1. The Perils of Unethical Conduct: See Something Say Something
ABESPA ETHICS!
The Perils of Unethical Conduct:
See Something
Say Something
Presented by:
Assistant Attorney General Yvonne Saxon

2. QUESTIONS ASKED & ANSWERED...
Does ABESPA’s Law Require Me to Say Something?
What is an ethical complaint?
Who can file a complaint
How is the complaint process started?
What is the procedure for review?
How can the Board be tainted?
Contacting Board Members Directly About Complaint;
Hand Delivering Complaint To The Board Meeting.
What’s the solution if Board tainted?
Summary of Disciplinary Complaints handled by ABESPA.

3. Prohibit anyone under supervision from violating the Code of Ethics
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 X-6.05 Principle of Ethics IV
Prohibit anyone under supervision from violating the Code of Ethics
Don’t engage in dishonesty, fraud, deceit, misrepresentation in any form that can adversely affect the profession
Only give credit to persons who contribute to publications or research
Don’t misrepresent research results
Don’t provide professional services without doing own assessment. Can’t just rely on a referral
Inform ABESPA when you believe the Code of Ethics or ABESPA’s law has been violated (Faust Case)
Cooperate with the Board during investigations of matters related to the Code of Ethics or other matters

7. ETHICAL COMPLAINTS What is an Ethical Complaint?
Definition: An Ethical Complaint is a complaint filed with the Board of a potential violation of the laws governing ABESPA and its licensees. The complaint can be filed by ANYONE. BUT CANNOT BE ANONYMOUS.

8. Alabama Board of Examiners for Speech-Language Pathology and Audiology (ABESPA) P.O. Box Montgomery, Alabama Telephone: (334) Fax: (334) Web address:
Complaint Form
Individual Registering Complaint:
Name _____________________________________________
Telephone _____________________
Address_________________________________________________
City and State ____________________________________________
Is this complaint being filed on behalf of an agency, corporation, or institution? If yes, please specify: _______________________________________________
Individual Against Whom Complaint Is Being Filed:
City and State ________________________________________________
Is the individual against whom this complaint is filed licensed by this Board?___
Nature of Complaint (Please check all that apply.) :
Administrative/Record Keeping Advertising Fees/Billing Practices Fraud Incompetence Professional Misconduct Sexual Misconduct Substance Abuses/Impairment Unlicensed Practice Other ________________________________________________________

9. Details of Complaint:
Include specific details such as names of people involved, dates, location, information about the alleged violation(s), and any other pertinent facts. Complaints cannot be accepted without an original signature. Please sign and date each page if additional pages are necessary.
___________________________________________________________
Are you aware of any action that has been taken relative to this matter, prior to the filing of this complaint? If yes, please specify:
_________________________________________________________
Signature: ________________ Date: ____________

10. WAIVER OF ANONYMITY
I, __________________________, having made a formal complaint to the Alabama Board of Examiners for Speech-Language Pathology and Audiology (ABESPA), waive my anonymity to assist in
the investigation of this complaint. I understand that ABESPSA may have to reveal my identity to fully investigate the complaint. I will not hold ABESPA, its members, or employees liable for the release of my identity.
Signed this the__________ day of _____________, 20______.
_______________________________________ Complainant

11. ETHICAL COMPLAINTS COMPLAINT PROCESS:
1. Signed Written letter of complaint (mailed, faxed, e- mailed),
2. Waiver of anonymity request sent to complainant,
3. Case assigned to the Credentials Review Committee,
4. Letter to complainant acknowledging letter,
5. Letter to subject of the complaint,
6. Further investigation as deemed appropriate by ABESPA,
7. Follow-up letters to parties, and
8. Resolution of complaint: dismissal, formal or informal.
9. Where applicable, the complaint is also forwarded to other licensing boards.

12. RESOLUTION OF COMPLAINT
An Informal resolution of the complaint will include a settlement between the Board and the party.
A Formal resolution involves a disciplinary hearing. The Board follows the disciplinary hearing procedure as provided in ALA. CODE § A-26 (b) (c) (1975), and Rules and Regulations § 870-X
Dismissal of a complaint without further action. After review of all of the facts, the Credentials Review Committee determines that there is insufficient information to warrant “disciplinary action” and recommends to the Board to dismiss the complaint.

13. PUBLIC NOTICE & DOES THE BOARD’S DECISION = END? No
REPORT TO THE NATIONAL DATA BANK
All Disciplinary Actions(formal and informal) that result in a disciplinary action against the licensee are reported by ABESPA to the National Data Bank for Health Care Professionals.
APPEAL RIGHTS
Any party who is not satisfied with the Decision of the Board may appeal the decision to the Circuit Court of Montgomery County pursuant to ALA. CODE § , et seq (1975).
Public Notice
The final resolution of the Board’s disciplinary actions are placed o ABESPA’s website.

15. TAINTING THE BOARD

16. HOW TO TAINT THE BOARD...
Contact ALL Board Members about your complaint, because you think this will make things better, via Snail Mail & Blast....Because Wanda is not sharing the information with the Board. 
At a Reception, you tell Board member about a complaint that you filed.
Hand deliver your complaint to the Board Meeting.

17. RESULTS OF TAINTING Board member must abstain from voting...
What if majority of Board is tainted?
Complaint is dismissed:
Rules & Regulations-state that complaint maybe dismissed, if Board members are contacted about the complaint.
Open Meetings Violation- Board cannot discuss Board matters outside of a meeting.

18. TAINTING SOLUTIONS
File complaint with the Board’s Office
Allow the complaint process to proceed
Communicate with the Board as directed by communications
DO NOT contact a Board member directly about a complaint- Contact the Board’s office

20. COMPLAINTS FILED & ADDRESSED
The Board has received the following types of complaints:
Ethical Violations: Falsified documentation to receive money for services that he/she did not provide. Licensee misrepresents hours of service provided.
Representation as SLP/AUD: A non- licensee represents that he/she was a licensed audiologist or speech language pathologist, and entered into a contract to provide audiology services.

21. COMPLAINTS FILED & ADDRESSED
Misdiagnosis: Licensee misdiagnosed a hearing/speech test. If working under supervision of physician, Board has to deal with Exemption. If working as private practitioner the Board’s response maybe different.
Misrepresentations in the newspaper and telephone books: These follow the same procedure. In some instances there are exemptions or simply misunderstandings. Removal or correction of Advertisement where possible. ABESPA dose not have a “patent” on the use of the word Audio...
Complaints regarding internet solicitation and advertisement: There is very little that can be done in this area. Generally refer to another agency.

22. SUMMARY
Decisions on disciplinary actions are decided on a case-by-case basis by ABESPA within the above guidelines.
All investigations are kept confidential.
To avoid a violation of ABESPA’s laws, ask questions before the action is taken. You may contact the Board for assistance on questions you may have in carrying out your duties as a licensed Speech-Language Pathologist or Audiologist.