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Chapter 6 Action on receipt of a formal complaint

6.1 Membership Status

Anonymous complaints shall not be recognized as a basis for action.

When a complaint is received at the ITAA office, the office manager will check to determine the membership status of the person being complained about. A copy of the complaint along with the information about the membership status will be forwarded to the chairpersons of the Ethics Committee.

6.2 Non ITAA Members

If the person is not a member, nor a recently resigned or terminated member, nor an applicant for membership in the Association, the Office Manager shall so inform the chairpersons of the Ethics Committee who will inform the complainant, and shall explain that the Association has no authority to proceed against the person, and may refer the complainant to another agency or association with proper jurisdiction.

6.3 Resigned or Terminated Member

If the person is a recently resigned member or had their membership terminated, the complaint shall be referred immediately to the Chairpersons of the Ethics Committee who will determine whether the alleged violation occurred during the period of the person's membership or prior to membership, provided the complaint is received within one year from the date of resignation. If it is determined that the Ethics Committee has jurisdiction, the complaint process will proceed.

6.4 Determination if Ground for an Investigation

The chairpersons of the Ethics Committee and if required, the legal counsel 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. In the event the Chairpersons, in consultation with the legal counsel for the Association, cannot decide on such action or on any other action required of them under these rules, the matter shall be referred to the full Ethics Committee for decision.

6.5 Insufficient Grounds

If the complaint does not state factual allegations that constitute (a) violation(s) of the Code of Ethics, the Chairpersons shall so notify the complainant in writing. Notification to the complainant shall explain why the allegations do not warrant further action by the Ethics Committee and shall enclose a copy of the Code of Ethics.

6.6 Sufficient Grounds

If the complaint states allegations which, if proven factual, would constitute (a) violation(s) of the Code of Ethics, the chairpersons shall:-

1. Notify the complainant in writing that the complaint will be proceeded with,
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.

Only with this permission can an investigator proceed.

All correspondence to the complainant shall be marked "confidential" and sent by appropriate means.

Correspondence is not to be faxed or sent by any electronic means unless sender has ensured that only the recipient will see it.

The chairpersons shall also request that the complainant agree in writing to waive any relevant client/therapist privilege available to him or her so that the Ethics Committee may obtain information from the ITAA member and others.

If the Ethics Committee decides that the complaint is appropriate for the ITAA committee, the chairpersons will appoint (a) representative/s from among the members of the Committee or (a) suitable alternative/s as the investigator/s.

6.7 Complainant Refusal of Permission

If the complainant refuses permission for the use or disclosure of his or her name, the chairpersons of the Ethics Committee may refer the matter to the full committee or, with the advice of legal counsel, shall decide whether it may proceed with the complaint with an investigation on the committee's own initiative.

6.8 Notification of the respondent

After the chairpersons of the Ethics Committee receive permission for the use of the complainant’s name, the chairpersons 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 portions of the Code of Ethics relevant to the allegations of the complaint
3. Enclose a copy or a summary of the complaint, if the complainant has granted permission for the use of his or her name
4. State the Committee's basis for statement of the complaint if the Ethics Committee is proceeding on its own initiative
5. Enclose a copy of the Code of Ethics and a copy or a summary of these 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 in writing within thirty (30) days may
   1. Be taken as an admission of the facts contained in the allegation/s.
   2. Result in termination of his or her membership in the Association.

For the purposes of notification, the last address received from the respondent with the payment of dues will be used, and mailing to that address will be deemed sufficient notice.

6.9 No Response by the Respondent

If a charged member does not respond to the charges, or to each specific allegation, the Ethics Committee may take the lack of response as an admission of the facts contained in the allegation.

6.10 Response by the Respondent

If a response is received from the respondent within thirty (30) days, or before the matter has been referred to the full Ethics Committee, the chairpersons of the Ethics Committee with the advice of legal counsel for the Association shall either

1. Close the case and notify the complainant, the respondent, and all members of the Ethics Committee; or
2. Empanel an investigator.

6.11 Resignation by the Respondent

If a charged member resigns from membership in the Association at any stage of the Committee's investigation of the complaint, the Committee will nonetheless complete its investigation, and may publicize a proven violation in accordance with these Ethics Committee procedures.