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Chapter 9 Conduct of the Hearing

9.1 Purpose

The purpose of a hearing is to determine the facts and decide whether such facts constitute a violation of the ITAA Code of Ethics and if so to recommend actions to be taken.

9.2 Chairing the Hearing

The chairperson of the hearing board will rule on the procedures and on the admissibility of evidence, and shall be responsible for seeing that the hearing is conducted fairly. The chairperson will have access to legal counsel for advice on procedural matters.

9.3 The Format of the Hearing

The hearing format must allow the complainant and respondent to state their positions, ask questions of witnesses, answer questions posed by the hearing board, and make closing statements.

The following lists the sequence for the hearing:

1. Hearing board chairperson introduces board and participants and gives purpose of the hearing and an explanation of procedures.
2. Complainant gives a statement of allegations.
   1. Board asks questions of complainant for clarification.
   2. Respondent asks questions of complainant for clarification.
3. Respondent gives statement of response to allegations (refutation).
   1. Board asks questions of respondent for clarification.
   2. Complainant asks questions of respondent for clarification.
4. Complainant gives response to refutation.
   1. Respondent gives statement of rebuttal.
5. Witness for the complainant.
   1. Respondent asks questions of witness (repeat for each witness).
   2. Board asks questions of witness (Repeat for each witness).
6. Witness for the respondent.
   1. Complainant asks questions of witness (repeat for each witness.).
   2. Board asks questions of witness (repeat for each witness).
7. Board asks final questions of complainant and of respondent.
   1. Complainant gives closing statement.
   2. Respondent gives closing statement.
8. Chairperson gives closing statement regarding action to be taken.

The hearing board may request additional information or documentation at any time from either the complainant or the respondent. If either is unable or unwilling to comply with this request, the board may, with notice to the complainant and respondent, call additional witnesses or request access to other evidence.

The hearing board must determine what documentation is pertinent and necessary and may limit the quantity of material it will consider.

9.4 Role of the ITAA Ethics Committee, ITAA investigator or ITAA Investigating Subcommittee

The investigator may present evidence to the hearing board. The investigator may not be a party to the discussion by the hearing board, nor vote.

9.5 Rights of the respondent

The costs incurred by the respondent, the respondent’s attorney (if assisted by legal counsel), and any witnesses the respondent requests to present are not borne by ITAA. The respondent shall have the right to:

1. Be assisted by counsel.
2. Present witnesses or evidence, as determined by the hearing board chairperson.
3. Ask questions of witnesses against him or her.
4. Appear on his or her own behalf.

9.6 Evidence.

All evidence that is relevant and reliable, as determined by the chair of the hearing board, shall be admissible. The formal rules of evidence shall not apply.

9.7 Legal Counsel

Although each party may retain his or her own attorney in order to be properly counseled about his or her legal interests, rights, and obligations, such legal representative may not attend the hearing board

9.8 Recording of the Hearing

Audio or video taping of the proceedings is not allowed.

9.9 Burden of Proof

The ITAA investigator or ITAA investigating subcommittee shall have the burden of proving the complaints by a preponderance of clear, cogent and compelling evidence.

9.10 Voting

Voting shall be done in private with a majority vote required for dismissal of the complaint, for admonition, or for censure. The hearing board may also, by a two-thirds majority vote, request suspension of certification or other membership status until such time as a prescribed plan for re-establishing behaviour consistent with membership status is carried through. In the event that an individual is unwilling to cooperate with the process or with a prescribed plan, then the finding of the hearing board may be for expulsion.

9.11 Hearing Board Constraints

ITAA adjudication proceedings are not formal legal proceedings.

9.12 Decision of the hearing board Deadline

The hearing board shall issue its decision within 30 days after the hearing to the Ethics Committee for review and approval.

9.13 No Violation Found

If no violation of the Code of Ethics is found, the hearing board shall order that the respondent be cleared of all complaints that were reviewed at the hearing.

9.14 Violation Found.

If (a) violation(s) is/are found, the hearing board’s decision shall state:

1. The findings of fact.
2. The code violation(s).
3. The action recommended to the Ethics Committee.

9.15 Ordered Action

If a violation or violations of the Code of Ethics are found, the hearing board shall recommend to the Ethics Committee actions to be taken for their review and approval. The ITAA Ethics Committee shall order action to be taken. The Ethics Committee may order that the investigator's recommended actions be implemented, or the Ethics Committee may impose its own actions, whether more lenient or severe. In imposing its own actions, the Ethics Committee may go beyond the investigator's or the hearing board's recommendations. For example, when the ITAA investigator or ITAA investigating subcommittee recommends supervision, the Ethics Committee could order termination.

Actions that may be ordered include:

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 hearing board deems appropriate.

The decision shall also recommend the manner in which the action is to be instituted and/or supervised. If a respondent is allowed to resign, or his or her membership is suspended or terminated, he or she must at once surrender his or her membership certificate to the ITAA office.

9.16 Findings of Expulsion.

If the Ethics Committee concurs with the finding for suspension or expulsion, the committee will so report to the ITAA president within ten (10) days after the review and approval of the findings of the hearing board. The ITAA president shall forward the findings to the Board of Trustees who must enact requests for suspension or expulsion.

9.17 Informing the Participants.

The chairpersons of the Ethics Committee shall, after a review of the written decision by legal counsel for the Association inform the following persons in writing of the decision:

1. The respondent;
2. The complainant;
3. Legal counsel for the Association.

Notice of the decision to the respondent and complainant shall be sent by mail, marked "confidential" (using appropriate means). Ethics Committee chairpersons tell non-members of the ITAA who are complainants only the disciplinary actions as decided.