APPENDICES TO THE ETHICS MANUAL OF PROCEDURES
- Ethics Complaint Form
- Letter to Complainant
- Waiver of Confidentiality Privilege and Authority to Release Information
- Letter to ITAA Member Against Whom the Allegations are Made
- Flow Charts of Complaint Process
ETHICS COMPLAINT FORM
1. Complainant (Person making the complaint)
City, State or Province, Postal Code, Country___________________
Home Phone ( )__________ Business Phone ( )________________
2. ITAA member (respondent - person being complained about)
City, State, Postal code, Country______________
Telephone ( )___________ Email:
3. Your relationship with the respondent at the time of the alleged violation (e.g., client, colleague, employee, trainee, etc.)
4. Date/s of the alleged unethical behavior
5. Details of the alleged violations
Write an account of what happened that you believe to be an ethical violation and how the events affected you. Be as specific as possible. Please type or use a computer if possible. Include this when you return the form. You may send additional information at any time up until the Ethics Committee begins its deliberation.
6. The section/s of the ITAA Code of Ethics that you believe have been violated
7. Provide details of the outcome of the action that you took to confront the ITAA member
8. Any actions that you have taken or are considering taking to deal with the alleged violations (e.g., advising the respondent’s employer, initiating a formal grievance process with another body, seeking legal sanctions, etc.)
9. Have you filed a formal complaint against the ITAA member with any other organization?
If yes, what organization? Please include a contact number.
10. Provide the names, addresses and telephone numbers of witnesses, if any, or others who might provide relevant information about the events you are filing a complaint about. If possible obtain from them a signed statement that can be sent along with this form.
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LETTER TO COMPLAINANT
RETURN RECEIPT REQUESTED
I am responding to your letter regarding your complaint against___________________________.
Since you believe that this member has violated the ITAA Code of Ethics, you may file a formal complaint with the ITAA Ethics Committee by using the enclosed Ethics Complaint form.
Please read the enclosed copy of the ITAA Code of Ethics.
Please read the enclosed Waiver and Release of Information Form. In order for the Ethics Committee to proceed with the case, it is necessary that you give the Committee permission to use your name and the information you provide when we contact the member with your complaint and when the Committee considers your case. Please sign the form, which gives the Ethics Committee permission to use your name in this manner.
Please understand that signing of the waiver to release information grants the Ethics Committee permission to send a copy of your complete complaint materials including witness statements and any additional material provided to the member for a response,
Please return all of the materials in envelopes marked “CONFIDENTIAL” to:
ITAA Ethics Committee
2186 Rheem Drive
Pleasanton, CA 94588
When all the material has been received, the chairpersons’ first steps will be to decide whether the allegations in your complaint would, if proven factual, constitute a violation of the ITAA Code of Ethics and therefore warrant an investigation. If so, the chairperson will appoint a suitable person to investigate. You will be informed of this decision.
The investigator will be responsible to:
- Contact both the complainant and the respondent to gather information
- Notify both parties of the ethics procedures to be used.
- Notify the respondent of their rights to appear, to testify or present their side of the allegations.
- Determine if a resolution can be agreed to through a mediation process.
A full copy of the Ethics Manual of procedures to be used can be obtained from the ITAA office.
Once you have considered making a formal complaint you are advised not to discuss the matter with anyone not directly involved with it. All information should be treated as highly confidential. The Ethics manual outlines the procedures for any disclosure of information.
Please retain copies of all the documents included with this letter for your own reference. Also, please keep copies of all your correspondence with the Ethics Committee.
We realize that this may be a very difficult as well as lengthy process. We appreciate your patience and cooperation. If you need any further assistance in reaching a decision or in compiling your complaint please feel free to contact either of the chairpersons of the Ethics Committee.
Thank you for contacting the Ethics Committee with your concerns. Our organization is committed to maintaining high standards of ethical practice in Transactional Analysis.
Ethics Committee Co-chair
Enclosures: Ethics Complaint Form
ITAA Statement of Ethics
Summary of Procedures for Ethical Complaints
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WAIVER OF CONFIDENTIALITY PRIVILEGE
AUTHORITY TO RELEASE INFORMATION
I, ________________________________________ have filed a complaint with the International
(name of complainant)
Transactional Analysis Association (ITAA) dated __________________ against a member of the
(date of the complaint)
(name of the ITAA member (respondent) against whom the complaint has been filed)
I hereby waive any confidentiality privilege with respect to the member of the ITAA against whom I have made a complaint (respondent) so that the member may respond to my complaint and provide confidential information to the ITAA Ethics Committee regarding the matters raised in my complaint; and to those people who, in the discretion of the committee, its staff or legal counsel, it may be necessary to contact in order to conduct a full and fair investigation of the complaint.
I hereby authorize the release of the information contained in my complaint to the respondent, the members of the ITAA Ethics Committee, the investigator or investigation sub-committee who will conduct a thorough and fair investigation of the complaint, the legal counsel for the ITAA, and those individuals who in the discretion of the committee or its legal counsel may need to receive this information. I also authorise the release of this information to those that might carry out any ensuing therapy or supervision resulting from discipline to the respondent.
I waive any claims that I may have or could have against the ITAA, its Board of Trustees, its employees or committee members, relative to the release of information that is the subject of my complaint.
I authorize the use of my name in the investigation of my complaint by the ITAA Ethics Committee, and the legal counsel for the ITAA.
Name of complainant (Please Print)
Date Signature of complainant
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LETTER TO ITAA MEMBER AGAINST WHOM THE ALLEGATIONS ARE MADE
RETURN RECEIPT REQUESTED
I am writing to you as Co-chair of the International Transactional Analysis Ethics Committee. I regret to inform you that the ITAA Ethics Committee has received a formal complaint against you from _______________________. A copy of his/her correspondence is enclosed as well as a waiver and permission to release information.
The Ethics Committee will now begin a process of investigation to determine if there has been an ethics violation. At this point, the Ethics Committee makes no assumptions of the validity of the information provided by the complainant. We know that this is a difficult and often lengthy process and we would appreciate your cooperation.
Based on the information provided thus far by the complainant, I have determined that allegations of ______________________, if found to be factual, would be a violation of the ITAA Code of Ethics, as follows:
1. Principle ### which states:
This charge is based on ____________ in the complainant’s materials.
2. Principle ### which states:
This charge is based on _____________.
These charges are based on information that we have at this time. It may be necessary to charge you with additional violation, if further allegations come to our attention.
Please respond to each of the allegations made by the complainant, even if they are not specifically outlined in this letter. If you fail to respond to any specific allegations within thirty (30) days of the date of this letter, the Ethics Committee may take your lack of response as your admission of the facts in this allegation and consideration may be given to the status of your ITAA membership.
To assist us in the investigation, please also provide the following information:
A sequence of events leading up to the time of the alleged violations and following that time.
Any other relevant information such as copies (not originals) of relevant documents such as billing records, letters, clinical records, telephone bills, diaries, letters, etc. which might explain or validate your response
You may also submit information from other people with relevant information. You may send this with your own response or have these people submit this directly to the ITAA office at the address on this stationery. Any information submitted should have a signed authorisation for its use in the ITAA Ethics complaint process from the person releasing the material. Please do not ask for or submit general letters of support from current or former clients.
Send your written response within thirty (30) days of receipt of this letter. You may consult with legal counsel, but you must respond to the charges yourself. Failure to respond could result in termination of your membership in ITAA.
Please understand that your response may, if necessary to the investigation, be discussed in detail with, or forwarded to the complainant.
A flow chart is enclosed to help you understand the enclosed procedures and the process of the investigation as described below.
The first step will be the investigation conducted by an investigator appointed by the ITAA Ethics Committee chair. This investigation will be conducted largely through correspondence with you, the complainant, witnesses suggested by you and/or the complainant, and other persons with useful information.
During this stage of the process the investigator will remain open to the complaint being resolved by negotiation through a mediation process.
It is the Ethics Committee’s responsibility to see that investigations are conducted thoroughly and impartially and that its procedures are followed. It is your responsibility to cooperate with the investigation, to respond fully and truthfully to inquiries within the deadlines given, and to provide all the information requested by the Ethics Committee and staff.
After this investigation, and if no mediated resolution to the complaint is reached, the next step is for the Ethics Committee to meet and review all the relevant information gathered in the investigation, arrive at a decision as to whether or not, in its judgment, violations of the ITAA Code of Ethics have occurred and, if so, what actions should be recommended. It is not a meeting where members, complainants, or witnesses are present or are interviewed.
When the Ethics Committee reaches a decision, you will be notified. If the investigation is continuing, you may be requested to provide further information. If the decision is that you did violate the Code of Ethics and disciplinary actions are recommended, you may accept those decisions, or you may exercise your right to have those decisions reviewed by a hearing board.
We make every effort to complete the investigation and deliberation process in as timely a manner as possible. However, due to the complexities involved in most ethics cases and the difficulty for the ITAA Ethics Committee to have face-to-face meetings to deliberate, this process can unfortunately be time-consuming. Your prompt response to this letter and subsequent communications will serve to expedite this matter.
We are sending this notice to you at the last known address we received from you with payment of your dues and mailing that to the address will be deemed sufficient notice.
Please send your response and all other correspondence to …………... Please include the date, your current address, home and office phone numbers and email address on all correspondence. Please advise which of the addresses will provide confidentiality for any correspondence.
Once you have received notice of a formal complaint you are advised not to discuss the matter with anyone not directly involved with it. All information should be treated as highly confidential. The ethics manual outlines the procedures for any disclosure of information.
We realize that this may be a very difficult as well as lengthy process for you. We appreciate your patience and cooperation, and will endeavour to maintain and respect confidentiality.
Ethics Committee Co-chair
Enclosures: Materials from complainant, with waiver
ITAA Code of Ethics
Summary of Procedures for Ethical Complaints
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