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Sunday, 16 January 2005 |
The preservation of the highest standards of integrity and ethical principles is vital to the responsible discharge of obligations by Speech-Language Pathologists, Audiologists, and Speech, Language, and Hearing Scientists. This Code of Ethics sets forth the fundamental principles and rules considered essential to this purpose.
Every individual who is (a) a member of the Arizona Speech-Language-Hearing Association, whether certified or not, or (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.
Any violation of the spirit and purpose of this Code shall be considered unethical. Failure to specify any particular responsibility or practice in this Code of Ethics shall not be construed as denial of the existence of other responsibilities or practices.
The fundamentals of ethical conduct are described by Principles of Ethics and by Rules of Ethics as they relate to the conduct of research and scholarly activities and responsibility to persons served, to the public, and speech-language pathologists, audiologists, and speech, language, and hearing scientists.
Principles of Ethics, aspirational and inspirational in nature, form the underlying moral basis for the Code of Ethics. Individuals shall observe these principles as affirmative obligations under all conditions of professional activity.
Rules of Ethics are specific statements of minimally acceptable professional conduct or of prohibitions and are applicable to all individuals.
PRINCIPLE OF ETHICS I: Individuals shall honor their responsibility to hold paramount the welfare of persons they serve professionally or participants in research and scholarly activities and shall treat animals involved in research in a human manner. A. Individuals shall provide all services competently.
B. Individuals shall use every resource, including referral when appropriate, to ensure that high quality service is provided.
C. Individuals shall not discriminate in the delivery of professional services or the conduct of research and scholarly activities on the basis of race or ethnicity, gender, age, religion, national origin, sexual orientation, or disability.
D. Individuals shall not misrepresent the credentials of assistants, technicians, or support personnel and shall inform those they serve professionally of the name and professional credentials of persons providing services.
E. Individuals who hold the Certificates of Clinical Competence shall not delegate tasks that require the unique skills, knowledge, and judgment that are within the scope of their profession to assistants, technicians, support personnel, students, or any nonprofessionals over whom they have supervisory responsibility. An individual may delegate support services to assistants, technicians, support personnel, students, or any other persons only if those services are adequately supervised by an individual who holds the appropriate Certificate of Clinical Competence.
F. Individuals shall fully inform the persons they serve of the nature and possible effects of services rendered and products dispensed, and they shall inform participants in research about the possible effects of their participation in research conducted.
G. Individuals shall evaluate the effectiveness of services rendered and of products dispensed and shall provide services or dispense products only when benefit can reasonably be expected.
H. Individuals shall not guarantee the results of any treatment or procedure, directly or by implication; however, they may make a reasonable statement of prognosis.
I. Individuals shall not provide clinical services solely by correspondence.
J. Individuals may practice by telecommunication (for example, telehealth/e-health), where not prohibited by law.
K. Individuals shall adequately maintain and appropriately secure records of professional services rendered, research and scholarly activities conducted, and products dispensed and shall allow access to these records only when authorized or when required by law.
L. Individuals shall not reveal, without authorization, any professional or personal information about identified persons served professionally, or identified participants involved in research and scholarly activities, unless required by law to do so, or unless doing so is necessary to protect the welfare of the person or of the community or otherwise required by law.
M. Individuals shall not charge for services not rendered, nor shall they misrepresent,* in any fashion, services rendered or products dispensed.
N. Individuals shall use persons in research or as subjects of teaching demonstrations only with their informed consent.
O. 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. PRINCIPLE OF ETHICS II: Individuals shall honor their responsibility to achieve and maintain the highest level of professional competence.
Rules of Ethics A. Individuals shall engage in the provision of clinical services only when they hold the appropriate Certificate of Clinical Competence or when they are in the certification process and are supervised by an individual who holds the appropriate Certificate of Clinical Competence.
B. Individuals shall engage in only those aspects of the professions that are within the scope of their competence, considering their level of education, training, and experience.
C. Individuals shall continue their professional development throughout their careers.
D. Individuals shall delegate the provision of clinical services only to: (1) persons who hold the appropriate Certificate of Clinical Competence; (2) persons in the education or certification process who are appropriately supervised by an individual who holds the appropriate Certificate of Clinical Competence; or (3) assistants, technicians, or support personnel who are adequately supervised by an individual who holds the appropriate Certificate of Clinical Competence.
E. 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.
F. Individuals shall ensure that all equipment used in the provision of services or to conduct research and scholarly activities is in proper working order and is properly calibrated. PRINCIPLE OF ETHICS III: 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 dissemination of research findings and scholarly activities.
Rules of Ethics 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 financial interest.
D. Individuals shall not misrepresent diagnostic information, research, services rendered, or products dispensed neither shall they engage in any scheme to defraud in connection with obtaining payment or reimbursement for such services or products.
E. Individuals' statements to the public shall provide accurate information about the nature and management of communicative disorders, about the professions, and about professional services, and about research and scholarly activities.
F. Individuals' statements to the public--advertising, announcing, and marketing their professional services, reporting research results, and promoting products--shall adhere to prevailing professional standards and shall not contain misrepresentations. PRINCIPLE OF ETHICS IV: Individuals shall honor their responsibilities to the professions and their relationships with colleagues, students, and members of allied professions. Individuals shall uphold the dignity and autonomy of the professions, maintain harmonious interprofessional and intraprofessional relationships, and accept the professions' self-imposed standards.
Rules of Ethics A. Individuals shall prohibit anyone under their supervision from engaging in any practice that violates the Code of Ethics.
B. Individuals shall not engage in dishonesty, fraud, deceit, misrepresentation, sexual harassment, or any form of conduct that adversely reflects on the professions or on the individual's fitness to serve persons professionally.
C. Individuals shall not engage in sexual activity with clients or students over whom they exercise professional authority.
D. 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.
E. Individuals shall reference the source when using other persons' ideas, research, presentations, or products in written, oral, or any other media presentation or summary.
F. Individuals' statements to colleagues about professional services, research results, and products shall adhere to prevailing professional standards and shall contain no misrepresentations.
G. Individuals shall not provide professional services without exercising independent professional judgment, regardless of referral source or prescription.
H. Individuals shall not discriminate in their relationships with colleagues, students and members of allied professions on the basis of race or ethnicity, gender, age, religion, national origin, sexual orientation, or disability.
I. Individuals who have reason to believe that the Code of Ethics has been violated shall inform the Board of Ethics.
J. 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.
* For purposes of this Code of Ethics, misrepresentation includes any untrue statements or statements that are likely to mislead. Misrepresentation also includes the failure to state any information that is material and that ought, in fairness, to be considered.
ETHICAL PRACTICE COMMITTEE
STATEMENT OF PRACTICES AND PROCEDURES
Effective April 24, 1990
The Ethical Practice Committee (EPC) is charged by the By-Laws of the Arizona Speech-Language-Hearing Association with the responsibility to interpret, administer, and enforce the Code of Ethics of the Association. Accordingly, the EPC hereby adopts the following practices and procedures to be followed in administering and enforcing that Code. A fundamental precept that guides the EPC in the discharge of its responsibility is that an effective Code of Ethics requires an orderly and fair administration and enforcement of its terms and requires full compliance by all members of the Association. The EPC recognizes that each case must be judged on an individual basis, and that no two cases are likely to be identical. Thus, the EPC has the responsibility to exercise its judgment on the merits of each case and on its interpretation of the Code.
A. Definition of Terms
1. EPC: Ethical Practice Committee
2. Association: Arizona Speech-Language-Hearing Association
3. Code: Code of Ethics of the Association
4. Certificate(s): Certificate(s) of Clinical Competence
5. Respondent: The alleged offender
6. Complainant(s): The person(s) alleging that a violation occurred
7. Initial Determination: Initial Determination by the EPC subject to Further Consideration and appeal, of the (a) finding, (b) proposed sanction, and (c) extent of disclosure.
8. Sanction(s): Penalties imposed by the EPC
9. Disclosure: Announcement of the final EPC Decision to other than Respondent
10. Further Consideration: Further Consideration by the EPC of its Initial Determination
11. EPC Decision: Final decision of the EPC after: (1) Further Consideration; or (2) 30 days from the date of notice of the initial Determination by the EPC if no request for Further Consideration is received.
12. Appeal: Written request from Respondent to EPC alleging error in the EPC Decision and asking that it be reversed in whole or in part by the Executive Board.
B. Investigative Procedures
1. Alleged violations shall be reviewed by the EPC Chair in such manner as the EPC Chair may, in its discretion, deem necessary and proper. If, after review, the EPC Chair elects to investigate the allegation, the EPC Chair shall notify Respondent of the alleged offense in writing and shall advise Respondent that Respondent's answer to the allegation shall be in writing and must be received by the EPC no later than 45 days after the date of the EPC notice to Respondent. Voluntary resignation of membership shall not preclude the EPC from continuing to process the alleged violation to conclusion, and the notice from the EPC to Respondent requesting an answer shall so advise Respondent.
2. At the discretion of the EPC the Membership Chair may be informed that Respondent is under investigation by the EPC for alleged violation of the Code and may be instructed that no change in membership shall be permitted without approval of the EPC.
3. The EPC shall consider all information secured from its investigation, including Respondent's answer to the allegation, and shall base its Initial Determination on that information.
4. If the EPC finds that there is not sufficient evidence to warrant further proceedings, Respondent and Complainant(s) shall be so advised and the investigation shall be terminated.
5. If the EPC finds that there is sufficient evidence to warrant further proceedings, the EPC shall make an Initial Determination, which includes (a) the finding of violation, (b) the proposed sanction, and (c) the proposed extent of disclosure. In this regard, the final decision of any State, Federal, regulatory, or judicial body may be considered sufficient evidence that the Code was violated.
6. The EPC may, as part of its Initial Determination, order that the Respondent cease and desist from any practice found to be a violation of the Code. Failure to comply with such a Cease and Desist Order is, itself, a violation of the Code, and shall normally result in Revocation of Membership.
7. The EPC shall give Respondent notice of its Initial Determination. The notice shall also advise Respondent of the right to request Further Consideration by the EPC and of the right, after Further Consideration, to request an appeal to the Executive Board. The procedures are to be followed in exercising those rights are described in Sections F and G of this statement.
C. Notices and Answers
All notices and answers shall be in writing and considered to be given or furnished (1) to Respondent when sent--Certified Mail, Addressee Only, Return Receipt Requested--to the address then listed in the ArSHA membership records, and (2) to the EPC when received by the EPC.
D. Sanctions
Sanctions shall consist of one or more of the following: Reprimand; Censure; recommend Withhold, Suspend, or Revoke Membership to Executive Board or other measures determined by the EPC at its discretion.
E. Disclosure
1. The EPC Decision, upon becoming final, shall be published in the ArSHA Newsletter unless the sanction is Reprimand. In the case of Reprimand, the EPC Decision normally shall be disclosed only to Respondent, Respondent's counsel, Complainant(s), witnesses at the EPC. Further Consideration Hearing, staff and Association counsel, each of whom shall be advised that the decision is strictly confidential and that any breach of that confidentiality by any party who is a member of the Association is, itself, a violation of the Code.
2. In appropriate cases, including when the sanction is Reprimand, the EPC may also determine that its Decision shall be disclosed to aggrieved parties and/or other appropriate individuals, bodies, or agencies.
F. Further Consideration by the EPC of the Initial Determination
1. When the notice of Initial Determination from the EPC states that Respondent has violated the Code and announces a proposed sanction and extent of disclosure, Respondent may request that the EPC give Further Consideration to the Initial Determination.
2. Respondent's request for Further Consideration shall be in writing and must be received by the EPC Chair no later than 30 days after the date of notice of Initial Determination. The request for Further Consideration must specify in what respects the Initial Determination was allegedly wrong and why. In the absence of a timely request for Further Consideration, the initial determination shall be the EPC Decision, which decision shall be final; there shall be no further right of appeal to the Executive Board.
3. If Respondent submits a timely request for Further Consideration by the EPC, the EPC shall schedule a hearing and notify Respondent. At the hearing, Respondent shall be entitled to submit a written brief or to appear personally to present evidence and to be accompanied by counsel. The proceeding shall be informal; strict adherence to the rules of evidence shall not be observed, but all evidence shall be accorded such weight as it deserves. As an alternative to personal appearance at the hearing, the EPC shall afford Respondent the opportunity to make a presentation to the EPC and to respond to questions from the EPC via a conference telephone call placed to Respondent by the EPC. All personal costs in connection with the Further Consideration hearing, including travel and lodging costs incurred by Respondent, Respondent's counsel and witnesses, and counsel and other fees, shall be Respondent's sole responsibility. The hearing shall be transcribed in full, and upon request, a copy of the transcript shall be made available to Respondent at Respondent's sole expense.
4. After the Further Consideration hearing, the EPC shall render its decision and notify Respondent. If evidence presented at the hearing warrants, the EPC may modify the finding, increase or decrease the severity of the sanction, and/or modify the extent of disclosure that was announced to Respondent in the notice of Initial Determination. The decision shall be the EPC decision, and in the absence of a timely appeal to the Executive Board, the EPC Decision shall be final.
G. Appeal of EPC Decision to Executive Board
1. Respondent may appeal the EPC Decision to the Executive Board when that decision requires revocation of membership or when the decision requires disclosure of the sanction in the ArSHA Newsletter. The request for appeal shall be in writing and must be received by the EPC Chair no later than 30 days after the date of notice of the EPC Decision. The request for appeal shall specify in what respects the EPC Decision was allegedly wrong and why.
2. The procedures for a hearing before the Executive Board are described in the Executive Board Statement of Practices and Procedures for Appeals of Decisions of the Ethical Practice Committee.
H. Reinstatement
Persons whose membership of certification has been revoked may, upon application therefore, be reinstated after one year upon a two-thirds vote of the Executive Board. The applicant bears the burden of demonstrating the reason(s) for revocation no longer exist and that, upon reinstatement, applicant will abide by the Code.
I. Amendment
This Statement of Practices and Procedures may be amended upon recommendation of the EPC and a vote of the Executive Board. All such changes will be given appropriate publicity.
J. Appointments to EPC
The Ethical Practice Chair will appoint a standing committee to serve in an advisory capacity on matters of ethical practice. All final determinations are the responsibility of the EPC Chair.
K. EPC Practices and Procedures
Respondents and Complainants will receive a copy of the Ethical Practice Committee Statement of Practices and Procedures and a copy of the Executive Board Practices and Procedures for Appeals of Decisions of the Ethical Practice Committee.
To file a complaint concerning the ethical conduct of an ArSHA member or Certificate Holder with the Ethical Practice Committee:
Submit a letter describing your concerns to:
Chair, Ethical Practice Committee
ArSHA
7622 N. 48th Drive
Glendale, Arizona 85301 Be sure to sign your letter and write CONFIDENTIAL on the envelope.
Executive Board Practices and Procedures for Appeals of
Decision of the Ethical Practice Committee
Effective 24 April 1990
The Executive Board (EB) hereby adopts this procedure, governing an appeal from a Decision of the Ethical Practice Committee (EPC).
Appeals to the Executive Board are only permitted from EPC Decisions following an EPC Further Consideration Hearing.
Such appeal shall be heard by an EB Appeals Panel consisting of three EB members appointed by the EB Chair.
The EB Appeals Panel shall give written notice to the appellant and the EPC of the time and place of the hearing. Said notice shall be given at least 30 days in advance of the hearing, by certified mail, return receipt requested, and shall advise of the right to counsel, of the right to submit in advance a written brief, of the right to oral argument at the hearing either in person or by conference call. The notice shall also advise that the Executive Board Appeals Panel will not consider any evidence except that which was presented at the Further Consideration Hearing before the EPC. The Executive Board Appeals Panel shall render its decision promptly after the hearing and shall state it in writing.
All costs in connection with appeal, including travel and lodging costs incurred by appellant and appellant's counsel (and witnesses), and other fees shall be in appellant's sole responsibility.
Said decision shall be final and shall be subject to normal or Special Publication as determined by the Executive Board Appeals Panel.
This procedure may be amended by a two-thirds vote of the Executive Board.
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