• The Petitioner assesses whether their concern is best addressed as a matter of unprofessional practice and/or inadequate standard of practice, ethics, or a governance issue. These are each likely to be addressed by different entities within ITAA, e.g. by the relevant ITAA certification body in matters of certification and exams, or by the BoD (or any other appropriate body) in matters of governance and ITAA internal procedures, or by the ethics committee in matters of alleged unethical behaviour. Considerations which assist in assessing what category the concern best falls into are listed in Phase 1 Form: Submission of a Concern relating to ITAA Governance, Professional Standards, or Ethics (for use by Petitioner).

• The Petitioner talks with the ITAA member whose behaviour they believe to be in contravention of the Ethical Principles, to raise their Issue of Concern.
• If that proves to be unsuccessful, inappropriate, not feasible or impossible (e.g. bias, conflicts of interest, or pressures emerging from multi-party relationships), then the Petitioner’s next step is to address their concern to the Ethics Committee of their local TA body.
• When no such authority exists, or the step is inappropriate, not feasible or impossible, or it is impractical for the local TA association to address the concern, the Petitioner may contact the ITAA Ethics Committee Chairperson/s directly to further the concern.
• All parties involved in an ethics concern will indicate their commitment to confidentiality and data security by means of a signed non-disclosure agreement.
• The ITAA Ethics Committee Chairperson/s will check to see if the potential Respondent is a current ITAA member. To ensure anonymity of potential Respondents only the Ethics Committee Chairperson/s will have access to the membership database.
• If the Respondent is not an ITAA member, ITAA Ethics Committee chairperson/s will advise the Petitioner that the ITAA has no jurisdiction to address the concern with the Respondent. The ITAA’s ability to engage with Respondents is therefore only possible if they are a current member. If the Respondent is not currently a member, then the Ethics Committee will explore with the Petitioner and/or members of the affected groups, what support and/or actions they would like from the Ethics Committee.
• If the Respondent is an ITAA member, the Ethics Committee chairperson/s will advise the Petitioner that they will follow the procedure in this document on receipt of the concern in writing.
• Inform the Petitioner/s that they may not seek any compensation or reward from this ITAA process.
• The Petitioner will have direct knowledge of the alleged behaviour concerned or be in position to supply relevant, reliable testimony or other evidence on the subject.
• The Petitioner will compile Phase 1 Form: Submission of a Concern relating to ITAA Governance, Professional Standards, or Ethics (for use by Petitioner) to submit an ethical concern, available on the website, making use of administrative support from a member of the Ethics Committee to streamline the process. The Ethics Committee member assisting the Petitioner to compile the form will recuse themselves from Phases 3 and 4.
• Petitioner submits the form to the ITAA Ethics Committee chairpersons, marked “CONFIDENTIAL” in the subject. Note: digital correspondence is encouraged. The Petitioner will specify which of the ITAA Ethics Principles have been contravened.
• The Petitioner is encouraged to formulate one or more desired outcomes from this formal process. (These desired outcomes will be considered during the mediation process as well as the formal enquiry process.)
• The process requires the Petitioner to disclose their name to the member their Issue of Concern is about (Respondent). In exceptional circumstances, this may be reconsidered.
• The Ethics Committee will take into account the same concern raised by the Petitioner to any other body. If a formal enquiry by any other body has already taken place, this information may inform further considerations.
• The Petitioner is encouraged to make use of personal support resources prior to, during and after the process, bearing in mind confidentiality around the matter.

If at any stage it is considered appropriate and advantageous to all parties to outsource this whole process, ITAA Executive Committee will be consulted. Considerations in this regard will be fairness and impartiality to all parties. Examples of situations where the process would best be outsourced include high-profile ITAA members, multi-party relationships, any form of bias or prejudice (whether recognised by self or others). Where the Issue of Concern raised concerns a member of the BoD or an ITAA committee member, that member will be excused from their role while the process is followed

In writing this process, we are mindful that not all scenarios can be predicted and integrated into a linear set of steps. There may be scenarios in which it may be possible to de-escalate a concern by following the process steps in a different order, or to diverge from them. In these cases, the reasons for such will be carefully considered, communicated to relevant parties, and formally noted. At all stages of the process, the Ethics Committee will show appropriate flexibility and adaptability, with the emphasis being on a learning process throughout. Use Form Phase 2: Record of Preliminary Enquiry Process to record diversions from the process.

• If the assertions do not appear to constitute a contravention of the Principles of the Code of Ethics, the chairperson/s will formally notify the Petitioner. Notification to the Petitioner will explain why the assertions do not warrant further action by the Ethics Committee and include a copy of the ITAA Code of Ethics
• If the assertions do appear to contravene the Principles of the Code of Ethics, the Ethics Committee Chair/s will engage in an informal conversation with the Respondent about the Issue of Concern that has been raised. The Committee will approach the concern in the spirit of a humanistic philosophy and de-escalation.
  • The Ethics Chair/s email the Respondent using Phase 2 Email (not included in this document): to be sent with ‘Phase 2.1 Form Petitioner’s Concerns and Desired Outcomes’ as Attachment to the Respondent inviting them to an informal conversation on the matter. This email will contain details of the Petitioner’s concerns and their desired outcomes from the process (for fair sharing of information and as a de-escalation method). In addition to form Phase 2.1, the email will include Phase 2.2 Form: Respondent’s Response to formal notification of an Issue of Concern. The Respondent uses the latter form to record their responses for clarity and accuracy in considering the Issue of Concern.
  • The Respondent is afforded 14 days to respond to the invitation to the informal conversation. This informal conversation can be attended with the Respondent’s supervisor as a support person. Where Respondent does not have a supervisor, a support person can be present.
  • The Respondent is encouraged to work with their supervisor to reflect on the Issue of Concern that has been raised.
  • Within 21 days of the initial contact with the Chair/s, the Chair/s and the respondent will engage in a follow up conversation.
• Given the outcome of 1, several options could be considered:
  • Mediation or Formal Enquiry is not required. A process takes place at the lowest level of escalation and with the lowest use of resources (financial and role players) which allows the concern to be resolved. As not all circumstances can be foreseen, the particulars of this process will not be defined here, but rather left to the various parties (Petitioner, Respondent, Ethics Committee) to co-create at the time. Examples: the petitioner and respondent choose to meet together; or the Ethics Committee Chairs or Circle of Wise Colleagues facilitate a meeting of the parties to resolve the Issue of Concern.
  • The offer of external mediation is made and accepted.
  • The respondent does not believe there was any contravention of the Principles of the Code of Ethics, and the following procedures take effect.
• The Ethics Committee Chair/s will set up a preliminary enquiry committee, to assess if the alleged behaviours contravene the Principles of the Code of Ethics. The committee will consist of one of the chairs unless it is deemed ethically or procedurally inappropriate.
• The Ethics Committee Chair/s will provide a copy of the concern (or a summary) to the Ethics Committee’s investigator/s.
• If the preliminary enquiry committee concludes the alleged behaviour/s are likely to have contravened the Principles of the Code of Ethics, the committee reports their findings to the chairs.
• The Chairperson/s shall consider which of the following options are most appropriate:
  • Suggesting/recommending supporting supervision.
  • Recommending independent mediation. The Chair/s will:
    • Identify the appropriate mediator.
    • Note if the mediation was successful or unsuccessful.
  • If these are not appropriate, rejected, or fails the chairperson/s shall enter the next phase.
• It will be noted if either or both parties accept or decline this opportunity. The Ethics Chair/s will consider consulting with ITAA’s legal counsel through the ITAA President where appropriate.

• Formally record and notify the Petitioner that the concern will be formally investigated.
• The chair/s of the Ethics Committee will formally notify the member (Respondent) of the concern. Use Phase 3 Email: to be sent with ‘Respondent Record and Notification of a Concern Involving Them as Attachment’ (for office use only) and Phase 3 Form: Respondent Record and Notification of a Concern Involving Them. The notice to the Respondent will:
  • Be notified by means ensuring the correspondence by any means, digital or postal, is trackable and marked “CONFIDENTIAL”. If email is used, a “Read Receipt” will be requested.
  • Reiterate ITAA’s fundamental philosophies and the manner this formal enquiry will be conducted.
  • Enclose a copy or a summary of the concern.
  • State the alleged behaviours that contravene the Principles of the Code of Ethics and are relevant to the Petitioner’s assertions.
  • Provide a link to the ITAA Code of Ethics and a copy or a summary of Section 3: Process to Address an Ethical Concern.
  • Where appropriate, request the Respondent cease the activity while the formal enquiry takes place.
  • Notify the Respondent that the supervisor has been notified of the alleged contravention/s (where possible).
  • Notify the Respondent’s supervisor of the alleged contravention/s.
  • Encourage the Respondent to fully engage with their supervisor.
• The Ethics Committee will afford the Respondent the opportunity to respond to the assertions, formally, within thirty (30) days from receipt of the notification (if no response is acknowledged, the committee will use other means to ensure the Respondent has received the correspondence).
• If all attempts to support and encourage the Respondent to respond to the assertions have failed, the committee may:
  • Take it as an admission of the allegation/s.
  • Recommend to the President options included in 4.

It is recommended that this phase take no more than 2 months to complete. In extenuating circumstances, the investigators may apply to the committee for an extension supported by a reasonable justification.

• On receipt of the Respondent’s reply, the chairperson/s will appoint a formal enquiry committee. The actions of this formal enquiry committee could include:
  • Engaging with both the Petitioner and the Respondent in order to gather any further relevant information, potentially including reaffirming or updating the Petitioner’s desired outcomes.
  • Sharing and clarifying with the Respondent their rights, i.e. to present their experience of the issue of ethical concern raised, and that they may respond to the Petitioner’s assertions formally and that this response may be given to the Petitioner.
  • Notifying the Respondent that they may respond to the Petitioner’s assertions formally and that this response may be given to the Petitioner.
• Once all the information has been gathered, assess if any of the original information as well as additional information contravenes the ITAA Ethical Principles, as follows:
  • Determine the Respondent’s role in the matter and if they behaved unethically according to the ITAA Ethical Principles and Code.
  • Determine if the Respondent has contravened any other Principles not addressed in the original concern.
  • Determine if the Respondent has demonstrated unprofessional practice or standards of practice. These will be addressed by the relevant committee.
  • Consider the Petitioner’s desired outcomes and the Respondent’s response to these in the recommendations made.
  • Check that all the procedures that have taken place to date are appropriate and that no steps have been missed and that the philosophies have been followed (due process) and that all people involved in the process have also been abiding by the Principles and Code of Ethics.
• Where the investigating committee finds no contravention has occurred, recommendations will be made about what support will be offered to the Petitioner and the Respondent.
• The following eventualities can be included in the investigation committee’s report to the Ethics Co-Chair/s:
  • Where the Respondent minimises any aspects of their breach of the Ethical Principles, and the impact on the Petitioner and/or other affected parties.
  • Where the Respondent does not acknowledge there was a breach of the Ethical Principles, that harm occurred, their role in the event/s, and that it could have been prevented.
• Formulate a report that clearly identifies the Code/Principle/Value that has/have been contravened and make recommendation/s to the Chairs of the Ethics Committee and its members on a way forward.

If at any stage of this phase, the Respondent recognises their contravention of the ethics Principles, appropriate steps will be taken to assist the Respondent and all involved parties (systemic influences identified) to gain learning.

• After reading the report of the investigating committee, the Ethics Committee may find that contravention/s of the Ethical Principles have been established and recommend any of the following actions: supervision, therapy/counselling and/or education.
• The Respondent may choose their own Practitioner/professional to support them in the process. As a recorded contravention has occurred, a ‘formal referral’ will be made available to the referred Practitioner/professional so they are aware of the concern/s and can work with the Respondent to learn from the situation.
• As part of the process the Respondent’s therapist, counsellor, educator, or supervisor will provide a report to the ethics committee, on the Respondent’s attendance, recognition of the issues and level of participation in an effective resolution of the issues. However all other matters that arise in the course of the consultation/therapy will remain totally confidential between the Respondent and the professional/Practitioner who is writing the report.
• The Ethics Committee Chair/s compile a report which may recommend to the Executive Committee any one or more of the following:
  • The Respondent to cease and desist.
  • Regarding certification: Suspension of the ITAA certification (e.g. CTA or P/TSTA). A suspension of certification will be for a documented period of time. At the end of the suspension period, the ethics committee will review the Respondent’s eligibility for reinstitution of certification.
  • Termination of the ITAA certification (e.g. CTA or P/TSTA).
  • Regarding ITAA membership:
    • Suspension (holding membership in abeyance for a specific purpose, for example, rehabilitation). At the end of the suspension period, the ethics committee will review the Respondent’s eligibility for reinstitution of membership.
    • Resignation or termination of membership with or without publication.

If the Respondent is a member of the ITAA BoD or ITAA Committee member, that person will recuse themselves from this process.

With regards to termination (with or without publication), the committee will consider the following determining factors:

• The likelihood of a recurrence of the ethical transgression.
• The Respondent not acknowledging the ethical transgression.
• The Respondent not acknowledging the harm caused by their ethical transgression.
• The amount of harm caused to the Petitioner and/or any other affected parties.
• The amount of harm caused to the ITAA.

The purpose of publishing the ITAA’s action could be to preserve the integrity of the association or in the interests of public safety, concern, or closure, e.g. if there has been a very public contravention of the TA philosophy and/or Code of Ethics and no learning has been gleaned and the Respondent takes no responsibility for their action/s or inaction/s, one potential action of ITAA could be to publish the termination. This would only occur in exceptional circumstances and where every effort has been made to resolve the conflict in an amicable manner. See paragraph on Confidentiality Exceptions.

If deemed appropriate, and after consultation with the ITAA Executive Committee, the ITAA Ethics Committee may send relevant information to the EATA Ethics Committee, relating to the outcome of a completed process to address an ethical concern.

• If the Ethics Committee decides to uphold the Issue of Concern and that there has been a contravention of the ethics principles, with the Respondent taking no responsibility for their behaviour, resulting in a recommendation for suspension or termination, the committee will report this to the Director Operations and the ITAA President for information, within ten (10) days of reaching the decision. The ITAA President will forward the findings to the Board of Directors, who will consider the recommendations and take appropriate action.

• The Ethics Chairs will consider the following options to bring closure to the process for all parties concerned.
  • A restorative justice process. See The Restorative Justice Process.
  • A review of options that would enable closure with the Petitioner.
  • Engagement with all affected parties to thank them for their participation and to receive feedback on their experience of the process.
  • Review if the manual needs to be updated.
  • Or any other action, within its remit, that the Ethics Committee deems appropriate.