How ASHA's Board of Ethics (BOE) Sanctions Individuals Who Violate the ASHA Codes
Individuals who are found in violation of ASHA's Code of Ethics or Assistants Code of Conduct (collectively, the "Codes") receive sanctions from the BOE for unethical conduct.
Purpose of Sanctions
There are three main goals to sanctioning individuals for unethical conduct:
1. To protect the public.
The welfare of the consumer and the reputation and integrity of the professions must be protected. A certification body has the responsibility of notifying the public and the professions when an individual under their jurisdiction has substantively violated their standards of ethical behavior.
2. To serve as a mechanism to educate and rehabilitate.
It is important to provide feedback to individuals who violate one of the Codes so that (a) they understand and appreciate exactly how their past conduct was inappropriate, and (b) it will be less likely to occur again in the future. These measures serve a rehabilitation function.
3. To inform other ASHA members and certificate holders that the Association enforces its ethical standards and alerts them that there are consequences for engaging in professional misconduct.
The BOE publishes decisions issued against ASHA members and/or certificate holders in the online version of The ASHA Leader to inform membership of their ongoing ethical responsibilities.
Types of Sanctions Imposed by the BOE
The BOE has a range of sanctions it can impose when individuals are found in violation of the Codes; generally, the more egregious the misconduct, the harsher the sanction.
Written Warning
The sanction of Written Warning is a notice to the Respondent with limited disclosure notifying them that their conduct has violated one of the Codes and should not be continued or repeated.
Reprimand
The sanction of Reprimand is a formal admonishment with limited disclosure. A Reprimand is confidential and imposed in cases where unethical conduct is of a minor nature. It is disclosed only to the person found in violation and to the individual who originally filed the complaint (Complainant). Any further unauthorized disclosure of the sanction of Reprimand is, itself, a violation of the Codes.
Censure
The sanction of Censure is a public rebuke or condemnation with broad disclosure. The violation is published in The ASHA Leader to the full membership in a manner that identifies the individual in violation, their city/state of residence, and the Codes violated. When a sanction of Censure is imposed, notice of the ethics violation may also be sent to, among others, any state agency that provides a license to the individual and to any other professional organization the individual is a member of that enforces a code of ethics or code of professional conduct.
Suspension of Membership and/or Certification
The BOE can impose the public sanction of Suspension of ASHA membership and certification in lieu of Revocation. The sanction is usually intended to be employed for short periods of time (e.g., 6 months). A major difference between Revocation and Suspension is that during the period of suspension, the sanctioned member must pay all dues and fees as well as fulfill certification maintenance requirements. At the end of the period of suspension, the sanctioned member must directly contact ASHA Certification to find out how to become current again; approval of the BOE is not required.
Revocation of Membership and/or Certification
For cases of egregious misconduct, the BOE can revoke the individual's ASHA membership and certification for a period of years, up to life. The public sanction of Revocation requires a two-thirds vote of the members of the BOE present and voting. Notice of this sanction to the ASHA membership and other entities is the same as with the sanction of Censure.
After the period of revocation has expired, in order for the individual to seek reinstatement of ASHA membership and/or certification a petition must be made to the BOE, and the BOE must approve reinstatement by a two-thirds vote. In petitioning for reinstatement, the individual has the burden of demonstrating that conditions that led to the revocation have been rectified and that, upon reinstatement, the individual will abide by the ASHA code applicable to them. The individual must also satisfy all certification standards and procedures of the Council for Clinical Certification in Audiology and Speech-Language Pathology (CFCC) and/or membership requirements that are in effect at the time of the Reinstatement Order.
Withholding of Membership and/or Certification
The BOE can impose the public sanction of Withholding of ASHA membership and certification in cases where an applicant for membership and/or certification, or a Clinical Fellow who is a member in the application process but is not yet certified, is found in violation of misconduct. Additionally, withholding can also be used in situations where an individual is no longer an ASHA certificate holder or member. The BOE cannot revoke what the applicant does not have, but it can impose the sanction of Withholding of membership and/or certification for a period of years up to life.
After the period of withholding has expired, in order for the individual to seek reinstatement of ASHA membership and/or certification a petition must be made to the BOE, and the BOE must approve reinstatement by a two-thirds vote. In petitioning for reinstatement, the individual has the burden of demonstrating that conditions that led to the revocation have been rectified and that, upon reinstatement, the individual will abide by the code applicable to them. The individual must also satisfy all certification standards and procedures of the CFCC and/or membership requirements that are in effect at the time of the Reinstatement Order.
Cease and Desist Orders and Probation
A Cease and Desist Order directs a Respondent to stop engaging in a particular course of unethical conduct. This order is typically used in connection with another sanction.
Probation is a period of oversight during which the Respondent is required to adhere to certain conditions and/or meet certain requirements. Probation is typically used in connection with another sanction.
As part of its determination, the BOE may place a person on probation or may order that the Respondent cease and desist from any practice found to be a violation of the Codes. Failure to comply with probation requirements or with a Cease and Desist Order is, itself, a violation of the Codes; such noncompliance shall normally result in further disciplinary action against the Respondent. The BOE may require the Respondent to attest in writing that they have complied with probation requirements or with a Cease and Desist Order.
