For Speech-Language Pathology
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VII. Procedures for Appeal
A. Steps in an Appeal
1. Initial Determination
If a program director does not recommend the applicant for certification, the program director must sign the application and state the reason(s) for the negative recommendation in Section 20 of the application. In addition, the program director may send a letter explaining the reason(s) for the negative recommendation and supporting documents to the Council For Clinical Certification (CFCC). When appropriate, this information may be shared with the applicant.
The applicant may request that the CFCC accept and approve the application in spite of the program director's negative recommendation. In this case, the applicant must submit the signed application, a letter of explanation, and compelling documents to support his/her claim that the CFCC should approve the application in spite of the negative recommendation of the program director. This information may be shared with the program director.
An Initial Determination Team of the CFCC composed of four members of the Council will review the file within forty-five (45) days of submission. The Team will reach a decision based on a preponderance or greater weight of evidence. The chair of the CFCC will inform the applicant in an Initial Determination letter of the Council's decision within fifteen (15) days of the decision having been rendered.
If the Clinical Fellowship Supervisor Does Not Recommend Approval of the Clinical Fellowship
If the clinical fellowship supervisor does not recommend approval of the clinical fellowship experience, he/she must so indicate in Section 8 of the Clinical Fellowship Report and Rating Form and must sign the Report and Rating Form in Section 9. This information must be shared with the clinical fellow who may choose whether or not to submit the experience for purposes of certification.
The clinical fellow may complete an entirely new clinical fellowship and/or request an Initial Determination review by a Team of the CFCC. To request such a review by the CFCC, the clinical fellow must submit to the CFCC (a) a signed and completed Clinical Fellowship Report and Rating Form, (b) the supervisor's rationale for the negative recommendation, and (c) a letter of explanation as well as compelling supporting documentation to show why the clinical fellowship should be approved. The CFCC may share this information with the supervisor to solicit any additional information the supervisor wishes to provide. Within forty-five (45) days of the receipt of the request for Initial Determination, the CFCC will review all information to determine if the clinical fellowship will be approved. The chair of the CFCC shall write an Initial Determination letter to inform the applicant of the Council's decision within fifteen (15) days of the Initial Determination decision. Based on the outcome of the decision, the clinical fellow may complete a fellowship as proscribed by the Council or may request Further Consideration.
2. Request for Further Consideration
To request Further Consideration by the CFCC, the applicant shall write to the CFCC within forty-five (45) days of the date of the chair's Initial Determination letter. Along with the letter, the applicant must submit additional pertinent materials as evidence to show compliance with all certification standards. Within sixty (60) days the full CFCC shall review the applicant's file and reach a decision. The chair of the CFCC shall notify the applicant of the Council's decision within fifteen (15) days of the decision's having been made. The letter shall be sent by return-receipt-requested mail. If certification is denied, the applicant has the option of (a) correcting the deficiencies as specified in the chair's letter, or (b) notifying the chair of the Council of the applicant's intent to appeal the decision to deny certification. The appeal shall be based upon the documentation submitted to the CFCC. If the applicant does not request Further Consideration within the stipulated time period, the applicant cannot appeal.
3. Filing an Appeal
Within sixty (60) days of the date upon which a certified, return-receipt-requested notice of the Council's decision is sent by the chair of the CFCC to an individual, the individual shall submit to the Vice President for Quality of Service from the professional area in which the applicant is seeking certification and the Council For Clinical Certification notices of intent to appeal.
The appeal should include a full written explanation of the grounds for appeal. The explanation should not introduce evidentiary matters not included in the record before the CFCC at the time of its decision.
4. Scope and Basis for Appeal
An appeal of the CFCC decision shall be on the Council's record. All written material that the CFCC considered in reaching its decision constitutes the record. An applicant's appeal shall not introduce evidentiary matters not included in the record before the CFCC.
The CFCC shall provide complete copies of the record made before the Council to the Appeals Panel as described below. The chair of the CFCC may also choose to submit a written statement further explaining the Council's certification decision. This statement shall not introduce evidentiary matters not included in the record before the Council.
B. Appointment of an Appeal Panel
National Office staff shall maintain a list of Potential Appeal Panel members. This list shall include the most recent twenty- (20) eligible members who have completed service on the CFCC (or its predecessors, the Clinical Certification Board and the Council on Professional Standards). The list shall be reviewed and modified, as appropriate, on an annual basis by the chair of the Council and the Vice President for Quality of Service in Speech-Language Pathology and the Vice President for Quality of Service in Audiology. All members of the Ad Hoc Appeal Panel shall be selected from that list.
To consider a specific appeal, the ASHA Vice President for Quality of Service from the professional area in which the applicant is seeking certification shall select at least five persons as potential members of an Ad Hoc Appeal Panel, none of whom shall have had a relationship with the appellant or with the certification process leading to the decision being appealed. After determining the willingness of these persons to serve, the names shall be transmitted to the appellant and the Council chair, each of whom may challenge any of the potential panelists for due cause (e.g., conflict of interest, bias, etc). After considering such challenges, the Vice President for Quality of Service shall appoint three members of the Ad Hoc Appeal Panel and shall designate one of them as chair.
The appellant and the chair of the Council shall be informed of the Panel appointments. Appointment of the Panel shall be completed within thirty (30) days of receipt of the appellant's appeal.
C. Appeal Hearing
1. The Panel chair shall schedule a hearing on the appeal to occur within sixty (60) days of receipt of the appeal and shall notify the applicant and the chair of the Council of the time and place thereof. Each shall have the right to appear in person or by designated representative and to present a statement or argument or, as an alternative, to present a statement or argument via telephone conference.
In addition, the applicant may inform the Panel chair in writing that he/she chooses to have the appeal considered on the basis of written documents only, without a hearing. If this option is chose, the Panel will hold a meeting within sixty (60) days of receipt of the appeal to consider the written record and reach a decision. Only the Panel's legal advisor and the ASHA staff member assigned to maintain a record of the Panel's decision may be present during this process.
2. The applicant shall be entitled to be represented by counsel at the hearing. Counsel for ASHA may be present to advise the Panel concerning the conduct of the hearing. The CFCC chair shall be entitled to the assistance of a resource person at the hearing. That person, at the Panel's discretion, may be called to provide information and, in this case, shall be subject to questioning like any other presenter.
3. No additional persons other than the ASHA staff member assigned to record the proceedings shall be present at the hearing.
4. Following introductory remarks by the Panel Chair, the applicant shall be heard first, then the CFCC. Finally, the applicant shall be afforded the opportunity for rebuttal.
5. After the hearing, the Panel shall meet in closed session, with only the Panel's legal advisor and assigned staff member present, to consider its decision, which shall be by majority vote of the Panel.
D. Panel Decision and Report
The function of the Ad Hoc Appeal Panel shall be to review the record and to determine whether the Council followed required procedures, properly applied the standards, and based its decision on evidence that was in the record before it when it made its decision. The Panel shall determine whether or not there was probative evidence before the CFCC that would justify its decision.
The Appeal Panel may: (1) affirm the Council's decision that was appealed, or (2) remand the case back to the CFCC for reconsideration in light of the Panel's findings regarding procedural violations or substantive errors in the Council's decision. The Panel may make recommendations for appropriate action and disposition in a manner consistent with the findings of the Panel.
The report of the Ad Hoc Appeal Panel will state its decision and basis for it. The Panel will transmit its report within fifteen (15) days of its decision to the appellant, the appropriate Vice President for Quality of Service, and the Council For Clinical Certification. If the Panel upholds the decision of the Council, that decision becomes final as of the date of the letter informing the appellant of the Panel's decision.
When a decision is remanded, the Council shall reconsider its previous decision no later than at its next regularly scheduled meeting, giving due weight to the findings and recommendations of the Ad Hoc Appeal Panel. The Council may afford the appellant the opportunity to make further written submission to the Council. The results will be transmitted to the appellant and to the appropriate Vice President for Quality of Service within fifteen (15) days of the reconsidered decision. Reconsideration decisions are final, and no further appeal process is available.
E. Summary of Time Lines
The following summarizes the time lines in the appeal process, beginning from the date an appealable decision is transmitted from the CFCC.
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Applicant submits appeal within sixty (60) days of the CFCC decision letter.
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Ad Hoc Appeal Panel is appointed within thirty (30) days of receipt of appeal.
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CFCC forwards to the Ad Hoc Appeal Panel and applicant within seven (7) days of the appointment of the Panel, a copy of the record made before the CFCC and any written statement further explaining the certification decision.
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Appeal hearing (or meeting to consider written appeal) occurs within sixty (60) days of the appointment of the Panel.
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Panel transmits final decision and its basis within fifteen (15) days of the hearing or meeting.
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If decision is remanded, the CFCC considers its previous decision no later than its next regularly scheduled meeting and transmits results of reconsideration to applicant within fifteen (15) days of that meeting.
F. Cost of Appeals
All costs incurred by the applicant in connection with the appeal including, but not limited to, travel and lodging of the applicant's representative and other fees shall be applicant's sole responsibility. All costs associated with the members of the Ad Hoc Appeal Panel shall be divided between the applicant and ASHA. Administrative costs of the appeals process itself will be assumed by ASHA.