ASHA SLPA CERTIFICATION EXAM: STUDY GUIDE PART 1

Principle of Ethics I

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.

Principle of Ethics I, Rule A.

Individuals shall provide all clinical services and scientific activities competently.

Principle of Ethics I, Rule B.

Individuals shall use every resource, including referral and/or inter professional collaboration when appropriate, to ensure that quality service is provided.

Principle of Ethics I, Rule C.

Individuals shall not discriminate in the delivery of professional services or in the conduct of research and scholarly activities on the basis of race, ethnicity, sex, gender identity/gender expression, sexual orientation, age, religion, national origin, disability, culture, language, or dialect.

Principle of Ethics I, Rule D.

Individuals shall not misrepresent the credentials of aides, assistants, technicians, support personnel, students, research interns, Clinical Fellows, or any other under their supervision, and they shall inform those they serve professionally of the name, role, and professional credentials of persons providing services.

Principle of Ethics I, Rule E.

Individuals in administrative or supervisory roles shall not require or permit their professional staff to provide services or conduct research activities that exceed the staff member's certification status, competence, education, training, and experience.

Principle of Ethics I, Rule F.

Individuals who hold the Certificate of Clinical Competence shall NOT delegate tasks that require the unique skills, knowledge, judgement, or credentials that are within the scope of their profession to aides, assistants, technicians, support personnel, or any nonprofessionals over whom they have supervisory responsibility.

Principle of Ethics I, Rule G.

Individuals who hold the Certificate of Clinical Competence may delegate to students tasks related to the provision of clinical services that require the unique skills, knowledge, and judgment that are within the scope of practice of their profession only if those students are adequately prepared and are appropriately supervised. The responsibility for the welfare of those being served remains with the certified individual.

Principle of Ethics I, Rule H.

Individuals shall obtain informed consent by the persons they serve about the nature and possible risks and effects of services provided, technology employed, and products dispensed. This obligation also includes informing persons served about possible effects of not engaging in treatment or not following clinical recommendations. If diminished decision-making ability of persons served is suspected, individuals, should seek appropriate authorization from a spouse, other family member, or legally authorized/appointed representative.

Principle of Ethics I, Rule I.

Individuals shall enroll and include persons as participants in research or teaching demonstrations only if participation is voluntary, without coercion, and with informed consent.

Principle of Ethics I, Rule J.

Individuals shall accurately represent the intended purpose of a service, product, or research endeavor and shall abide by established guidelines for clinical practice and the responsible conduct of research.

Principle of Ethics I, Rule K.

Individuals who hold the Certificate of Clinical Competence shall evaluate the effectiveness of services provided, technology employed, and products dispensed, and they shall provide services or dispense products only when benefit can reasonably be expected.

Principle of Ethics I, Rule L.

Individuals may make a reasonable statement of prognosis, but they shall not guarantee - directly or by implication - the results of any treatment or procedure.

Principle of Ethics I, Rule M.

Individuals who hold the Certificate of Clinical Competence shall use independent and evidence-based clinical judgement, keeping paramount the best interests of those being served.

Principle of Ethics I, Rule N.

Individuals who hold the Certificate of Clinical Competence shall not provide clinical services solely by correspondence, but may provide services via tele practice consistent with professional standards and state and federal regulations.

Principle of Ethics I, Rule O.

Individuals shall protect the confidentiality and security of records of professional services provided, research and scholarly activities conducted, and products dispensed. Access to these records shall be allowed only when doing so in necessary to protect the welfare of the person or of the community, is legally authorized, or is otherwise required by law.

Principle of Ethics I, Rule P.

Individuals shall protect the confidentiality of any professional or personal information about persons served professionally or participants involved in research and scholarly activities and may disclose confidential information only when doing so is necessary to protect the welfare of the person or of the community, is legally authorized, or is otherwise required by law.

Principle of Ethics I, Rule Q.

Individuals shall maintain timely records and accurately record and bill for services provided and products dispensed and shall not misrepresent services provided, products dispensed, or research and scholarly activities conducted.

Principle of Ethics I, Rule R.

Individuals whose professional practice is adversely affected by substance abuse, addiction, or other health-related conditions are impaired practitioners and shall seek professional assistance and, where appropriate, withdraw from the affected areas of practice.

Principle of Ethics I, Rule S.

Individuals who have knowledge that a colleague is unable to provide professional services with reasonable skill and safety shall report this information to the appropriate authority, internally if a mechanism exists and, otherwise, externally.

Principle of Ethics I, Rule T.

Individuals shall provide reasonable notice and information about alternatives for obtaining care in the event that they can no longer provide professional services.

Principle of Ethics II, Rule A.

Individuals who hold the Certificate of Clinical Competence shall engage in only those aspects of the professions that are within the scope of their professional practice and competence, considering their certification status, education, training, and experience.

Principle of Ethics II, Rule B.

Members who do not hold the Certificate of Clinical Competence may NOT engage in the provision of clinical services; however, individuals who are in the certification application process may engage in the provision of clinical services consistent with current local and state laws and regulations and with ASHA certification requirements.

Principle of Ethics II, Rule C.

Individuals who engage in research shall comply with all institutional, state, and federal regulations that address any aspects of research, including those that involve human participants and animals.

Principle of Ethics II, Rule D.

Individuals shall enhance and refine their professional competence and expertise through engagement in lifelong learning applicable to their professional activities and skills.

Principle of Ethics II, Rule E.

Individuals in administrative or supervisory roles shall NOT require or permit their professional staff to provide services or conduct research activities that exceed the staff member's certification status, competence, education, training, and experience.

Principle of Ethics II, Rule F.

Individuals in administrative or supervisory roles shall NOT require or permit their professional staff to provide services or conduct clinical activities that compromise the staff member's independent and objective professional judgment.

Principle of Ethics II, Rule G.

Individuals shall make use of technology and instrumentation consistent with accepted professional guidelines in their areas of practice. When such technology is not available, an appropriate referral may be made.

Principle of Ethics II, Rule H.

Individuals shall ensure that all technology and instrumentation used to provide services or to conduct research and scholarly activities are in proper working order and are properly calibrated.

Principle of Ethics III

Individuals shall honor their responsibility to the public when advocating for the unmet communication and swallowing needs of the public and shall provide accurate information involving any aspect of the professions.

Principle of Ethics III, Rule A.

Individuals shall NOT misrepresent their credentials, competence, education, training, experience, and scholarly contributions.

Principle of Ethics III, Rule B.

Individuals shall avoid engaging in conflicts of interest whereby personal, financial, or other considerations have the potential to influence or compromise professional judgment and objectivity.

Principle of Ethics III, Rule C.

Individuals shall not misrepresent research and scholarly activities, diagnostic information, services provided, results of services provided, products dispensed, or the effects of products dispensed.

Principle of Ethics III, Rule D.

Individuals shall NOT defraud through intent, ignorance, or negligence or engage in any scheme to defraud in connection with obtaining payment, reimbursement, or grants and contracts for services provided, research conducted or products dispensed.

Principle of Ethics III, Rule E.

Individuals' statements to the public shall provide accurate and complete 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.

Principle of Ethics III, Rule F.

Individuals' statements to the public shall adhere to prevailing professional norms and shall not contain misrepresentations when advertising, announcing, and promoting their professional services and products and when reporting research results.

Principle of Ethics III, Rule G.

Individuals shall NOT knowingly make false financial or non financial statements and shall complete all materials honestly and without omission.

Principle of Ethics IV

Individuals shall uphold the dignity and autonomy of the professions, maintain collaborative and harmonious interprofessional and intraprofessional relationships, and accept the professions' self-imposed standards.

Principle of Ethics IV, Rule A.

Individuals shall work collaboratively, when appropriate, with members of one's own profession and/or members of other professions to deliver the highest quality of care.

Principle of Ethics IV, Rule B.

Individuals shall exercise independent professional judgment in recommending and providing professional services when an administrative mandate, referral source, or prescription prevents keeping the welfare of persons served paramount.

Principle of Ethics IV, Rule C.

Individuals' statements to colleagues about professional services, research results, and products shall adhere to prevailing professional standards and shall contain no misrepresentations.

Principle of Ethics IV, Rule D.

Individuals shall NOT engage in any form of conduct that adversely reflects on the professions or on the individual's fitness to serve persons professionally.

Principle of Ethics IV, Rule E.

Individuals shall NOT engage in dishonesty, negligence, fraud, deceit, or misrepresentation.

Principle of Ethics IV, Rule F.

Applicants for certification or membership, and individuals making disclosures, shall not knowingly make false statements and shall complete all complete all application and disclosure materials honestly and without omission.

Principle of Ethics IV, Rule G.

Individuals shall NOT engage in any form of harassment, power abuse, or sexual harassment.

Principle of Ethics IV, Rule H.

Individuals shall NOT engage in sexual activities with individuals (other than a spouse or other individual with whom a prior consensual relationship exists) over whom they exercise professional authority or power, including persons receiving services, assistants, students, or research participants.

Principle of Ethics IV, Rule I.

Individuals shall not knowingly allow anyone under their supervision to engage in any practice that violates the Code of Ethics.

Principle of Ethics IV, Rule J.

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

Principle of Ethics IV, Rule K.

Individuals shall reference the source when using other persons' ideas, research, presentations, results, or products in written, oral, or any other media presentation or summary. To do otherwise constitutes plagiarism.

Principle of Ethics IV, Rule L.

Individuals shall NOT discriminate in their relationships with colleagues, assistants, students, support personnel, and members of other professions and disciplines on the basis of race, ethnicity, sex, gender identity/gender expression, sexual orientation, age, religion, national origin, disability, culture, language, dialect, or socioeconomic statues.

Principle of Ethics IV, Rule M.

Individuals with evidence that the Code of Ethics may have been violated have the responsibility to work collaboratively to resolve the situation where possible or to inform the Board of Ethics through its established procedures.

Principle of Ethics IV, Rule N.

Individuals shall report members of the other professions who they know have violated standards of care to the appropriate professional licensing authority or board, other professional regulatory body, or professional association when such violation compromises the welfare of persons served and/or research participants.

Principle of Ethics IV, Rule O.

Individuals shall not file or encourage other to file complaints that disregard or ignore facts that would disprove the allegation; the Code of Ethics shall NOT be used for personal reprisal, as a means of addressing personal animosity, or as a vehicle for retaliation.

Principle of Ethics IV, Rule P.

Individuals making and responding to complaints shall comply fully with the policies of the Board of Ethics in its consideration, adjudication, and resolution of complaints of alleged violations of the Code of Ethics.

Principle of Ethics IV, Rule Q.

Individuals involved in ethics complaints shall not knowingly make false statements of fact or withhold relevant facts necessary to fairly adjudicate the complaints.

Principle of Ethics IV, Rule R.

Individuals shall comply with local, state, and federal laws and regulations applicable to professional practice, research ethics, and the responsible conduct of research.

Principle of Ethics IV, Rule S.

Individuals who have been convicted; been found guilty; or entered a plea of guilty or nolo contendere to (1) any misdemeanor involving dishonesty, physical harm - or the threat of physical harm - to the person or property of another, or (2) any felony, shall self-report by notifying ASHA Standards and Ethics in writing within 30 days of the conviction, plea, or finding of guilt. Individuals shall also provide a certified copy of the conviction, plea, nolo contendere record, or docket entry to ASHA Standards and Ethics within 30 days of self-reporting.

Principle of Ethics IV, Rule T.

Individuals who have been publicly sanctioned or denied a license or a professional credential by any professional association, professional licensing authority or board, or other professional regulatory body shall self-report by notifying ASHA Standards and Ethics in writing within 30 days of the final action, sanction, or disposition to ASHA Standards and Ethics within 30 days of self-reporting.

The SLP takes overall responsibility for

the actions of the assistants when they are performing assigned duties.

If the assistant engages in activities that violate the Code,

the supervising professional may be found in violation of the Code if adequate oversight has not been provided.

It is the responsibility of ASHA members and certificate holders to ensure that support personnel under their supervision behave in an ethical manner, which includes:

not engaging in activities outside their education, level of training, experience, and competence.

The activities of the ASHA-certified SLP in supervising support personnel may take several forms, including:

direct supervision, onsite supervision, in-view observation and guidance, and indirect supervision that does not require the SLP to be present/available (either physically or via telecommunication in real time) while the SLPA is providing services.

Indirect supervisory activities may include:

review of treatment plans and timely implementation of modifications, demonstration tapes, record review, review and evaluation of audio- or videotaped sessions, review of data collected, informal documentation, supervisory conferences that may be conducted by telephone and/or live, training, and performance appraisal.

The amount of supervision for any one paraprofessional is determined by,

the training and experience of both the SLPA and the certified individual as well as by the specific job tasks and any state or federal laws or regulations pertaining to such activity.

The number of assistants, aides, or technicians supervised by a professional MUST allow

supervision that is appropriate in both quantity and quality.

SLPAs may NOT independently

diagnose, treat, or advise clients of disposition.

SLPAs may perform speech and language services

in support of an ASHA-certified SLP when the specific tasks are within their repertoire of training, experience, and competence and when the tasks are supervised by an ASHA-certified SLP.

The ASHA-certified SLP

maintains ethical and legal responsibility for the work performed and its outcome.

ASHA's policy for the use of SLPAs

does not supersede federal legislation and regulation requirements or any existing state licensure laws, nor does it affect the interpretation or implementation of such laws.

An SLPA MUST complete

an approved course of academic study, fieldwork under the supervision of an ASHA-certified/or licensed SLP, and on the job training to specific to the SLPA responsibilities and workplace behaviors.

Tasks performed by SLPAs

differ widely and may be limited to preparation materials, checking the condition of equipment or programming, and providing instruction in the use of augmentative and alternative communication devices.

Tasks performed by SLPAs may also include

assisting the SLP during assessment of students, patients, and clients, exclusive of administration and/or interpretation; following documented treatment plans or protocols that are designed and supervised by an ASHA-certified SLP; compilation of data regarding client/patient/student performance; and assistance with research protocols.

SLPAs go by a variety of job titles including:

SLPA, communication aide, paraprofessional, speech aide, technician, and therapy assistant.

Some tasks, procedures, or activities used to treat individuals with communication and related disorders can be performed successfully by individuals other than SLPs if the persons conducting the activity are properly trained. TRUE OR FALSE

TRUE

It is imperative that an ASHA-certified and/or licensed SLP appropriately supervise the SLPA because

the supervising SLP retains full legal and ethical responsibility for students, patients, and clients served by the SLPA

It is imperative that the professional with ASHA certification (and or state licensure) ensures that

(a) the appropriateness of client and task assignments is commensurate with level of training and experience,

(b) there is adherence to and accountability of recognized standards of supervisory practices, and

(c) SLPAs are appropriately identified to consumers, employers, colleagues, and regulatory agencies.

The three principles underlying the Code of Conduct are in the following areas:

(1) responsibility to persons served professionally,

(2) responsibility to the public, and

(3) responsibility for professional relationships

Principle of Conduct I

Assistants shall honor their responsibility to hold paramount the welfare of persons they serve professionally.

Principle of Conduct I, Fundamental A.

Assistants shall engage ONLY in those activities delegated by the supervising audiologist or speech-language pathologist and permitted by local, state, or federal regulations.

Principle of Conduct I, Fundamental B.

Assistants who hold the C-AA or C-SLPA shall engage in only those work areas that are within the scope of their competence, considering their certification status, education, training, and experience.

Principle of Conduct I, Fundamental C.

Assistants shall NOT discriminate in the delivery of their services on the basis of the following characteristics, which include but are not limited to: age, disability, ethnicity,

Principle of Conduct I, Fundamental D.

Assistants shall accurately represent the intended purpose of a service or product and shall abide by established guidelines for the clinical practice of assistants.

Principle of Conduct I, Fundamental E.

Assistants shall protect the confidentiality and security of records of professional services provided and products dispensed as directed by the supervising audiologist or speech-language pathologist. In consultation with the supervising audiologist or speech-language pathologist, access to these records shall be allowed only when doing so is necessary to protect the welfare of the person or of the community, is legally authorized, or is otherwise required by law.

Principle of Conduct I, Fundamental F.

Assistants shall maintain timely and accurate records about services provided and products dispensed as directed by the supervising audiologist or speech-language pathologist.

Principle of Conduct I, Fundamental G.

Assistants whose practice is adversely affected by substance abuse, addiction, or other health-related conditions shall seek professional assistance and, where appropriate, withdraw from the affected areas of practice.

Principle of Conduct I, Fundamental H.

Assistants who have knowledge that a colleague is unable to provide professional services with reasonable skill and safety shall report this information to the appropriate authority, internally if a mechanism exists and, otherwise, externally.

Principle of Conduct I, Fundamental I.

Assistants shall provide reasonable notice to the supervising audiologist or speech-language pathologist in the event that they can no longer provide clinical services.

Principle of Conduct I, Fundamental J.

Assistants shall enhance and refine their professional competence and expertise through engagement in lifelong learning applicable to their professional activities and skills.

Principle of Conduct I, Fundamental K.

Assistants shall make use of technology and instrumentation consistent with accepted professional guidelines in their areas of practice under the direction of the supervising audiologist or speech-language pathologist.

Principle of Conduct I, Fundamental L.

Assistants shall NOT misrepresent their credentials and shall FULLY inform those they serve of their role and the role and professional credentials of their supervising audiologist or speech-language pathologist.

Principle of Conduct II

Individuals shall honor their responsibility to the public by proving accurate information in all communications and by providing services with honesty, integrity, and compassion.

Principle of Conduct II, Fundamental A.

Assistants shall NOT misrepresent services provided.

Principle of Conduct II, Fundamental B.

Assistants shall NOT defraud, or participate in fraud, through intent, ignorance, or negligence or engage in any scheme to defraud in connection with obtaining payment, reimbursement, or grants and contracts for services provided, research conducted, or products dispensed.

Principle of Conduct II, Fundamental C.

Assistants statements to the public shall NOT contain misrepresentations when advertising, announcing, and promoting their services.

Principle of Conduct II, Fundamental D.

Assistants shall NOT knowingly make false financial or non financial statements and shall complete all materials honestly and without omission.

Principle of Conduct II, Fundamental E.

Assistants shall NOT engage in dishonesty, negligence, fraud, deceit, or misrepresentation.

Principle of Conduct II, Fundamental F.

Assistants shall avoid engaging in conflicts of interest whereby personal, financial, or other considerations have the potential to influence or compromise judgement and objectivity.

Principle of Conduct III

Assistants shall maintain collaborative and harmonious interprofessional and intraprofessional relationships.

Principle of Conduct III, Fundamental A.

Assistants shall work collaboratively with audiologists and speech-language pathologists and/or members of other professions to deliver the highest quality of care.

Principle of Conduct III, Fundamental B.

Assistants shall NOT engage in any form of conduct that adversely reflects on assistants or on the assistant's fitness to provide services.