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Code of Ethics

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Stephanie Conrad

on 1 October 2013

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Transcript of Code of Ethics

Code of Ethics
Professional versus business ethics
Solicitation of cases for private practice from your caseload.
Acceptance of gifts or incentives from manufacturers or other individuals.
Client abandonment and/or disruption of services.
Failure to report unethical behavior.
Misuse of professional credentials.
Potential Ethical Issues

Reimbursement for services:
Misrepresenting information to obtain reimbursement.
Billing for services provided by an SLP who is not certified and/or does not receive the necessary supervision.
(Intentionally) misusing incorrect code numbers or diagnostic labels on billing forms for purpose of qualifying for payment.
Billing for services not provided or not necessary.

No misrepresentations
Don’t let people you supervise breach ethics
No harassment of any kind
No unprofessional conduct
Don’t plagiarize others’ work, give credit where credit is due
Provide services with a valid reason
Don’t discriminate in your relationships
Don’t file to BOE for personal gain or retaliation
Comply with COE!
P4 Summary

Services must be provided by someone with their C’s
Within scope of practice
Maintain CEUs
Do not allow your staff or other professionals to provide services they are not competent to provide.
Make sure all equipment is calibrated

P2 Summary

Individuals shall honor their responsibilities to the
professions and their relationships with colleagues,
students, and members of other professions
and disciplines.

Principle 4

Read Chapters 1 & 2
Behavioral Objectives
Project 1 distributed

Next Week

Cultural competence
Discrimination in:
provision of services, and/or
interaction with colleagues and students.
Lack of competence in the selection, administration and interpretation of diagnostic and/or treatment materials or approaches.
Potential Ethical Issues

Clinical Fellowship supervision
Inadequate or inappropriate supervision of clinical fellows.
Inadequate time to meet supervisory responsibilities.
Inadequate documentation of supervision and CF’s performance.
Failure to maintain one’s own competence.
Misuse of power over the CF.
Potential Ethical Issues

Inappropriate delegation of responsibilities to support personnel.
Inadequate documentation of supervision.
Billing for services by unsupervised students/assistants.
Inadequate supervision.
Support Personnel

Pressure to:
provide services without adequate training.
increase caseload.
adhere to treatment eligibility criteria or program placement recommendations which may be in conflict with the SLP’s clinical judgment.
use old or poorly maintained equipment/ technology.
provide services which, in your clinical judgment, are not warranted.
Employer Demands

Approximately 2,500 ethics and ethics-related inquiries per year
David R. Denton, JD, MA, CCC-SLP December 2008
Most common themes:
Employer demands
Training, use, and supervision of support personnel and assistants
Clinical Fellowship and the provision of services to culturally and linguistically diverse populations
Issues and dilemmas associated with audiology
Private practices - need to make a profit
Trends of Ethics Inquiries

Don’t misrepresent yourself, others you deal with professionally or otherwise, the field of SP/AuD, research, or your services.
Avoid conflict of interest
Don’t commit fraud
Principle 3: Summary

Provide services competently and to all who need them (no discrimination) - use any resource necessary to do so.
Delegate only to those competent to provide services, or when you are directly supervising.
Represent yourself appropriately/accurately, inform those you serve of your credentials, the services/products to be provided.
Always evaluate for effectiveness
May participate in telecommunication services where permitted by law, but may not be sole method of therapy.
Document, maintain secure files, charge for only services you provide.
Remove yourself if you are no longer competent, for any reason

P1 Summary

Principle I - Responsibilities to persons served professionally.
Principle II - Responsibility for one’s professional competence.
Principle III - Responsibility to the public.
Principle IV - Responsibilities involving inter-and intra-professional relationships.

Basic Summary of Principles

Break into 4 groups
Each take one principle of ethics
Develop a scenario that breaks one or more of the rules
Present to class

Group Activity

Individuals shall honor their responsibility to the public by promoting public understanding of the professions, by supporting the development of services designed to fulfill the unmet needs of the public, and by providing accurate information in all communications involving any aspect of the professions, including the dissemination of research findings and scholarly activities, and the promotion, marketing, and advertising of products and services.

Principle 3

P2: Rules of Ethics

Individuals shall honor their responsibility to achieve and maintain the highest level of professional competence and performance.

Principle 2

P. Individuals shall enroll and include persons as participants in research or teaching demonstrations only if their participation is voluntary, without coercion, and with their informed consent.
Q. Individuals whose professional services are adversely affected by substance abuse or other health-related conditions shall seek professional assistance and, where appropriate, withdraw from the affected areas of practice.
R. Individuals shall not discontinue service to those they are serving without providing reasonable notice.

P1: Rules of Ethics

F. May delegate tasks related to provision of clinical services only if those services are appropriately supervised.
G. May delegate tasks related to provision of clinical services to students only if those services are appropriately supervised.
H. Fully inform the persons they serve of the nature and possible effects of services rendered and products dispensed (and informed consent for research).
I. Evaluate the effectiveness of services rendered and of products dispensed, and they shall provide services or dispense products only when benefit can reasonably be expected.

A. Provide all services competently.
B. Individuals shall use every resource, (including referral), to ensure that high-quality service is provided.
C. Individuals shall not discriminate in the delivery of professional services.
D. Individuals shall not misrepresent the credentials anyone they supervise, and inform clients of those who will be providing services.
E. Those who have C’s shall not delegate tasks that require the unique skills of the SLP to others.

P1: Rules of Ethics

Principle of Ethics 1

Every individual who is
(a) a member of the American Speech-Language-Hearing Association, whether certified or not,
(b) a nonmember holding the Certificate of Clinical Competence from the Association,
(c) an applicant for membership or certification, or
(d) a Clinical Fellow seeking to fulfill standards for certification shall abide by this Code of Ethics.

Who must adhere?
Communications 429
Stephanie Conrad, MS CCC-SLP
Fall 2013

ASHA Code of Ethics

P4: Rules of Ethics

P4: Rules of Ethics

P3: Rules of Ethics

N. Individuals shall not reveal, without authorization, any professional or personal information unless doing so is necessary to protect the welfare of the person or of the community or is otherwise required by law.
O. Individuals shall not charge for services not rendered, nor shall they misrepresent services rendered, products dispensed, or research and scholarly activities conducted.

J. Cannot guarantee the results of any treatment or procedure - they may make a reasonable statement of prognosis.
K. Individuals shall not provide clinical services solely by correspondence.
L. Individuals may practice by telecommunication (e.g., telehealth/e-health),where not prohibited by law.
M. Maintain and appropriately secure records of professional services rendered, research and scholarly activities conducted, and products dispensed, and they shall allow access to these records only when authorized or when required by law.

P1: Rules of Ethics

Individuals shall honor their responsibility to hold paramount the welfare of persons they serve professionally or who are participants in research and scholarly activities, and they shall treat animals involved in research in a humane manner.

A. Can only provide services if you have your C’s or are supervised by someone who has their C’s.
B. Individuals shall engage in only those aspects of the professions that are within the scope of their professional practice and competence, considering their level of education, training, and experience.
C. Individuals shall engage in lifelong learning to maintain and enhance professional competence and performance.

D. Individuals shall not require or permit their professional staff to provide services or conduct research activities that exceed the staff member's competence, level of education, training, and experience.
E. Individuals shall ensure that all equipment used to provide services or to conduct research and scholarly activities is in proper working order and is properly calibrated.

A. Individuals shall not misrepresent their credentials, competence, education, training, experience, or scholarly or research contributions.
B. Individuals shall not participate in professional activities that constitute a conflict of interest.
C. Individuals shall refer those served professionally solely on the basis of the interest of those being referred and not on any personal interest, financial or otherwise.
D. Individuals shall not misrepresent research, diagnostic information, services rendered, results of services rendered, products dispensed, or the effects of products dispensed.

E. Individuals shall not defraud or engage in any scheme to defraud in connection with obtaining payment, reimbursement, or grants for services rendered, research conducted, or products dispensed.
F. Individuals' statements to the public shall provide accurate information about the nature and management of communication disorders, about the professions, about professional services, about products for sale, and about research and scholarly activities.

G. Individuals' statements to the public when advertising, announcing, and marketing their professional services; reporting research results; and promoting products shall adhere to professional standards and shall not contain misrepresentations.
A. Individuals shall uphold the dignity and autonomy of the professions, maintain harmonious interprofessional and intraprofessional relationships, and accept the professions' self-imposed standards.
B. Individuals shall prohibit anyone under their supervision from engaging in any practice that violates the Code of Ethics.
E. Individuals shall not engage in any other form of conduct that adversely reflects on the professions or on the individual's fitness to serve persons professionally.
F. Individuals shall not engage in sexual activities with clients, students, or research participants over whom they exercise professional authority or power.

G. Individuals shall assign credit only to those who have contributed to a publication, presentation, or product. Credit shall be assigned in proportion to the contribution and only with the contributor's consent.

C. Individuals shall not engage in dishonesty, fraud, deceit, or misrepresentation.
D. Individuals shall not engage in any form of unlawful harassment, including sexual harassment or power abuse.
H. Individuals shall reference the source when using other persons' ideas, research, presentations, or products in written, oral, or any other media presentation or summary.
I. Individuals' statements to colleagues about professional services, research results, and products shall adhere to prevailing professional standards and shall contain no misrepresentations.
J. Individuals shall not provide professional services without exercising independent professional judgment, regardless of referral source or prescription.
M. Individuals who have reason to believe that the Code of Ethics has been violated shall inform the Board of Ethics.
N. Individuals shall comply fully with the policies of the Board of Ethics in its consideration and adjudication of complaints of violations of the Code of Ethics.

K. Individuals shall not discriminate in their relationships with colleagues, students, and members of other professions and disciplines on the basis of race or ethnicity, gender, gender identity/gender expression, age, religion, national origin, sexual orientation, or disability.
L. Individuals shall not file or encourage others to file complaints that disregard or ignore facts that would disprove the allegation, nor should the Code of Ethics be used for personal reprisal, as a means of addressing personal animosity, or as a vehicle for retaliation.
Even Simpler Summary
1. Clients
2. Yourself
3. Public
4. Colleagues
Filing a Grievance
Filing a Complaint
The Complaint Form for Alleged Violation of the Code of Ethics [PDF] must be completely filled out and include the following:

a written statement of complaint (created using a word processing software application) that contains the information and facts on which the complaint is based;
any additional documents and evidence that corroborates and supports the allegations, if any;
if additional documentation contains confidential information such as client/patient/employment records, redact all identifying information (e.g., name, SSN, etc.) and replace it with a letter or number code, if necessary;
if a complaint containing the same allegations in this complaint was filed with another agency (e.g., state licensure board; academic institution; federal, state, or local official, etc.) attach copies of all related correspondence showing to whom it was submitted, date of filing, and whether/how the matter was resolved;
signature(s) of the individual(s) filing the complaint.
Follow Up
The Complainant will receive a letter acknowledging receipt of the complaint from the director of ethics. If the complaint is outside the BOE jurisdiction, or if the complaint does not have merit, it will be returned to the Complainant with a letter of explanation. If the complaint is within the BOE jurisdiction, the Complainant will receive a Waiver of Confidentiality Agreement that must be signed and returned to ASHA. This agreement will allow ASHA to provide a copy of the complaint and supporting documents to the Respondent for a response to the alleged violations.
The BOE meets three times per year, typically winter, summer, and during the ASHA Annual Convention each November. Depending on the complaint submission date, the BOE's meeting schedule, and whether the Respondent takes advantage of the appeals process available to him/her, 4–12 months may pass before the BOE reaches its final decision.

No information about the matter will be provided to Complainants before the BOE renders its final decision.
Full transcript