ASHA Quality Assurance & Compliance 3 — Questions and Answers
Question 1: When conducting a peer review of clinical records, which element is MOST critical to evaluate for compliance with ASHA standards?
- The clinician's years of experience
- The presence of measurable, client-centered goals and progress documentation (Correct answer)
- The physical appearance of the documentation
- Whether the clinician used standardized tests only
Correct answer: The presence of measurable, client-centered goals and progress documentation
Measurable, client-centered goals and documented progress are core elements ASHA standards require for quality clinical records.
Question 2: An SLP in a school setting suspects a student's IEP goals were written without adequate assessment data. The BEST first step is to:
- Implement the IEP as written to avoid conflict
- Review the assessment data in the student's file and consult with the IEP team (Correct answer)
- Rewrite the goals unilaterally
- Refer the student to another provider
Correct answer: Review the assessment data in the student's file and consult with the IEP team
Reviewing available data and consulting with the IEP team ensures decisions are collaborative and grounded in evidence before any changes are made.
Question 3: Which of the following BEST describes 'utilization review' in the context of SLP services?
- Evaluating the quality of therapy techniques used
- Assessing whether services rendered are medically necessary and appropriate (Correct answer)
- Counting the number of sessions provided
- Reviewing SLP credentials and licensure
Correct answer: Assessing whether services rendered are medically necessary and appropriate
Utilization review evaluates whether the type and amount of services provided are medically necessary, appropriate, and consistent with established standards.
Question 4: According to ASHA guidelines, which statement about supervision of support personnel (e.g., SLPAs) is correct?
- SLPAs may independently diagnose communication disorders
- The supervising SLP retains ultimate responsibility for all client care (Correct answer)
- Supervision may be reduced once the SLPA has 1 year of experience
- SLPAs and SLPs share equal legal responsibility for outcomes
Correct answer: The supervising SLP retains ultimate responsibility for all client care
The supervising SLP retains ultimate professional and ethical responsibility for all services delivered by support personnel under their supervision.
Question 5: A healthcare organization wants to implement a quality improvement (QI) initiative for SLP services. Which approach is most consistent with evidence-based QI principles?
- Implementing changes based solely on administrative preferences
- Using a Plan-Do-Study-Act (PDSA) cycle to test and evaluate changes (Correct answer)
- Delegating all QI decisions to billing staff
- Conducting QI only when regulatory audits are anticipated
Correct answer: Using a Plan-Do-Study-Act (PDSA) cycle to test and evaluate changes
The PDSA cycle is a recognized evidence-based framework for implementing and evaluating quality improvement initiatives systematically.
Question 6: Which of the following is an example of a PROCESS measure in SLP quality assurance?
- Client's score on a standardized language test at discharge
- Percentage of sessions in which treatment was evidence-based and documented (Correct answer)
- Client satisfaction rating at 6 months post-discharge
- Rate of re-hospitalization within 30 days
Correct answer: Percentage of sessions in which treatment was evidence-based and documented
Process measures evaluate whether recommended clinical practices were carried out, such as documenting evidence-based treatment in the required percentage of sessions.
Question 7: Under FERPA, student education records may be disclosed without consent to:
- Any professional who requests them for research
- School officials with legitimate educational interest (Correct answer)
- The student's employer upon request
- Any state agency regardless of purpose
Correct answer: School officials with legitimate educational interest
FERPA allows disclosure without consent to school officials who have a legitimate educational interest as defined in the school's annual FERPA notification.
ASHA Quality Assurance & Compliance 3
When conducting a peer review of clinical records, which element is MOST critical to evaluate for compliance with ASHA standards?