Record Review – FAQs

Why does ACSLPA want to look at my client records?
Is the College allowed to ask for my records and documentation?

Any regulated member referred for a record review would have been referred because their written submission and interview did not satisfactorily indicate they are engaging in activities shown to maintain or enhance competence to practice. In these situations, a closer look at competence to practice, as evidenced by the regulated member’s records as it pertains to their provision of professional services, is warranted. Under the Health Professions Act (HPA), in order to ensure continuing competence requirements are met, the College is allowed to “review documents, including patient records”.

What can I expect during the record review?

Regulated members will be notified via email of referral for a record review within two weeks of the date of their interview. This email will also provide more information on the record review process (e.g., what kinds of records must be submitted, how to submit records, etc.).

Regulated members will have one month from the date of being informed of referral to upload the required records. Members should contact their advisor if they anticipate any difficulties in meeting the deadline for uploading their records.

After submitting their records for review, no further action is required from the regulated member. An assessor (recruited from ACSLPA’s membership and trained by the College) will review the records, using an ACSLPA provided standardized review and scoring rubric, which are based on the competency profiles for audiology and speech-language pathology. Regulated members will be informed of the results of their record review within one month of the date of submission of their records.

How will client confidentiality be maintained if I am to submit their records?

ACSLPA requires that any personal or health information about the clients is redacted prior to submission of records. This includes the client name, personal health information number, or contact information. Assessors will be able to sign any confidentiality agreements as required by the regulated member or their employer.

Under the HPA, assessors are required to keep any information related to participation in a continuing competence program confidential. Any CCP assessor with access to information related to participation in the CCP “shall not publish, release or disclose the information in any manner except as necessary to carry out powers and duties”.

Do I need to obtain informed consent from my client to submit their records?

Since all identifying information will be redacted from records prior to submission and given that assessors will be bound to the confidentiality requirement of the HPA, client consent is not required for submission of records. Further, given ACSLPA’s authority under the HPA to require submission of the records, regulated members are required to submit their records even if the client objects.

Do I need to inform my employer about being referred for a record review?
What if they have a concern about my submitting client records to the College?

Regulated members are not obligated to inform their employers about their participation in the record review stage of the practice assessment, but they may do so if they wish. Employers who express concerns about record submission should contact the College directly to discuss:

  • The HPA provision that allows for the College to request and review records, including client records,
  • The confidentiality provisions under the HPA,
  • Any additional steps requested by the employer to maintain confidentiality, and
  • Any further concerns about the record review process.

Please note that the College will only discuss concerns pertaining to the record review process with employers and will not disclose any information pertaining to the regulated member, nor their participation in the CCP.

When will I get the results of my record review?

ACSLPA staff will contact the regulated member with the results of their record review within one month of the date of submission of their records, via email. The regulated member will be informed of the outcome of the record review (i.e., exiting the CCP, remediation planning, or being referred to the next stage of the practice assessment).

All regulated members who complete a record review will be able to access their record review report, which details the member’s performance with each scoring rubric criterion.