a copy of the complaint (or a summary) to the Ethics Committee's investigator.

3.7 After the chairpersons of the Ethics Committee receive permission for the use of the complainant's name, the chair of the Ethics Committee shall notify the member (respondent) of the complaint. The notice to the respondent shall:

1. Be mailed by appropriate means and marked "confidential".
2. State the articles of the Code of Ethics relevant to the allegations of the complainant.
3. Enclose a copy or a summary of the complaint
4. State the Committee's basis for statement of the complaint.
5. Enclose a copy of the Code of Ethics and a copy or a summary of the Ethics procedures.
6. Direct the respondent to respond to the allegations, in writing, within thirty (30) days from receipt of the notification.
7. Inform the respondent that failure to respond may
   1. Be taken as an admission of the facts contained in the allegation/s and
   2. May result in sanctions being applied including the possibility of termination of his or her membership in the Association.

3.8 The chairpersons will appoint an investigator or investigating subcommittee who will:-

1. Notify the respondent and complainant of the Ethics procedures to be used.
2. Contact both the complainant and the respondent in order to gather all relevant information.
3. Notify the respondent of their rights to appear, to testify or present their side of the allegations.
4. Notify the respondent that they may respond to the complainant’s allegations in writing and that this response may be given to the complainant.

3.9 It will be the responsibility of the investigator or investigating sub committee to see if it is possible to facilitate a resolution of the issues through mediation and if need be, suggest a line of action that is agreed upon by all concerned. If complainant and respondent agree upon resolution of complaint, such recommendation will be reported to the Ethics Committee for their review and approval.

If a resolution is not reached, the investigator or investigating sub committee shall report the results of their investigation to the Ethics Committee with a recommendation for action. The Ethics Committee will review and take action.

3.10 The Ethics Committee may take the report of the investigator or investigating sub committee and find that violation/s of the Code have been established and order any of the following actions:-

1. An order to cease and desist.
2. Censure.
3. Supervision.
4. Education, and/or therapy.
5. Perform community service.
6. Suspension (holding membership in abeyance for a specific purpose, for example, rehabilitation).
7. Resignation with or without publication.
8. Termination of membership
   1. Permanent bar to readmission
   2. Suspension or termination of the ITAA designation
   3. Or any other action, within its remit, that the Ethics Committee deems appropriate.

If the Ethics Committee decides upon a finding for suspension or expulsion, the committee will so report to the ITAA president within ten (10) days of reaching the decision. The ITAA president shall forward the findings to the Board of Trustees who must enact requests for suspension or expulsion.

3.11 The respondent may request, or the Ethics Committee may decide that the case be submitted to a hearing board in which case the chairpersons shall appoint a hearing board chairperson who will appoint at least three hearing board members.

3.12 After all parties have been notified of the hearing board and the documents have been reviewed, the hearing board will convene to hear the case following the procedures laid down for the conduct of the hearing.

3.13 If a violation of the Code of Ethics is found, the hearing board shall recommend to the Ethics Committee the action to be taken. Such action will be consistent with paragraph 10 above.

3.14 The respondent, with reasonable grounds, may appeal the findings of the hearing board, in writing to the president of ITAA, within thirty (30) days of the announcement of the decision. The only basis for appeal to the ITAA Board of Trustees by a respondent regarding the decision of the Ethics Committee is that there was a violation of the procedural rules of the hearing board, and that this violation substantially impaired the respondent’s ability to defend against the complaint. The appeal shall be limited to a review of the procedures, evidence and findings, with no new evidence being submitted.

3.15 Should an appeal be granted by the ITAA president an Appeal board consisting of the Chairs of the Ethics Committee and four members of the ITAA Executive Committee will convene to consider the application and all relevant material.

3.16 The president of ITAA shall issue a written decision on the appeal and shall inform the respondent and the Ethics Committee of the decision in writing within fifteen (15) days of the meeting. The Appeal board must either

1. Affirm the Ethics Committee's decision,
2. Order a new hearing before a hearing board,
3. Change the findings of the hearing board,
4. Dismiss the case.

3.17 If additional evidence of unethical conduct is brought to the attention of the Ethics Committee after a matter has been closed, the case may be reopened by the chairpersons of the ITAA Ethics Committee and under these procedures, be used in their deliberations about the new matter.