Issues in Ethics: Ethical Reporting

• About This Document
• Issues in Ethics Statements: Definition
• Introduction
• Guidance
• Summary

About This Document

Published 2024. This Issues in Ethics statement was originally published in 2020 and has been updated to make any references to the Code of Ethics consistent with the Code of Ethics (2023) (hereinafter, "Code of Ethics"). The Board of Ethics (hereinafter, the "BOE") reviews Issues in Ethics statements periodically to ensure that they reflect current practices and the current Code of Ethics.

Issues in Ethics Statements: Definition

From time to time, the BOE determines that members and certificate holders can benefit from additional analysis and instruction concerning a specific issue of ethical conduct. Issues in Ethics statements are intended to heighten sensitivity and increase awareness. They are illustrative of the Code of Ethics and are intended to promote thoughtful consideration of ethical issues. They may assist members and certificate holders in engaging in self-guided ethical decision making. These statements do not absolutely prohibit or require specified activity. The facts and circumstances surrounding a matter of concern will determine whether the activity is ethical.

Introduction

Ethical reporting is a process of transparency. Foundational to proper, professional, and ethical conduct is the intent to be honest, accurate, and complete when providing required information. Many clinical, research, and teaching scenarios can potentially foster a natural tension between professional obligation and personal preference/gain. In reporting, both intentional and unintentional misrepresentations, as well as conflicts of interest, may create ethical violations. Adherence to professional obligations and standards in the Code of Ethics is essential to minimize a possible ethical violation.

Reporting ethically requires you to proactively and deliberately provide honest and complete information in all areas of professional practice (e.g., credentials, services, relationships, payments, and advertising).

Self-reporting is a special case of reporting in which you must disclose criminal convictions or receipt of professional discipline to the ASHA Ethics Office.

The Code of Ethics fully addresses ethical reporting. Specific rules in Principles I, III, and IV address professional conduct regarding one's responsibility to the public served and adherence to professional standards.

Guidance

Code of Ethics Provisions Related to Reporting

Ethical reporting is the responsibility of ASHA-certified audiologists and speech-language pathologists; speech, language, and hearing scientists who are ASHA members; ASHA members who are not certified; and applicants for ASHA certification as well as applicants for certification and membership.

The need for, and importance of, ethical reporting is reflected by the number of Code of Ethics Principles and Rules on this subject. It is the responsibility of individuals under the Code of Ethics's jurisdiction to report honestly, accurately, and completely.

• Report credentials appropriately. (Principle I, Rule D; Principle III, Rule A)
• Accurately report and represent the intended purpose of services, products, or research endeavors. (Principle I, Rule J)
• Report reasonable statements of prognosis when providing services. (Principle I, Rule M)
• Accurately report and record services provided, products dispensed, or research/scholarly activities conducted. (Principle I, Rule Q)
• Appropriately report education, training, experience, and scholarly contributions. (Principle III, Rule A)
• Truthfully report diagnostic information, services provided, results of services provided, products dispensed, the effects of products dispensed, and research and scholarly activities. (Principle III, Rule C; Principle IV, Rule C)
• Correctly report payment and reimbursement for services provided, research conducted, products dispensed, and grants. (Principle III, Rule D)
• Report accurate and complete information about the nature and management of communication disorders, the professions, professional services, products for sale, and research and scholarly activities. (Principle III, Rule E)
• Truthfully report the source when using other persons’ ideas, research, presentations, results, or products in written, oral, or any other media presentation or summary. (Principle IV, Rule L)
• Report credit only to those who have contributed to publications, presentations, processes, or products in proportion to the contributions and only with the contributor's consent. (Principle IV, Rule K)
• Report members of other professions who are known to 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 IV, Rule O)
• When involved in an ethics complaint, do not knowingly report false statements of fact or withhold relevant facts necessary to fairly adjudicate the complaint. (Principle IV, Rule R)

Code of Ethics Provisions Related to Self-Reporting, Including Disclosure

When completing an initial or reinstatement application for ASHA certification and/or membership, applicants must truthfully answer the following three questions related to formal professional discipline and criminal convictions, regardless of local employment laws or regulations. These self-reported acts are considered disclosure.

1. Have you ever been convicted of; been found guilty of; or entered a plea of guilty or nolo contendere to 
   • any misdemeanor involving dishonesty, physical harm—or the threat of physical harm—to the person or property of another, or
   • any felony? 
2. Are you presently indicted on or charged with
   • one or more misdemeanors involving dishonesty, physical harm to the person or property of another, or threat of physical harm to the person or property of another
     or 
   • one or more felonies?
3. Have you ever 
   • been publicly disciplined, or denied a license or a professional credential, by any professional association, professional licensing authority or board, or other professional regulatory body?
   • voluntarily relinquished or surrendered your license, certification, or registration with any such body while under investigation for alleged unprofessional or improper conduct?

ASHA members and/or certificate holders whose certification status becomes "Not Current" are also required to answer these same three questions upon renewal. Those applicants who can answer "yes"—affirmative disclosure—to any of the three questions must do so, in addition to submitting certified documentation regarding the discipline or conviction when requested.

All ASHA certification applications (initial and reinstatement) and renewals that include an affirmative disclosure are subject to a separate review process by the Disclosure Committee of the Council for Clinical Certification in Audiology and Speech-Language Pathology (CFCC). Depending on the seriousness of the disclosure made concerning criminal offenses or disciplinary actions, the Disclosure Committee may deny certification to the applicant or, if the offenses occurred while the individual was an applicant, refer the matter to the BOE to determine whether the individual has violated the Code of Ethics.

The obligation to report does not end with the application—it continues for ASHA members and certificate holders through Principle IV, Rules T and U of the Code.

Principle IV, Rule T (self-reporting crimes)

Self-report misdemeanors and felonies—in writing—to the ASHA Ethics Office within 60 days of the conviction, plea, or finding of guilt. Notify ASHA if you have been convicted; 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 within 60 days of the conviction, plea, or finding of guilt.

Principle IV, Rule U (self-reporting professional discipline) 

Self-report—in writing, within 60 days of the final action, sanction, or disposition—to the ASHA Ethics Office if you

• have received public professional sanctioning or the denial of a license or credential, or
• have voluntarily relinquished or surrendered your license, certification, or registration with any professional association, professional licensing authority or board, or other professional regulatory body.

Summary

The Code of Ethics provides guidance about ethical reporting across many areas of practice and research. If you are concerned that either you or a colleague has not properly self-reported or disclosed required information or conflicts of interest or has not accurately reported professional and/or research information, and may have violated the Code of Ethics, you have several options.

Regarding a colleague/other practitioner/ASHA member/applicant:

• Discuss your observations with the individual, and encourage them to disclose and/or self-report.
• Report the colleague to the appropriate state licensure board, professional association, or agency.
• Consider whether to file a complaint with the BOE.

Regarding yourself:

• Consult the Code of Ethics and appropriate Issues in Ethics Statement(s) for more information and guidance.
• Read the applicable state regulations code(s) of conduct.
• Self-report to the ASHA Ethics Office any misdemeanors involving dishonesty, physical harm or threat of physical harm, or felonies. (See Principle IV, Rule T.)
• Self-report to the ASHA Ethics Office (1) any public disciplinary actions or (2) any denials or voluntary relinquishments of licenses or credentials. (See Principle IV, Rule U.)
• Disclose any financial and/or nonfinancial conflicts of interest.
• Contact the ASHA Ethics Office at ethics@asha.org for further information and direction.

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