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Chapter 7 Investigation

7.1 Preliminary Investigation by the Chairpersons.

The chairpersons of the Ethics Committee, assisted by legal counsel have the authority to gather sufficient information so that the ITAA investigator may review the complaint. For example, the chairpersons may deem it necessary to write to the respondent or the complainant for further information, or contact state regulatory bodies or other professional associations.

7.2 The Appointment of an Investigator

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.

The chairpersons may appoint an ITAA investigator or an investigating subcommittee from the ITAA membership. If an investigating subcommittee is empanelled, it shall be composed of at least two persons, one of whom will be appointed as chair of the subcommittee. At least one member of the subcommittee must be a member of the Ethics Committee. The chairpersons may also appoint former members of the Ethics Committee to serve on such a subcommittee. In such instances, the chairpersons shall appoint, when appropriate, a current committee member as chair of the subcommittee.

7.3 Instructions for the ITAA Investigator or ITAA Investigating Subcommittee

The chairpersons of the committee shall prepare, if need be, with the advice of legal counsel to the Association, instructions specifying the scope of the investigator or subcommittee's investigation, including: (i) the names of the persons who should be contacted; and (ii) the areas of inquiry which should be pursued.

7.4 Investigator’s Responsibilities

When an ITAA investigator is appointed, it shall be the investigator's responsibility in writing to:

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.

7.5 Authority of the ITAA Investigator or ITAA Investigating Subcommittee

The investigator or subcommittee shall investigate the allegations of the complaint in accordance with its instructions. The investigator or subcommittee shall have the authority to pursue its investigation by corresponding with or by interviewing, personally or by telephone, the persons named in the instructions. They also have the authority to resolve the matter by mutual agreement of the parties, the Ethics Committee reserving the right to review and approve the final agreement.

7.6 Mediation.

It will be the responsibility of the investigator/s to see if it is possible to facilitate a resolution of the issues through mediation and if need be, suggesting 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.

7.7 Resolution not Reached

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.

7.8 Appearance by the Respondent before the Investigator or Investigating Subcommittee

The ITAA investigator or investigating subcommittee shall give the respondent the opportunity to appear before the ITAA investigator or investigating subcommittee to make a statement, at the respondent’s expense. In any such appearance, the respondent shall have the right to be assisted by counsel, but must be an active participant himself or herself at the appearance. The respondent may ask to have a tape recording made of the appearance and shall pay for the expense thereof, including providing a copy of the recording to the ITAA investigator or investigating subcommittee or the full Ethics Committee.

7.9 Report by the ITAA Investigator or ITAA Investigating Subcommittee

After completing its investigation, the investigator or subcommittee shall make a full report to the Ethics Committee, detailing their findings of facts and shall include records of its investigation. It is the Ethics Committees responsibility to fully review and approve the recommendation.