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Chapter 16 Records

16.1 Disposition of Files

The disposition of any complaint investigated by the Ethics Committee or a hearing board shall be noted in that individual's file and all records of the investigation placed in a sealed file to be opened only in the event of a future complaint against the same individual.

1. Files for those members whose membership is terminated or who are permitted to resign are maintained indefinitely.
2. Files of cases in which the member is found not to have violated the Code of Ethics are screened for identifiable (statistical) information and then destroyed after one year.
3. Files of cases closed for insufficient evidence are maintained for five years.
4. Files of cases where the Ethics Committee has found a violation but where the sanction is less than termination of membership are maintained for five years.
5. All case files containing identifiable information are destroyed one year after the Association is notified of death of the member or former member.
6. The ITAA Ethics Committee may use its case files for archival, educative, or other legitimate purposes so long as identification of the parties is protected.

16.2 Materials

Copies of all original materials regarding ethics complaints received in ITAA offices should be sent immediately to the ITAA Ethics Committee chairpersons or their delegate.

16.3 Records

All records of the hearing board proceedings, including the decisions, recordings of hearings, and supporting documents, shall be maintained in the office of the Association. The permanent files of the Ethics Committee shall be maintained in the office of the Association

Chapter 17 Consultants

17.1 Appointment of a Consultant

The Ethics Committee may assign a consultant to a complainant and to a respondent (upon acceptance of the formal complaint). A Consultant will be assigned if either party requests a consultant or if a consultant is deemed appropriate by the Ethics Committee. The committee is not required to appoint a consultant. Any person appointed must be acceptable to the party they are to support.

The role of the consultant will be to assist the complainant or the respondent through the ethics process. The consultant may also provide confidential support to the person to whom they are assigned. The consultant may be present in any investigative interview or hearing board meeting but will not take an active part in the interview or hearing.

17.2 Confidentiality

Consultants will respect the confidentiality of the complaint process. They should be familiar with the ITAA Code of Ethics and the manual of procedures for handling ethic’s complaints

17.3 Consultant guidelines

Before a complaint is filed the consultant for the complainant may:

1. Offer to meet or communicate with the complainant.
2. Answer questions about ethics procedures for handling complaints.
3. Seek advice from the Ethics Chairpersons when needed.
4. Encourage an ambivalent complainant to file a serious complaint.
5. Discuss the appropriateness of filing frivolous or baseless complaints.
6. Explore alternative options for seeking a resolution to a complaint.
7. Assist the complainant to focus on the facts of the allegations and the outcome desired.
8. Help the complainant to relate the allegations to specific sections of the Code of Ethics.
9. Help to identify supporting documents and witnesses who can give first-hand data.

17.4 Once a complaint is filed the consultant for the complainant may:

1. Answer further questions about the ethics procedures.
2. Discuss the option of seeking a negotiated resolution/ mediation.
3. Review the respondent’s material with the complainant.
4. Review the complainant’s proposed statement to the hearing board.
5. Discuss the hearing board process and expected conduct at the hearing.
6. Discuss possible responses by the respondent and suitable replies.

17.5 Before a complaint is filed the consultant for the respondent may:

1. Offer to meet or communicate with the respondent.
2. Answer questions about ethics procedures for handling complaints.
3. Seek advice from the Ethics Chairpersons when needed.
4. Ensure the respondent is aware of any deadlines for submission of materials.
5. Encourage the respondent to file a written submission that focuses on facts specific to the allegations.
6. Help to identify supporting documents and witnesses who can give first hand data.
7. Offer to review materials before they are submitted whilst being careful not to impose ideas or wording.

17.6 During a hearing the consultants sit next to the party they are assisting but they do not participate unless asked to do so by the board chairperson. They may request permission to confer with their party.

17.7 Following the hearing the consultant is available to advise their party on the appeal process.

17.8 The consultant’s responsibility ends when the case is resolved and the time limit for appeal has expired or an appeal has been heard and a decision announced.