CQ3 - Royal Collegue PDF

Communicating
Quality 3
RCSLT’s guidance on best practice
in service organisation and provision
Communicating
Quality 3
RCSLT’s guidance on best practice
in service organisation and provision
© 2006
The Royal College of Speech and
Language Therapists
2 White Hart Yard
London SE1 1NX
020 7378 1200
www.rcslt.org
First published 1991
Second edition 1996
ISBN: 0-947589-55-4
All rights reserved
No part of this publication may be reproduced, stored in a retrieval
system or transmitted in any form or by any means without the prior
permission of the RCSLT. This publication shall not be lent, sold,
resold, hired out or otherwise circulated without the publisher’s prior
consent in any form of binding or cover other than that in which it is
published and without a similar condition including this condition
being imposed on any subsequent publisher.
Designed by: Smith+Bell

Printed by: Scotprint
RCSLT CQ3 Handbook i

Contents
Foreword................................................ xi
Acknowledgements ........................ xiii
Patron’s Endorsement .................. xvii
Introduction: A User’s Guide ...... xix
Terminology and Abbreviations ..xxiii
Chapter 1 Professional Framework

1.1 Speech and Language Therapy Mission
Statement and Scope of Practice ..............2
1.1.1 Who are we? ......................................2
1.1.2 What roles do we undertake? ............3
1.1.3 Who do we work with?........................4
1.1.4 Where do we work?............................5
1.1.5 What are the health, educational and
psycho-social benefits that speech and
language therapy can contribute to? ..........5
1.1.6 What are the outcomes of speech
and language therapy that will contribute to
these health, educational and psycho-
social benefits? ............................................6
Contents iii
1.1.7 How are speech and language therapy services provided? ........6
1.2 Regulation of the Profession ............................................................7
1.3 Role of the RCSLT ............................................................................8
1.4 Role of the ASLTIP ..........................................................................8
1.5 Professional Indemnity Insurance ....................................................8
1.6 Code of Ethics and Professional Conduct ......................................9
1.7 Working within a Legal Framework ................................................13
1.7.1 Principles ......................................................................................13
1.7.2 Organisational responsibility ........................................................14
1.7.3 Service level responsibility............................................................14
1.7.4 Personal responsibility ..................................................................15
1.7.5 Individual consent to care ............................................................15
1.7.6 Confidentiality................................................................................22
1.7.7 Duty of care ..................................................................................24
1.7.8 Delegation ....................................................................................28
1.8 Competent Practice ........................................................................30
1.9 Decision-making..............................................................................33
References ............................................................................................37
Chapter 2 International Context

2.1 Introduction ................................................................................40
2.2 International Influences on the Profession................................40
2.3 Speech and Language Therapy Practice in other Countries ..43
2.4 International Speech and Language Therapy Professional
Bodies ..............................................................................................44
2.5 International Bodies Concerned with Communication
Disorders and Professional Matters ................................................44
2.6 Other Professional and Service User Associations..................46
2.7 Broadening of the European Union and its Implications for
Speech and Language Therapy ......................................................46
2.8 International Practice Standards ..............................................46
2.9 UK SLTs Working Abroad ..........................................................47
2.10 Overseas SLTs Working in the UK..........................................47
2.11 The Mutual Recognition of Credentials Agreement ..............47
2.12 Conclusion ..............................................................................49
Chapter 3 UK Political Context

3.1 What is Government?................................................................52
3.1.1 The UK Executive ....................................................................52
iv RCSLT CQ3 Handbook

3.1.2 The UK Parliament ..................................................................52
3.1.3 The Scottish Parliament and the Scottish Executive ..............54
3.1.4 The National Assembly for Wales and Welsh Assembly
Government ......................................................................................56
3.1.5 The Northern Ireland Office and the Assembly ......................59
3.2 Legislation Relevant to the Profession......................................59
3.2.1 UK Wide ..................................................................................59
3.2.2 England....................................................................................60
3.2.3 Scotland ..................................................................................63
3.2.4 Wales ......................................................................................68
3.2.5 Northern Ireland ......................................................................68
3.3 Government Strategy across the UK ........................................73
3.3.1 What is strategy? ....................................................................73
3.3.2 NHS and social care strategies ..............................................73
3.3.3 Children’s services – education strategy ................................78
References ............................................................................................80
Chapter 4 RCSLT
4.1 The RCSLT’s Role ....................................................................84
4.1.1 Mission statement....................................................................84
4.1.2 Key purposes of the RCSLT....................................................84
4.1.3 Relationship with the Health Professions Council ..................84
4.1.4 Professional indemnity insurance............................................85
4.1.5 Diversity....................................................................................86
4.2 RCSLT Structure........................................................................86
4.2.1 Membership and categories....................................................86
4.2.2 Governance ............................................................................87
4.2.3 Headquarters structure ..........................................................89
4.2.4 Professional networks ............................................................89
4.3 RCSLT Processes ....................................................................89
4.4 RCSLT Functions ......................................................................90
4.4.1 Membership and communication............................................90
4.4.2 Policy and partnership ............................................................92
4.4.3 Workforce planning and career pathways ..............................93
4.4.4 Research and development ....................................................94
4.4.5 Education and training ............................................................94
4.4.6 Employment ............................................................................95
References........................................................................................95
Contents v
Chapter 5 Service Organisation
5.1 Definition of Health ....................................................................98
5.1.1 Responsibility for health ..........................................................98
5.1.2 Framework for health ..............................................................98
5.2 Range of Speech and Language Therapy Services ..............99
5.3 Developing the Workforce ......................................................100
5.3.1 Recruitment............................................................................100
5.3.2 Retention................................................................................101
5.3.3 Staff supervision and support ..............................................101
5.3.4 Competence ..........................................................................108
5.3.5 Learning organisation............................................................114
5.3.6 Evidence-based practice: research utilisation ......................116
5.3.7 Audit ......................................................................................118
5.3.8 Clinical audit ..........................................................................119
5.3.9 Continuing Professional Development (CPD) ......................119
5.3.10 NHS Knowledge and Skills Framework (KSF)....................124
5.4 Resources and Resource Management ................................124
5.4.1 Accommodation ....................................................................125
5.4.2 Equipment..............................................................................130
5.4.3 Workload management ........................................................134
5.4.4 Managing staff vacancies ....................................................141
5.5 Use of Information ..................................................................141
5.5.1 Freedom of Information Act 2000,
Freedom of Information (Scotland) Act 2000 ................................141
5.5.2 Data Protection Act 1998 ......................................................141
5.5.3 Record Keeping ....................................................................143
5.5.4 Records management ..........................................................148
5.6 Management of Risk ..............................................................152
5.6.1 Risk Management..................................................................152
5.6.2 Complaints ............................................................................156
5.6.3 Clinical Negligence Scheme for Trusts (CNST)....................157
5.6.4 Health and safety at work......................................................158
5.6.5 Personal safety ......................................................................160
5.6.6 Infection control......................................................................165
5.7 Public and Patient Involvement (PPI)......................................167
5.8 Press and the Media................................................................169
5.9 Partnership Working ................................................................170
5.9.1 The interface between speech and language therapy agencies 170
5.9.2 SLTs and support practitioners in partnership ......................172
vi RCSLT CQ3 Handbook

5.9.3 SLTs and students in partnership..........................................173
5.9.4 Professional representation to the wider organisation..........178
5.9.5 Multi-agency team working....................................................178
References......................................................................................180
Chapter 6 Service Provision: Part 1 Care Pathway

6.1 Levels of Service Provision ....................................................184
6.2 Level 2 Services: Targeting the Needs of At-risk Groups ......184
6.2.1 Health promotion ..................................................................184
6.2.2 Promoting participation..........................................................187
6.2.3 Developing speech and language therapy services to
meet needs ....................................................................................188
6.2.4 Enabling timely and appropriate access to speech and
language therapy level 3 services: responding to referrals ..........190
6.2.5 Guidance on the provision of general advice ......................194
6.3 Level 3 Services: Targeting the Needs of Referred
Individuals ........................................................................................195
6.3.1 Care pathways ......................................................................195
6.3.2 Acceptance of referrals ........................................................197
6.3.3 Initial assessment phase ......................................................200
6.3.4 Management phase ..............................................................204
6.3.5 Review phase ........................................................................210
6.3.6 Discharge/transition/transfer phase ......................................211
References......................................................................................213
Chapter 7 Service Provision: Part 2

Working Contexts, Tasks, Techniques and Strategies
7.1 Guidance related to Working Contexts ..................................216
7.1.1 Integrated teams....................................................................216
7.1.2 Community ............................................................................217
7.1.3 Primary and secondary healthcare environments................220
7.1.4 Specialist health services ......................................................222
7.1.5 Education ..............................................................................224
7.1.6 Independent practice ............................................................226
7.2 Guidance related to Specific Speech and Language Therapy
Tasks, Techniques and Strategies ................................................229
7.2.1 Augmentative and alternative communication ......................229
7.2.2 Counselling ............................................................................234
7.2.3 Writing legal statements relating to court inquiries ..............236
Contents vii
7.2.4 Writing medico-legal reports..................................................237
7.2.5 Appearing in court as a witness ............................................239
7.2.6 Writing professional advice on children with speech,
language and communication difficulties ......................................240
7.2.7 Writing reports on referred individuals ..................................244
References ......................................................................................245
Chapter 8 Service Provision: Part 3

Working with Specific Client Groups
8.1 Acquired Motor Speech Disorders..........................................248
8.2 Adult Learning Disability (ALD) ..............................................253
8.3 Aphasia ....................................................................................261
8.4 Autism Spectrum Disorder ......................................................264
8.5 Bilingualism..............................................................................268
8.6 Brain Injury ..............................................................................271
8.6.1 Children with Acquired Brain Injury ......................................273
8.6.2 Adults with Traumatic Brain Injury ........................................277
8.7 Cerebral Palsy ........................................................................283
8.8 Cleft Palate and Velopharyngeal Disorders............................288
8.9 Craniofacial Conditions............................................................296
8.10 Critical Care ..........................................................................303
8.11 Deafness ..............................................................................310
8.12 Dysfluency ............................................................................316
8.13 Dyslexia ................................................................................319
8.14 Dysphagia ............................................................................319
8.14.1 Children with Dysphagia ....................................................321
8.14.2 Adults with Dysphagia ........................................................325
8.14.3 Adults with Learning Disability and Dysphagia ..................329
8.15 Head and Neck Cancer ........................................................333
8.16 Mental Health ........................................................................341
8.16.1 Mental Health: Paediatric ....................................................341
8.16.2 Mental Health: Adult Dementia ............................................343
8.17 Palliative Care ......................................................................347
8.18 Pre-school Children ..............................................................351
8.19 Progressive Neurological Disorders ....................................355
8.20 School-aged Children ..........................................................362
8.21 Specific Language Impairment ............................................365
8.22 Specific Speech Impairment ................................................369
8.23 Visual Impairment ................................................................375
viii RCSLT CQ3 Handbook

8.24 Voice......................................................................................380
References ......................................................................................384
Chapter 9 Service Monitoring, Improvement, Evaluation

and Development
9.1 Quality Framework for Clinical Services ................................410
9.1.1 What is quality? ....................................................................410
9.1.2 Clear national standards........................................................411
9.1.3 Provision of services that comply with the standards ..........413
9.1.4 Service monitoring and improvement ..................................413
9.2 Monitoring Clinical Effectiveness: Assessing the Impact and
Outcomes of Clinical Services ......................................................416
9.2.1 Health, educational and psychosocial benefits ....................419
9.2.2 Speech and language therapy outcomes ............................420
9.2.3 Evidencing outcomes ............................................................421
9.3 The Relationship between Service Audit, Evaluation and
Research ........................................................................................426
9.4 Service Improvement and Development ................................427
9.4.1 Service improvement ............................................................427
9.4.2 Service development ............................................................428
9.4.3 Service development plans ..................................................439
9.5 Development of Research Capacity within Services ............440
9.5.1 Individual responsibilities ......................................................440
9.5.2 Organisation responsibilities ................................................441
9.5.3 Resources..............................................................................442
9.6 Services Responding to Imposed Structural Change ............443
9.6.1 Context of change ................................................................443
9.6.2 Implications for service users................................................443
9.6.3 Clinical governance ..............................................................444
9.6.4 Resources..............................................................................445
References ..........................................................................................445
Appendix 1 Summary of minimum service standards for

service organisation and provision ....................................447
Appendix 2 Sources of further support and information for

individuals, their families and professionals ........................453
Index..............................................................................................461
Contents ix
x RCSLT CQ3 Handbook
Foreword
This is the third edition of Communicating

Quality, a text that in its first edition was
widely acknowledged as a seminal work
on professional standards for speech and
language therapists (SLTs). Its publication
in 1991 marked a new era in the history of
the speech and language therapy
profession.
Since that time, the profession has
changed its practice to reflect changes in:
G the evidence base
G national strategic direction
G legislative requirements
G technology
As part of these changes, speech and
language therapy services are
increasingly provided by a mix of SLTs
and support practitioners working as
members of multi-agency teams across a
range of settings.
The future for the profession is likely to
include extended scopes of practice for
SLTs; an expansion in the numbers of
support practitioners and an increase in
Foreword xi
partnership working with other support agencies to meet the needs
of the individual with a communication or swallowing disability.
The structure of this third edition of Communicating Quality has
been radically changed as the result of consultation with RCSLT
members and a wider group of stakeholders. The required content
has been developed collaboratively over a period of twelve months.
CQ3 therefore represents professional consensus opinion and
reflects the profession’s commitment to ongoing growth and
development.
xii RCSLT CQ3 Handbook

Acknowledgements
The development of this third edition of

Communicating Quality has relied heavily
on the extensive involvement of a large
number of people. It has been a privilege
to work with so many people who have
been willing to contribute their time and
expertise, often in the context of busy
personal lives and demanding clinical and
professional responsibilities, to ensure that
the book was completed on time and to a
high quality level.
Particular thanks are due to the people
listed below who took on the lead
developer role for allocated sections of
CQ3. This generally involved working with
a group of interested others via e-mail to
agree content and wording.
The cohesion of the chapters is largely
due to their hard work and shared vision
of practice based on common principles.
Annie Aloysius, Helen Anderson, Ian Bell,
Rebecca Bergmann, Jan Broomfield,
Jayne Comins, Frances Cook, Deirdre
Cotter, Hannah Crawford, Christine Currie,
Acknowledgements xiii
Rosemary Cunningham, Calum Delaney, Ashleigh Denman,
Samantha Eckman, Kamini Gadhok, Jo Graham, Kim Hartley, Celia
Harding, Anne Harding-Bell, Gillian Hazell, Ruth Howes, Sue Jones,
Moira Little, Neresha Maistry, Alison McCullough, Sue McGowan,
Gillian McNeill, Nick Miller, Della Money, Gillian Montgomery, Jane
Neil-MacLachlan, Debbie Onslow, Aileen Patterson, Sandra Polding,
Lorna Povey, Christina Quinn, Victoria Ramsey, Joe Reynolds, Lynne
Roberts, Margaret Rosser, Alison Stroud, Stephanie Ticehurst, Celia
Todd, Wendy Wellington, Margaret White, Fiona Whyte, Georgina
Willis.
Many thanks also to:
G The large number of people who formed part of the e-mail working
groups and who patiently provided comments and suggestions
throughout the lengthy process of revision, rewording and
restructuring.
E-groups included representation from a range of stakeholder
organisations including Afasic, ASLTIP, British Stammering
Association, Communication Aid Centres, I CAN, RNIB, and
Speakability.
G Those people who organised, ran or attended the 2004 series of
meetings across the four UK countries. These early meetings formed
the basis for restructuring the content and revising the format of
Communicating Quality.
G The services, clinical advisors, SIGs, external stakeholders and
individual members throughout the UK who took the time to comment
on the first draft of CQ3 during the consultation phase in September
2005. All the feedback was carefully considered and reflected in the
final version of the guidance as appropriate.
G The members of the Steering Group, especially Kamini Gadhok,
Judy Lennon, Michelle Morris, Ros Rogers and Sue Roulstone for
their attention to detail during the last phase of the project when
deadlines were very tight.
G Pam Enderby, Alex John, Maggie Johnson and Kate Malcomess
for their input to chapter nine.
G All the RCSLT HQ staff, especially Bridget Ramsay for her
administrative support and Steven Harulow for his expertise around
publications.
G Sarah Gentleman for proofreading.
G Annie Dilworth for preparing the index.
xiv RCSLT CQ3 Handbook

G Andy Smith and Denise Bell of Smith+Bell for the book design.
Special thanks to:
G The late Jayne Comins for her role in drafting out the sections on
counselling and supervision.
G Sheffield Speech and Language Therapy Agency for their
forbearance during my secondment to the role of CQ3 Project
Manager.
G Caroline Pickstone for her unfailingly enthusiastic support during
the course of the project. Caroline also shouldered some of the
project manager responsibilities for a few months during 2004 at a
time when I was experiencing great family stress.
Kath Williamson
CQ3 Project Manager
Acknowledgements xv
xvi RCSLT CQ3 Handbook
Patron’s Endorsement xvii
xviii RCSLT CQ3 Handbook
Introduction
A User’s Guide to
Communicating
Quality 3 (CQ3)
Who is CQ3 for?

CQ3 has been written with three groups in
mind:
1. Members of the speech and language
therapy team, including students,
assistants, bilingual co-workers and SLTs
who are clinicians, educators or managers
2. Commissioners and purchasers of
speech and language therapy services
3. Stakeholders in speech and language
therapy services, including individual
users, user representatives and
colleagues in other professions.
What is CQ3 for?
The text sets out to:
G Inform members of the profession and
their colleagues of current guidance and
standards related to the organisation,
provision and development of speech and
language therapy services; as well as the
staff systems that underpin such provision
G Inform the process of commissioning
and purchasing of speech and language
therapy services
A User’s Guide to Communicating Quality 3 (CQ3) xix

G Inform users and their representatives of the standards they can
expect speech and language therapy services to meet.
What is the status of CQ3?
The content of CQ3 is for general guidance only. It does not attempt
to cover every eventuality and will be subject to change over time. It
is not to be relied on as legal advice. Where there are legal
concerns, members are advised to seek legal assistance, initially
through their employing organisation as appropriate.
However, members are advised that the guidance and standards
contained within CQ3 represent current professional consensus
opinion and may therefore be used in the context of disciplinary
hearings to assess the reasonableness of members’ actions.
What is CQ3 about?
Communicating Quality 3 sets out information, guidance and
standards to support the commissioning, organisation and provision
of services.
Although there is a degree of overlap between the RCSLT Clinical
Guidelines, Position Papers and CQ3, the documents are
complementary. CQ3 focuses on best practice in terms of service
organisation and provision. The clinical guidelines and position
papers focus on the details of best clinical practice with specific
client groups.
RCSLT
Clinical Guidelines & Communicating Quality 3
Position papers
Chapter one outlines the professional framework within which SLTs

and support practitioners work. It includes a mission statement for
speech and language therapy; the profession’s scope of practice
and the code of ethics and professional conduct.
Chapters two and three set out information in relation to the
international and national contexts, whilst chapter four outlines the
role of the RCSLT.
Chapter five contains guidance and standards relevant to the
organisation of services, including detail on developing the
xx RCSLT CQ3 Handbook

workforce, use of information, risk management, public and patient
involvement, resource management, staff management and
partnership working.
Chapters six and seven relate to service provision, detailing guidance
and standards around the notion of an individual’s journey along a
care pathway and within different contexts.
Chapter eight details information that will be particularly helpful for
commissioners and purchasers of services. The information refers to
specific client groups and is set out in the same way for each group:
G definition of group
G cross referencing with other client groups
G national guidance and sources of information
G aetiology
G incidence and prevalence
G vulnerability of individuals: risk issues
G SLT value.
Chapter nine contains information particularly aimed at service
managers. It sets out information and guidance related to monitoring
the quality of service provision; linking this to the processes of
service improvement and development
Minimum service standards are highlighted in bold throughout the
text and are summarised in Appendix 1. A list of sources of further
support and information is provided in Appendix 2.
Accessibility of CQ3
The content of CQ3 forms part of the RCSLT website as well as
being available in book form.
The RCSLT has taken advice from the RNIB with respect to the
accessibility of this document. As a result, the chapters of this
publication will be available in a large-scale format via the RCSLT
website and also on request from the RCSLT headquarters.
A User’s Guide to Communicating Quality 3 (CQ3) xxi

xxii RCSLT CQ3 Handbook
Terminology and
Abbreviations
Terminology
Individual has been used throughout the
text to describe the client, patient, child or
adult who may be receiving speech and
language therapy
Carer has been used to refer to partner,
spouse, parent, sibling, relative, friend
and professional carer. This reflects the
current trends in the public domain, as
well as providing a more manageable, if
less personal, description of those
people with whom the practitioner may
work.
Therapy or intervention have been
used in preference to treatment, as these
terms reflect the broader nature of
speech and language therapy work with
individuals and carers.
Speech and language therapist and
speech therapist are protected
professional titles under the Health
Professions order 2001 and are referred
to throughout the book as SLTs.
Support practitioner has been used
Terminology and Abbreviations xxiii

throughout to refer to support workers, assistants and bilingual co-
workers.
Practitioner has been used to encompass both SLTs and support
practitioners.
Communication disorder has been used to encompass speech,
language and communication disorder
Swallowing disorder has been used instead of the term dysphagia
as the term is more immediately meaningful to service users.
The term dysphagia describes eating and drinking disorders which
may occur in the oral, pharyngeal and oesophageal stages of
deglutition.
This therefore includes problems of positioning food in the mouth and
in oral movements, including sucking, mastication and the process of
swallowing.
Abbreviations
A&E accident and emergency (department)
AAC alternative and augmentative communication
ABI acquired brain injury
ADD attention deficit disorder
ADHD attention deficit hyperactivity disorder
AfC Agenda for Change
AHP allied health professional
ALD adult learning disability
AM Assembly Member (Wales)
AOS apraxia of speech
ARDS acute respiratory distress syndrome
ASD autism spectrum disorder
ASHA American Speech-Language-Hearing Association
ASL additional support for learning
ASLTIP Association of Speech and Language Therapists in
Independent Practice
AURE The Alliance of UK Health Regulators on Europe
BCLP bilateral cleft lip and palate
BME Black and minority ethnic (groups)
CAMHS Child and Adolescent Mental Health Services
(C)APD (central) auditory processing disorder
CASPLA Canadian Association of Speech-Language
Pathologists and Audiologists
xxiv RCSLT CQ3 Handbook

CCD cognitive-communication disorder
CCI Centre for Change and Innovation
CLD cognitive-language disorder
CLDT community learning difficulties team
COSHH Control of Substances Hazardous to Health
CHP community health partnerships
CP cerebral palsy
CPD continuing professional development
CPLOL Standing Liaison Committee of Speech and Language
Therapists/Logopedists in the European Union (Comité
Permanent de Liaison des Orthophonistes/Logopèdes
de l'Union Européenne)
CPPIH The Commission for Patient and Public Involvement in
Health
CNS central nervous system
CNST Clinical Negligence Scheme for Trusts
COPD chronic obstructive pulmonary disease
CQ Communicating Quality
CREST The Committee for Research and Education in Speech
and Language Therapy
CPR cardiopulmonary resuscitation
CRE Commission for Racial Equality
CSAG Clinical Standards Advisory Group
CVA cerebral vascular accident (stroke)
CDC Child Development Centre
DDA Disability Discrimination Act
DfES Department for Education and Skills
DH Department of Health
ECTS European Credit Transfer System
EEA European Economic Area
EC European Commission
EHEA European Higher Education Area
ELB Education and Library Boards (Northern Ireland)
ENT ear nose and throat
EBP evidence-based practice
EPG electropalatography
EPR electronic individual record
EU European Union
FAQs frequently asked questions
Terminology and Abbreviations xxv

FEES fibreoptic endoscopy evaluation of swallowing
FETO Fair Employment and Treatment (Northern Ireland)
Order
GOR gastro-oesophageal reflux
GP general practitioner
HEI higher education institution
HPC Health Professions Council
HQ headquarters
HR human resources
HR&CPS Health Records and Communication Practice Standard
HSC Health Service Circular
HSG Health Service Guidelines
IALP International Association of Logopedics and Phoniatrics
ICAS Independent Complaints Advocacy Service
ICF International Classification of Functioning
ICIDH International Classification of Impairment, Disability and
Handicap
ICT information communications technology
ICU intensive care unit
IDS International Diagnostic Standard
IDT inter-disciplinary team
INSET in-service training
IPR individual performance review
IT information technology
LEA local education authority
LMS local management of schools
MAT multi-agency team
MDT multidisciplinary team
MLA Member of the Legislative Assembly (Northern Ireland)
MP Member of Parliament
MSP Member of the Scottish Parliament
MRA Mutual Recognition Agreement
MRSA methicillin-resistant staphylococcus aureus
MRI magnetic resonance imaging
NARIC The National Recognition Information Centre for the
United Kingdom
NCSC National Care Standards Commission
NeLH National electronic Library for Health
NHSLA National Health Service Litigation Authority
xxvi RCSLT CQ3 Handbook

NHS National Health Service
NHSSB Northern Health and Social Services Board
NIASA National Initiative for Autism Screening and Assessment
NICE National Institute for Health and Clinical Excellence
NIO Northern Ireland Office
NI Northern Ireland
NPfIT National Programme for Information Technology
NPSA National Patient Safety Agency
NQP newly-qualified practitioner
NSF National Service Framework
NSCAG National Specialist Commissioning Advisory Group
OCD obsessive compulsive disorder
ODD oppositional defiant disorder
OT occupational therapist
PALS Patient Advice and Liaison Services
PCP personal care plan
PCT primary care trust
PDP personal development plan
PECS picture exchange communication system
PPI public and patient involvement
PRO public records office
QAA Quality Assurance Agency
QIS Quality Improvement Scotland
R&D research and development
RCSLT Royal College of Speech and Language Therapists
SBH standards for better health
SED self-evaluation document
SEN special educational needs
SENCOs special educational needs coordinators
SHA strategic health authority
SHOW Scotland’s Health on the Web
SIG Specific Interest Group
SIGN Scottish Intercollegiate Guidelines Network
SLCD speech, language and communication disorders
SLD/PMLD severe learning difficulties/profound and multiple
learning difficulties
SOP standards of proficiency
SLT speech and language therapist
SSSC Scottish Social Service Council
Terminology and Abbreviations xxvii

SSI specific speech impairment
SSLI specific speech and language impairment
TBI traumatic brain injury
UCLP unilateral cleft lip and palate
UNESCO United Nations Educational, Scientific and Cultural
Organisation
UNICEF United National Children’s Fund
UKCC United Kingdom Central Council for Nursing, Midwifery
and Health Visiting
UTI urinary tract infection
VPI/VPD velopharyngeal insufficiency/dysfunction
VOCA voice output communication aid
WHO World Health Organisation
See also Appendix 2 Sources of further support and information.
xxviii RCSLT CQ3 Handbook

Chapter 1
Professional
Framework

Statement and Scope of Practice
1.1.1 Who are we?
1.1.2 What roles do we undertake?
1.1.3 Who do we work with?
1.1.4 Where do we work?
1.1.5 What are the health, educational and
psycho-social benefits that speech and
language therapy can contribute to?
1.1.6 What are the outcomes of speech and
language therapy that will contribute to
these health, educational and psycho-social
benefits?
1.1.7 How are speech and language therapy
services provided?
1.2 Regulation of the Profession
1.3 Role of the RCSLT
1.4 Role of the ASLTIP
1.5 Professional Indemnity Insurance
1.6 Code of Ethics and Professional
Conduct
1.7 Working within a Legal Framework
1.7.1 Principles
1.7.2 Organisational responsibility
RCSLT CQ3 Handbook 1

1.7.3 Service level responsibility
1.7.4 Personal responsibility
1.7.5 Individual consent to care
1.7.6 Confidentiality
1.7.7 Duty of care
1.7.8 Delegation
1.8 Competent Practice
1.9 Decision-making
References
Chapter 1

Statement and Scope of Practice
To provide evidence-based services that anticipate and respond to the
needs of individuals who experience speech, language, communication
or swallowing difficulties.
Speech and language therapy works in partnership with these
individuals and their families and with other professions and agencies to
reduce the impact of these often isolating difficulties on people’s
wellbeing and their ability to participate in daily life.
1.1.1 Who are we?

Speech and language therapists (SLTs) are the lead experts
regarding communication and swallowing disorders.
This does not mean that others do not work within these areas, or
that others do not have many skills that may overlap with or
complement those of SLTs, but that SLTs, through their pre-
registration education, and later experience have greater depth and
breadth of knowledge and understanding of these clinical areas and
associated difficulties. This enables SLTs to lead on the assessment,
differential diagnosis, intervention with and management of
individuals with communication and swallowing disorders.
Where appropriate, and with the individual’s agreement, the SLT will
liase and work closely with other agencies and other professions,
including complementary therapies.
Speech and language therapy assistants and bilingual co-practitioners
are integral members of the speech and language therapy team,
employed to act in a supporting role under the direction of a
professionally qualified SLT.
2 RCSLT CQ3 Handbook

The RCSLT is working to develop a diverse workforce that reflects the
population served across the four UK countries, of England, Northern
Ireland, Scotland and Wales.
1.1.2 What roles do we undertake?

In broad terms, speech and language therapy occupational roles are
those of therapist, manager, researcher and educator.
Whilst an individual SLT may have a primary focus on one of these
areas, each practitioner is likely to be involved in many of the following:
Chapter 1
health promotion work focused on identified groups or populations
prevention work focused on identified groups or populations
assessment and differential diagnosis of speech, language,
communication and swallowing disorders
intervention focused on the individual with communication and/or
eating and drinking difficulties
individual 1:1 therapy
group therapy
advising and counselling carers
advocacy
consultancy (eg expert medico-legal practitioner; second opinions)
professional advice
learning and education
training and assessment of speech and language therapy students
and speech and language therapy support practitioners
training of volunteers and other members of the team
teaching
lecturing
peer review
peer support including formalised support of newly-qualified therapists
supervision, audit and performance management
service management
research
quality assurance
working within a team.
SLTs need to maintain a clear sense of their personal scope of practice
and competence.
SLTs need to remain clear when it is appropriate to refer on; to seek
further advice or to seek training in order to maintain or extend their
competence.
Professional Framework 1.1 3

Extended roles
The National Health Service (NHS) Plan (England) in 2000 formally
introduced the idea that registered staff, including SLTs, could formally
broaden or add to their scope of practice. This involves taking on
additional roles (eg consultancy, developing practice, prescribing
medication, undertaking invasive procedures) in relation to identified
individual groups that might previously have been undertaken by other
professional groups.
Chapter 1
1.1.3 Who do we work with?

Children (from neonates through to school age), adolescents and
adults with special needs in communication, communication disability
and/or swallowing disorders associated with:
diagnosed impairments, genetic and medical conditions
trauma
developmental delays
mental health problems
learning disability.
Children (from neonates through to school age), adolescents and
adults with special needs in the following areas:
speech
voice
fluency
language
psychologically based communication disorders
social skills
problem solving
literacy
swallowing functions
alternative and augmentative communication (AAC).
Parents and families, caregivers, communication partners, friends and
colleagues of people with communication and swallowing disorders.
Employers.
General public/community.
Volunteers.
Other professionals including:
allied health professionals
doctors, medical and surgical consultants, general practitioners (GPs)
social workers
early years practitioners
teachers
therapy assistants
interpreters
nurses
psychologists.
Speech and language therapy students.
Speech and language therapy colleagues.
Chapter 1
1.1.4 Where do we work?
Education:
local education authority (LEA) nurseries and schools (mainstream
and special)
language and communication units and colleges of further education
independent nurseries and schools
playgroups
government funded initiatives (eg education action zone projects).
Health and social care:
hospitals, day hospitals and hospices
specialist centres: child development centres, rehabilitation centres,
specialist joint consultative clinics
primary care: community clinics, community day centres
supported living homes
intermediate care
mental health services
initiatives in areas of social deprivation (eg Sure Start).
Legal system:
penal system/prisons
court tribunals
adult and child protection.
Voluntary/charitable organisations.
Independent practice.
1.1.5 What are the health, educational and psycho-social

benefits that speech and language therapy can contribute to?
improvement in general health and wellbeing
increased independence
improved participation in family, social, occupational and educational
activities
improved social and family relationships
reduction in the negative effects of communication disability and the
harm or distress this may cause to the individual and others
reduced risk of surgical intervention and poor nutrition in the case of
individuals with swallowing disorders
reduced health risks and length of hospital stay through the
prevention of respiratory problems associated with swallowing
difficulties
reduced risk of surgical intervention by maintaining healthy voice
Chapter 1
mechanisms
reduced risk of educational failure
reduced risk of social isolation
prevention of certain speech, language and communication
disorders.
1.1.6 What are the outcomes of speech and language therapy

that will contribute to these health, educational and pyscho-
social benefits?
diagnosis of communication and/or swallowing disorders
maintenance of optimal communication and/or swallowing abilities
improvement in the speech, language, communication abilities of
individuals
improved use of existing function
reduction of communication anxiety and avoidance
provision and use of AAC where oral communication is limited or
precluded by a physical condition
improvement in interaction and effective social communication
increased awareness of others about communication and/or
swallowing disorders, intervention and management
improved communication environment
greater opportunities for communication
improvement in the individual’s understanding of the nature and
implications of a communication and/or swallowing disorder.
1.1.7 How are speech and language therapy services

provided?
All intervention is delivered on the basis of ongoing assessment and
review of progress with the individual (and/or carer as appropriate) as
measured against targeted outcomes.

Various approaches or models of working have been developed to
meet the needs of individuals and context.
The following are key principles guiding the provision of services:
the rights, wishes and dignities of each individual and their carers
are respected at all time
effective intervention is based on a holistic understanding of the
individual, including their social, cultural, economic, political and
linguistic context
the safety of the individual is paramount
Chapter 1
speech and language therapy intervention aims to be efficient and
effective ie best results against targeted outcomes within given
resources.
Speech and language therapy services may operate at three levels:
the level of the person (working with individuals)
the level of their environment (working with people, processes or
settings)
the level of the wider community (influencing attitude, culture or
practice).
The form of intervention will vary according to the changing needs
of the individual and contexts.
Speech and language therapy works to encourage individual
autonomy and to discourage dependency on the therapist.
Intervention aims are relevant, achievable and likely to have the
greatest impact on daily life.
People with speech, language, communication or swallowing
disorders have a right of equal access to services regardless of age,
time post-onset, severity of disorder, geographical location, economic
status, linguistic and cultural background.
Services are provided in settings that will most readily facilitate the
development of communicative function.
The SLT works as an active member of the team to provide
coordinated services.
Speech and language therapy services are planned and developed
with reference to current evidence-based practice, research findings,
user perspective and expert opinion.
1.2 Regulation of the Profession
In October 2000 speech and language therapy became a state regulated
profession, regulated by the Health Professions Council (HPC).
Professional Framework 1.1/1.2 7

This means that anyone who wishes to practise in the UK as an SLT
must be registered with the HPC. No SLT is entitled to use the title or
allowed to work in the UK without HPC registration.
Registered practitioners are accountable to the HPC and to the RCSLT
in terms of standards of practice and individual care.
Further information on the HPC is in chapter four, RCSLT.
At present, speech and language therapy support practitioners are not
subject to regulation, although this is likely to change during the next few
years (DH, 2004).
Chapter 1
1.3 Role of the RCSLT

The Royal College of Speech and Language Therapists (RCSLT) is a
membership organisation providing and promoting:
support and professional leadership for members, including the
setting of standards
strategic direction for the profession
consistent, effective and accurate professional representation to
external bodies and the government
heightened public awareness of the medical, social and emotional
effects of communication, eating, drinking and swallowing difficulties
heightened awareness of the contribution of speech and language
therapy with the public, government, other professions and the media.
For further information see chapter four, RCSLT.
1.4 Role of the ASLTIP

The Association of Speech and Language Therapists in Independent
Practice (ASLTIP) has two main functions:
to provide information on independent speech and language
therapists throughout the United Kingdom
to support therapists in independent practice.
All ASLTIP therapists are certified members of the RCSLT
(Cert.MRCSLT) and registered with the HPC.
For further information visit: www.helpwithtalking.com
1.5 Professional Indemnity Insurance

The RCSLT provides an insurance policy that indemnifies all its
practising SLT members in the UK, Channel Islands and the Isle of
Man. This covers proven liability arising from alleged professional

negligence, breach of professional conduct and damage to property.
The policy covers the legal liability for injury to an individual occurring
during a community visit and also covers members who see individuals
in their own home.
It is essential that the RCSLT is informed immediately of any incident
that may give rise to a claim. No liability should be admitted and no
correspondence entered into without reference to the RCSLT. Members
are liable for the first part of any claim, at present £250.
Speech and language therapy support practitioners are not covered by
Chapter 1
professional indemnity insurance in their own right, but are covered for
claims brought against them whilst carrying out duties under the
supervision of an SLT.
1.6 Code of Ethics and Professional Conduct

The RCSLT code of ethics is grounded in the broad ethical principles of
healthcare, these being:
Respect for autonomy (self determination of individuals and
therapists). Enabling individuals to make reasoned and informed
choices.
Beneficence (the imperative to do good). There will be some benefit
to the individual.
Non-maleficence (the imperative to avoid doing harm).
Distributive justice (the notion that individuals in similar positions
should be treated in a similar manner).
Beyond these principles, the RCSLT code of ethics espouses:
the values of personal and professional integrity
a commitment to competent and effective practice
care for the individual who is the focus of practice
inclusion
team working.
Practising SLTs will:
hold an appropriate professional qualification
be registered with the HPC.
All practising SLTs are bound by the HPC standards of conduct,
performance and ethics, visit: www.hpc-uk.org
This provides the starting point for the RCSLT standards of ethical
conduct and performance, which will apply to all members of the
RCSLT, including all support practitioners.
The RCSLT endorses the HPC position in stating that the paramount

concern of RCSLT members must be the wellbeing of individuals for
whom a speech and language therapy duty of care exists.
The RCSLT therefore requires its members to be competent and to
maintain the highest ethical standards in the performance of their duties.
Every member is personally accountable for their conduct and
performance.
RCSLT members must:
act in the best interests of individuals using speech and language
therapy services
Chapter 1
respect the confidentiality of individuals using speech and language

therapy services
maintain high standards of personal conduct
report any important relevant information about personal conduct,
competence or health to their employers, the RCSLT and the HPC
be engaged in a process of keeping personal professional knowledge
and skills up to date
act within the limits of personal knowledge, skills and experience
maintain proper and effective communication with individual service
users, carers and other members of the team
effectively supervise delegated tasks
get informed consent to work with an individual (except in an
emergency)
keep accurate records in relation to individuals using speech and
language therapy services
deal fairly and safely with the risks of infection
limit work or stop practising if personal performance or judgement is
affected by health issues
carry out all duties in a professional and ethical way
behave with integrity and honesty
follow HPC guidelines when advertising SLT services
make sure that personal behaviour does not damage the speech and
language therapy profession’s reputation.
In addition to the HPC standards listed above, in relation to
individuals using speech and language therapy services, RCSLT
members must:
recognise the ethical dimension that exists within every clinical
decision taken
respect the needs and opinions of the individuals to whom a duty of
care is owed

ensure that the wellbeing of individuals is not compromised by any
action or omission on the part of the SLT
respect the legal, social and moral norms of the society and the
communities in which they work
strive to maintain objectivity in all their judgements
avoid activities which may give rise to a conflict of interest, and to
make explicit to all concerned any potential conflicts of interest
disregard prospects of professional advancement or personal gain
when making clinical or professional decisions
Chapter 1
decline gifts or hospitality from individuals which could be construed
as inducements to gain preferential therapy
refrain from guaranteeing the results of therapy and from making
false or exaggerated claims when promoting services
agree fees in advance in accordance with RCSLT recommended
norms and only charge for professional services rendered
in association with the RCSLT, educate and inform the public
regarding communication disability, ensuring the accuracy of such
information
retain the strictest confidentiality of information including that acquired
in the course of non-clinical duties, except in the following cases:
where there is valid written consent by the individual or the
individual's authorised representative
where necessarily imparted to a close carer in the individual's best
interests when, due to the nature of the individual's impairment, it is not
possible for consent to be gained
where there is a wider ethical or legal duty to disclose information
where required by the order of a court.
help protect the individual from the consequences of the disclosure of
confidential information
refrain from discrimination on the basis of age, cultural background,
gender language, race, religion, or any other consideration. Selection for
therapy should only be made on the basis of relevant individual
information and accepted standards of best practice
abstain from undertaking unnecessary therapy, or prolonging therapy
unnecessarily, by continually monitoring and evaluating therapy
effectiveness
make onward referrals of individuals as appropriate
not enter into inappropriate or disruptive personal relationships with
individuals

inform individuals of the nature and likely course of proposed
intervention and of the status of those involved in their care
gain valid consent for intervention from the individual and/or carers,
as appropriate, and respect the individual’s autonomy to give and
withdraw consent at any time. Consent must not be assumed except
in emergency situations (see HPC guidance), and should be in writing
for research purposes, or when videotaping
ensure familiarity with national guidelines and relevant legislation
and ensure that these are observed by all staff for whom the RCSLT
Chapter 1
member has responsibility.

In relation to involvement in research and development, RCSLT
members must:
conduct all research within an ethical framework and obtain
approval for research projects, from the appropriate Ethics
Committees
ensure that the presentation and reporting of research results
protects the anonymity of subjects
engage in audit and research using agreed and well-structured
methodology.
See chapter 9, Service Monitoring, Improvement, Evaluation and
Development
In relation to students RCSLT members must:
facilitate the development and education of students
share information, knowledge and skills to an appropriate level with
students
ensure adequate support and supervision for students, delegating
to them only such duties as fall within their competence, and to accept
full responsibility for their actions.
See RCSLT Position Paper The National Standards for Practice-based
Learning, 2006 at: www.rcslt.org
In relation to colleagues RCSLT members must:
share information, knowledge and skills to an appropriate level with
fellow professionals and support practitioners
ensure adequate support and supervision of speech and language
therapy support staff, delegating to them only such duties as fall within
their competence, and to accept responsibility for their actions
facilitate the development and education of colleagues as
appropriate
refrain from collaboration in therapy with practitioners who are not

appropriately qualified for the tasks they are undertaking
maintain liaison with professional colleagues in cases of concurrent
therapy
refrain from disparaging the competence or character of colleagues
make concerns regarding professional competence of colleagues
known to the appropriate employing, professional, statutory and/or
regulatory body.
See Intercollegiate position paper on Supervision, Accountability and
Delegation of Activities to Support Workers, 2006, at: www.rcslt.org
Chapter 1
In relation to an employer RCSLT members must:
work to the highest level of their ability within an agreed job
description
work within their employer’s quality assurance frameworks, policies
and procedures
endeavour to satisfy the requirements of the employer except when:
this conflicts with the best interests of the individual
the employer gives false information or issues misleading
statements
the directions of the employer place the SLT in significant physical
or psychological danger
the directions of the employer conflict with agreed professional
standards.
It is in the best interest of individuals that RCSLT members exercise
independent professional judgement at all times.
For further information on ethics see the UK Clinical Ethics Network
at: www.ethics-network.org.uk
1.7 Working within a Legal Framework

1.7.1 Principles
In order to meet the needs of all service users regardless of race,
religion or gender, it is incumbent upon all therapists to take action to
address inequalities in access to services and to adapt and develop
service models as appropriate.
It is imperative that SLTs are aware of their responsibilities within
current legislative frameworks and that individuals recognise their
personal and professional duty in complying within their statutory
obligations.
The levels of responsibility/accountability can be defined as follows:

1.7.2 Organisational responsibility
Each organisation is accountable for ensuring compliance with the
implementation of its local strategies and policies at national and
regional levels. Regional government may have existing structures and
organisations in place.
For example, the Commission for Racial Equality (CRE) can take action
and has a role to play in the monitoring of the Race Relations
(Amendment) Act (2000) in England.
Chapter 1
1.7.3 Service level responsibility

Each head of service or professional lead has a responsibility to
ensure that they and their staff are informed as to how their
organisation is responding to national/regional legislation. This will
require a knowledge of:
Which legislation is being implemented through local strategy and
policy and how this is being achieved.
What the gaps are.
What actions are required to ensure full service compliance.
What response will be required from the organisation.
It is important that service leads recognise that legislation can and
should be used to strengthen the case for improving local service
delivery by driving forward service developments which reflect national
and regional policies.
For example, the Race Relations (Amendment) Act includes a duty to
promote race equality. This duty provides service managers with a
legislative framework within which to develop a business case to
develop speech and language therapy services to ensure that they are
able to meet the linguistic, cultural and religious needs of people from
black and minority ethnic (BME) communities. The RCSLT
Bilingualism Specific Interest Group (SIG) has guidance to support
managers.
Service managers need to ensure that their policies meet the required
legislative requirements. Service managers are urged to identify the
leads in their organisation in order to facilitate them in this task.
Service managers have a duty to highlight any policies that fail to meet
the requirements due to organisational or service constraints. The
issues should be raised with senior managers through appropriate
communication lines to ensure that their organisation has ownership
and responsibility for service improvement.
It is recommended that service managers resource existing examples
of good practice. It may be helpful to identify a ‘buddy’ service that has
experience in order to help support this process.
Demographic information, prevalence and incidence data,
assessment of need, along with the legislative frameworks and any
policy directives should all be used to inform service improvement and
business plans.
See chapter 3, UK Political Context and chapter 8 Service Provision:
Part 3, Working With Specific Client Groups.
Chapter 1
1.7.4 Personal responsibility
All members have a responsibility to ensure that policies and
practice that fall within their personal scope of practice are in line with
legislation. This responsibility includes raising any concerns along with
potential solutions to address these issues.
With the advent of clinical governance, health professionals are
being increasingly called upon to examine the ethics that lie behind all
practice decisions.
Increasingly, processes related to ethical decision-making are being
undertaken in the public arena and are therefore subject to public
scrutiny. For example, as evidence grows regarding cost-effective
care, health managers are expected to be able to justify the
management of scarce resources. There is increasing debate about
national evidence-based recommendations, such as those produced
by the National Institute of Clinical Excellence (NICE), that limit
treatment for individuals, in order to shift resources to healthcare
areas which will benefit the majority.
SLTs are required to consider all aspects of professional decisions,
actions and omissions in relation to individual safety, practice efficiency
and practice effectiveness and should be able to justify these decisions
to individual individuals and the general public.
All decisions should therefore clearly reflect policy direction at each
level to ensure that service delivery is not found in breach of ethical or
moral guidelines.
Table 1 (below) sets out the types of accountability that all practitioners
need to be aware of.
1.7.5 Individual consent to care

Individuals have a fundamental legal and ethical right to determine

Table 1: Types of accountability for practitioners
Individual Accountability to For what?
accountability whom?
a) Employer Efficiency
Contractual (organisation or
accountability individual) Effectiveness
Chapter 1
Safety and wellbeing of

individual
b) HPC Efficiency
Professional professional conduct
accountability committee Effectiveness

individual
c) Public Effectiveness
Societal
accountability Safety and wellbeing of
individual
Individual/individual Effectiveness

individual

Requirements: fiscal Monitored and Enforced by…
and quality standards assured through…
to be adhered to
• Employment law • Individual Performance • Civil courts

• Contract of review (IPR) and
employment • Supervision/peer • Industrial
Chapter 1
• Local standards of review tribunals
practice • Individual feedback
• National Service • Audit
Frameworks • Reporting systems
(NSFs) • Outcome measures
• Service-level
agreements
• HPC and RCSLT • HPC registration • HPC

codes of conduct process
• Standards of • RCSLT continuing
proficiency professional
• RCSLT guidance development (CPD)
(CQ, clinical process
guidelines and • IPR
position papers) • Outcome measures
• Ethical research • Supervision/
guidelines peer review
• Duty of care • Individual
feedback
Criminal law • Individual report • Criminal

• Supervision/peer courts
review
• Civil law (for • Individual report • Civil courts

negligence, trespass • Supervision/
and other civil wrongs) peer review
• Duty of care

what happens to their own bodies. Valid consent to treatment is
therefore absolutely central in all forms of healthcare, providing personal
care to undertaking major surgery. Seeking consent is also a matter of
common courtesy between health professionals and individuals.
See Consent Key Document, Reference Guide to Consent for
Examination for Treatment, at: www.dh.gov.uk/consent
In order for consent to be valid, the individual needs to be:

competent to take the decision
Chapter 1
have received sufficient information to take the decision

not be under any pressure from any other source at the time.
Therapists are required to seek the consent of an individual, obtaining
either written or verbal consent from the individual or their carer prior to
service involvement.
As consent is an ongoing process, rather than a one-off decision,
therapists are also required to ensure that an individual/carer continues
to give consent throughout the process of service involvement.
Services will need to consider, in relation to each client group, at what
points in an individual’s journey through the service it may be
appropriate to seek further consent and how this might be documented.
Capacity to consent
A key principle of law is that every adult is assumed to have the capacity
to make his or her own decisions unless it is proved otherwise. Some
people may need help or support to be able to understand the decision
they are being asked to make and then to communicate that choice, but
the need for help and support does not remove their right to make their
own decisions.
Where there is doubt about an individual’s capacity, a doctor’s
assessment may be requested.
In broad terms, the individual:
must be able to understand the nature and effect of making or not
making the proposed decision
must be able to retain the information
must be able to exercise choice.
Legally, in England, Northern Ireland and Wales, no person can give or
withhold consent to healthcare and treatment on behalf of another
adult. However, for individuals who lack capacity to consent for
themselves, health professionals are generally allowed to provide

treatment without consent if it is considered to be clinically necessary
and in the best interests of the individual. (Mental Capacity Act, 2005).
In Scotland, a proxy decision maker who has the power to give
consent on behalf of the person may be appointed. (Adults with
Incapacity [Scotland] Act, 2000).
Working with children and young people – the legal position

Consent for assessment and intervention of children under the age of
16 will normally be sought from the parent/guardian.
Chapter 1
However, children under the age of 16 can give consent providing
that:
the practitioner raises the issue of their involvement with the
parent/guardian and documents their response, and
the child has sufficient maturity to understand the nature, purpose
and likely outcome of the assessment or intervention.
Efforts should be made to encourage the child that his/her
parent/guardian should be informed (except in circumstances where it
is clearly not in the child’s interest to do so) – (NHS Scotland, 2004).
When services are provided in an educational setting, the
headteacher cannot give consent for a child to be seen. This must
come from a person with parental responsibility:
one of the child’s parents
legally appointed guardian
a person in whose favour the court has made a residence order
concerning the child
a local authority designated in a care order in respect of the child
a local authority or other authorised person who holds an
emergency protection order in respect of the child.
Foster parents do not automatically have full parental responsibility
and clarity on this issue should be sought from those concerned
(Children Act, 1989).
Generally speaking, consent given by one person with parental
responsibility is valid, even if another person with parental
responsibility withholds consent.
Young people of 16 and over are able to give their own consent for
assessment and intervention, but this does not change the position
of parental responsibility. This means that two forms of consent are
possible between the ages of 16-18 (Family Law Reform Act, 1969).
Wherever a young person aged 16-18 has sufficient understanding of

what treatment is being proposed, that young person may consent to a
therapist assessing and intervening. The therapist must be satisfied that
any such young person has sufficient understanding of what this involves.
A full record should be made of the factors taken into account by the
therapist in the making of her/his assessment of the young person's
capacity to give a valid consent.
Parental consent should always be obtained where the young person of
16-18 does not have sufficient understanding.
Chapter 1
Standards and guidance

Each service/practice should have a clear policy relating to individual
consent. NHS organisations will have detailed guidelines on consent
and speech and language therapy department policies and procedures
should be in line with this guidance.
Consent may be implied or expressed. In many cases, individuals do
not explicitly give express consent but their agreement may be implied
by compliant action, eg keeping an appointment. Express consent is
given when an individual confirms their agreement to treatment in clear
and explicit terms whether orally or in writing. Written consent formalises
the process and should be linked to procedure and applied consistently.
Where therapists are practising in environments where consent
cannot be assumed, carer consent must be obtained to see the child, eg
screening in nurseries/schools.
It is recommended that written consent is obtained for:
individual participation in teaching exercises
intervention involving working with a student
individual participation in research projects
photographic or audiovisual recordings
use of invasive procedures.
Consent should be routinely recorded in case notes.
Individuals should be fully informed about proposed intervention and
consent should be gained for all care. It is good practice to provide a
written information leaflet explaining any procedures/interventions.
The most important element of consent is the duty to ensure that
individuals understand the nature and purpose of the proposed
intervention, together with the expected outcome. SLTs should ensure
that information about consent, and the way in which consent is
requested, is provided in the most appropriate and accessible format for
the individual/s concerned.

Where intervention options exist, the therapist must advise the
individual of her/his recommendations together with the reasons for
selecting a particular course of action. Sufficient information must
always be given by the therapist to ensure that the individual
understands the nature and consequences of each option. This is to
enable the individual to take a decision based on that information. The
therapist should assume that all individuals wish to be well-informed.
An individual’s rights in accepting or refusing aspects of
Chapter 1
assessment and intervention
An individual has the right under common law to give or withdraw
consent prior to examination or intervention.
Care must be taken in respect of the individual's wishes. This is
particularly relevant where individuals may be involved in student
training and/or research. An explanation should be given of the need for
practical experience and/or research, and agreement obtained before
proceeding. It should be made clear that an individual may refuse to
agree without adversely affecting his/her care.
SLTs must ensure that where an individual does not accept any
aspect of assessment or intervention, the therapist should respect that
decision and withdraw, recording the situation in the case notes.
Key documents
Legal frameworks to ensure that people who lack capacity are
protected:
Adults with Incapacity (Scotland) Act, 2000:
www.scotland.gov.uk/topics/justice
The Mental Capacity Act, 2005: www.dca.gov.uk/menincap/
bill-summary.htm#keyprinciples
The code of practice related to the Mental Capacity Act (2005)
outlines how capacity is assessed and by whom: www.dca.gov.uk/
menincap/mcbdraftcode.pdf
The Department of Constitutional Affairs has produced a guide for
professionals in relation to the Mental Capacity Act:
www.dca.gov.uk/family/mi/index.htm
Two sets of documents written from different perspectives for the
public and professionals can be accessed at: www.dh.gov.uk/
PolicyAndGuidance/HealthAndSocialCareTopics/Consent/Consent
GeneralInformation/fs/en

Consent – what you have a right to expect. Guidance for adults,
children and young people, people with learning disabilities, parents
and carers
Seeking consent from children, older people, people in prison,
people with learning disabilities. Guidance for therapists.
The DH website has consent forms for particular groups, including
children and young people, older people and people with learning
disabilities: www.dh.gov.uk/consentforms. It also has consent forms in
various formats, which cater for people from different linguistic
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backgrounds.
Human Rights Act, 1998 (Adults).
Children Act, 1989 (Children).
1.7.6 Confidentiality
What is confidentiality?
Confidentiality may be defined as maintaining security of information
obtained from an individual in the privileged circumstances of a
professional relationship.
This includes non-health information, for example, name, address and
details of financial or domestic circumstances.
Principles around maintaining confidentiality
Individuals have a right to expect that information given in confidence
will be used only for the purpose for which it is given and will not be
released to others without permission.
Whenever possible, consent should be sought to sharing of
information that is personal to an individual.
There are limits to confidentiality and circumstances may arise where
a health professional may be bound to breach it.
Breaching confidentiality
A breach of confidence is unethical, unprofessional and in some cases,
unlawful.
However, it should be remembered that a breach of confidence cannot
occur where prior permission to disclose has been sought and obtained
from the individual or carer.
Standards and guidance around confidentiality
Practitioners should retain the strictest confidentiality of information,

including that acquired in the course of non-clinical duties, except in the
following cases:
where there is valid written consent by the individual or the
individual's authorised representative
where necessarily imparted to a close carer in the individual's best
interests when, due to the nature of the individual's impairment, it is not
possible for consent to be gained
where there is a wider ethical or legal duty to disclose information
where required by the order of a court
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if information is requested by another professional authorised to
receive that information, who also owes the individual a duty of care.
In each of these situations, only as much information as is necessary
for the purpose should be released.
In the context of developing integrated care pathways and inter-
agency working, there is an increasing need to share information on
individuals. Services are encouraged to develop shared protocols
around what, when and how information will be shared.
Consent to disclosure of information

There may be occasions when a carer or individual requests that
information is not passed on. On these occasions, the practitioner must
indicate that, although every effort will be made to maintain
confidentiality, it can never be guaranteed: the information may need to
be shared with others on a need-to-know basis.
When an individual consents to disclosure of information, the
practitioner should ensure that they understand what will be disclosed,
the reasons for disclosure and the likely consequences.
Individuals should be informed whenever information about them is
likely to be disclosed to others involved in their care and be given the
opportunity to withhold permission.
In a situation where permission has not been sought or obtained, but
disclosure of information about a individual by a professional is under
consideration, the professional must ask the following questions of
herself/himself:
Was I categorically asked not to disclose?
Will withholding information affect the wellbeing of the individual?
Is the disclosure relevant?
If the answers to the above are positive, then maintaining confidentiality
may actually militate against the individual.

If a decision is taken to disclose confidential information, the practitioner
must be prepared to explain and justify their decision. The individual
should be informed of the decision.
See the NHS Confidentiality Code of Practice: www.dh.gov.uk
Guidelines for observing individual confidentiality when

obtaining support and in supervision
Confidential information from the individual can be discussed in
supervision. If it is to be discussed with colleagues, permission must
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be obtained from the individual.

Support or opinions can be obtained from colleagues, providing the
individual cannot be identified. Individuals should be told that you may
wish to discuss their case with a colleague, but that any information
disclosed is confidential to the department. A pre-appointment leaflet
or charter could also explain this.
Notes should be clear but brief if an individual gives details of their
personal life and emotional state.
Providing anonymity is kept, separate notes may be made for
supervision. These may include the subjective experiences of the
SLT and are for the SLT’s own learning objectives. They are therefore
not the case notes of the individual, nor should they become case
notes.
More information can be accessed on the DH’s website, visit:
www.dh.gov.uk
1.7.7 Duty of care

The information in this section is based on the work of K Malcomess,
2005.
The concept of duty of care sits in common law and is defined as
“doing what is reasonable” ie the care that would be given by a
reasonable person in the same position.
The standard by which practitioners are judged is that expected from
their position, standing and declared competence. The higher the
standard claimed, the higher the expectation of competence.
The definition of what is reasonable is that which a “respectable body
of opinion within the profession” would confirm to be so.
From a professional point of view, the duty of a therapist is
determined by the stage of therapeutic involvement the individual is
at along the timeline from pre-referral to post-discharge. It is critical

for a therapist to understand each stage of duty and the implications
of opening a duty of care to an individual.
Table 2 (below) outlines in brief the duty at each stage of therapeutic
involvement.
It is important to note that professional duty of care to an individual
does not open until the practitioner has decided and agreed to
intervene. By accepting a referral, the practitioner opens a duty to
assess and it is only once they have assessed the individual’s clinical
risk that the decision about whether to open a duty of care should be
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made. Duty to assess is not equivalent to duty of care and therapists
should take care to keep their individual and referrer well informed of
what their duty is at each stage of therapeutic involvement and when
they are moving to another stage.
Once a therapist has opened a duty of care, the extent of that duty will
rely heavily on the clinical risk for the individual. It is the role of all
therapists to identify whether the general risk faced by an individual (ie
foreseeable harm) constitutes a clinical risk and, therefore, whether a
duty of care applies, ie should it be managed or addressed by this
practitioner?
The only person who can identify a speech and language therapy
clinical risk is an SLT. An individual may present as being at general risk
as a result of a speech, language, communication or swallowing
difficulty, but this does not automatically indicate that a speech and
language therapy clinical risk exists. Whether or not an individual can
be helped by speech and language therapy will determine the existence
of a clinical risk.
Another important characteristic of duty of care is that therapists are
autonomous and fully responsible for their clinical decisions. As such,
therapists should always take care to record the reason for their clinical
judgements in order to support a view on what was reasonable at the
time. The test of what is reasonable, relates both to the stage of
therapeutic involvement the therapist is involved at, as well as to the
seniority and professional standing of the practitioner offering the care;
that is, a junior therapist will not be expected to have the same
accuracy of judgement as a senior one. However, even a junior
therapist cannot plead higher order, as acting on the instructions of a
senior therapist or manager when the therapist’s judgement contradicts
these instructions, is not considered reasonable.
However, the introduction of clinical governance structures within the

Table 2: Professional duty at each of the six
Stage of Duty Specific duties at this stage
therapeutic include:
involvement
Service Levels 1 To the • health promotion/prevention

and 2: population • education of referrers,
Focus on general
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general public and other

risk of the agencies about access, risk
population; how to and scope of practice
do the most good • informing commissioners
and least harm for about population risks
the most people • support for self-help and
support for other professionals
working with individuals
Service Level 2 To the • to process the referral in a

REFERRAL: referrer timely way
Focus is on • to have clear referral criteria
deciding whether or based on risk
not to accept the • to communicate the decision
referral (acceptance/non-
acceptance) to the referrer
• to communicate the length of
wait expected to the referrer,
who holds on to the duty of
care
Service Level 3 To assess • to identify the nature and

ASSESSMENT: impact of the presenting
Focus is on whether difficulties
there is a duty of • to identify general risks
care • to predict whether the
individual will benefit from
intervention (clinical risk)
• to identify the risks of
intervening/not intervening

stages of therapeutic involvement
Stage of therapeutic Duty Specific duties at this
involvement stage include:
Service Level 3 Duty of • to identify the individual’s

INTERVENTION: care to the goals and desired outcomes
Focus is on • to inform the individual of
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individual
discharging duty of and negotiate the likely
care by reducing outcomes of care
clinical risk or • to evidence effectiveness
identifying that and negotiate any further
individual cannot be input
helped • to prepare the individual
and carers for discharge
Service Level 3 Duty to • to hand back or hand over

DISCHARGE/ individual/ management of residual
TRANSFER TO referrer/ risk effectively
SPECIALIST SERVICE receiving • to inform individual of re-
OR SELF-MANAGED service referral routes and reasons
CARE: • to identify possible future
Focus is on handing risks and ways of
over the management managing these
of any residual or
future risks
POST-DISCHARGE, Duty to the • to evaluate clinical

SELF-MANAGED public effectiveness and cost-
CARE: effectiveness of care offered
Focus is on reviewing • to identify an changes in
effectiveness and policy required based on
adjusting policies effectiveness
• support for self-help and
support for other
professionals working with
individuals
• health promotion/prevention

NHS (DH, 1998) means that therapists employed within the NHS can
pass a decision up through the clinical governance mechanisms of
their organisation. In this way the organisation can agree to take on that
risk on their behalf as long as they have clearly articulated the risks of
following a particular instruction. It is recommended that this is done in
writing.
In essence, the therapist has the duty to do good and not harm and, as
such, the degree to which harm is foreseeable determines the extent of
the duty of care. Should harm occur to a individual whilst a therapist has
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an open duty to that individual, the test of whether they have breeched
their duty of care will relate closely to whether the harm was
foreseeable and the therapist took reasonable steps to avoid/reduce the
harm to the individual.
If the therapist has breached their duty of care, they can then be judged
to be negligent. Three dimensions must be present to prove negligence.
They are:
the therapist must have an open duty of care
there must be a breach of that duty, either by act or omission
there must be resultant harm directly from the breach of duty of care.
For example, negligence could be proved where:
intervention should only have been undertaken by someone more
highly experienced or with specialist expertise
onward referral should have been made and such referral was not
made, and harm resulted.
1.7.8 Delegation
The information in this section is based on the Intercollegiate Position
Paper Supervision, Accountability and Delegation of Activities to
Support Workers, 2006.
When delegating work to others, registered practitioners have a legal
responsibility to have determined the knowledge and skill level
required to perform the tasks within the work area. The registered
practitioner retains accountability for the delegation and the support
practitioner is accountable for accepting the delegated task and for
his/her actions in carrying out the task. This is providing that the
support practitioner has the skills, knowledge and judgement to
perform the assignment, the delegation of task falls within the
guidelines and protocols of the workplace, and the level of supervision
and feedback is appropriate.

What is delegation?
In this context, delegation is the process by which a registered
practitioner can allocate work to a support practitioner who is deemed
competent to undertake that task. This practitioner then carries the
responsibility for that task.
There is a distinction between delegation, and assignment. In the
former case the registered practitioner retains accountability for the
outcome of the activity. In the latter case both the responsibility and
accountability for an activity pass from one individual to the other.
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Choosing tasks or roles to be undertaken by support staff is a
complex professional activity; it depends on the registered
practitioner’s professional opinion. For any particular task, there are
no general rules. Additionally it is important to consider the
competence of the support practitioner in relation to the activity to be
delegated.
Principles of delegation
The registered therapist must ensure that delegation is appropriate.
The following principles should apply:
The primary motivation for delegation is to serve the interests of
the individual.
The registered therapist undertakes appropriate assessment,
planning, implementation and evaluation of the delegated role.
The person to whom the task is delegated must have the
appropriate role, level of experience and competence to carry it out.
Registered therapists must not delegate tasks and responsibilities
to colleagues that are beyond their level of skill and experience.
The support practitioner should undertake training to ensure
competence in carrying out any tasks required. This training should
be provided by the employer.
The task to be delegated is discussed and if both the therapist
and support practitioner feel confident, the support practitioner can
then carry out the delegated work/task.
The level of supervision and feedback provided is appropriate to
the task being delegated. This will be based on the recorded
knowledge and competence of the support practitioner, the needs of
the individual, the service setting and the tasks assigned.
Regular supervision time is agreed and adhered to.
In multi-professional settings, supervision arrangements will vary

and depend on the number of disciplines in the team and the line
management structures.
The organisational structure has well defined lines of accountability
and support practitioners are clear about their own accountability.
The support practitioner shares responsibility for raising any issues in
supervision and may initiate discussion or request additional information
and/or support.
The support practitioner will be expected to make decisions within the
context of a set of goals/care plan which have been negotiated with the
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individual and the healthcare team.

The support practitioner must be aware of the extent of his/her
expertise at all times and seek support from available sources, when
appropriate.
Documentation is completed by the appropriate person and within
employers’ protocols and professional standards.
For further information see :
Intercollegiate Position Paper, Supervision, Accountability and
Delegation of Activities to Support Workers, 2006: www.rcslt.org
RCSLT Competencies Project: Support Practitioners Framework, 2002:
www.rcslt.org
RCSLT Standards for Working with Support Practitioners, 2003
Chapter 5, Service Organisation.
1.8 Competent Practice
Practice as an holistic concept
Professional practice draws on and consists of a set of fluid and changing
ideas, knowledge, understandings, theories and frameworks, skills, values
and attitudes which interrelate with each other and are integrated in a
personal and unique way by each therapist. The context of work is equally
complex, existing as it does, within the arena of social engagement and
an ever-changing set of priorities, structures and systems.
Therapy is about making sound judgments and decisions through the
application of principles and frameworks.
Thus, professional practice, whilst open to a degree of functional analysis
and articulation, will always remain more than the sum of its parts.
The fundamental requirement of therapists is that they should act from a
position of commitment and care about the work they are engaged in.
Flowing from this comes a desire to continually improve the quality of
individual practice through a process of critical reflection and the

Figure 1
Competencies
Chapter 1
integration of evidence from the “outsider knowledge base”.
Quality of professional practice will be achieved and improved on
primarily by individual professionals working with integrity in a critically
reflective way. Further, professional autonomy is increased through
greater understanding of the decision-making process (RCSLT, 2001).
What is competence?
Put at its simplest, competence is an individual’s ability to effectively
apply all their knowledge, understanding, skills and values within their
designated scope of practice. It is witnessed by:
the effective performance of the specific role and its related
responsibilities
an individual’s critical reflection on their practice.
See figure 1
Capability sits beyond competence. It relates to an individual’s full
range of potentials that may go beyond current role and responsibilities.
Competencies (singular competency) are statements about what
needs to be carried out within the workplace and therefore form part of
how practice can be described.

Critical reflective practice and continuing professional
development activities (CPD) underpin and drive the maintenance of
competence.
Individuals and services need to consider both their immediate needs
(related to current responsibilities and competence) and longer-term
needs (related to future responsibilities and capability).
“In view of the diversity of individuals and unpredictability of health
issues that might present themselves in any given practice, it is evident
that clinical practitioners and supporting staff must have a wide and
Chapter 1
constantly updated knowledge base, and that they are required to keep
abreast of latest developments and emerging trends. They also require
an excellent understanding of the rest of the healthcare system so that
individuals can be referred and supplementary services can be ordered
as appropriate”. (National Primary Care and Trust Development
Programme, 2002).
A structure for competencies

A cross section of the model reveals hidden complexities in relation to
competencies (see figure 2).
Figure 2
Task
The most visible and obvious aspect of practice relates to task, ie what
is done.

Process
A further aspect of practice relates to process, ie how the tasks are
being carried out.
Judgement and decision-making
The least visible aspect, and one that lies at the heart of practice, is that
of professional judgement and decision-making.
Judgement and decision-making, based on a constant process of
clinical and ethical reasoning, emerges as the least visible yet most
important aspect of practice.
Chapter 1
Professional issues do not present as given problems ready to be
solved. Instead, the problems need to be framed through the process of
judgement (Schon, 1983).
Framing involves selecting and prioritising the aspects that are felt to be
relevant to the situation. As the process is therefore inevitably based on
personal values, theories of practice and certain assumptions that are
likely to be operating at a subconscious level, judgement emerges as
the fundamental aspect of practice and one that carries with it the
highest level of professional responsibility.
The process of confronting professional experience and uncovering the
values and assumptions that surround practice is key to professional
competence and professional development.
1.9 Decision-making
Professional action can never be pinned down and prescribed in
absolute terms beforehand. Professional practice is far greater than the
ability to deliver a service through a pre-determined care plan or
pathway. A therapist is constantly facing unique situations and practice
dilemmas not just in relation to individual individuals, but in relation to
managing caseload demands and all the unexpected happenings that
characterise practice.
Decision-making builds on the process of framing and results in the
therapist determining the best course of action at any one time given the
particular set of circumstances. A competent therapist therefore needs
to have high level reasoning skills in order to work with the many
relevant factors and perspectives involved when identifying the best
possible option.
In the public sector, the political and moral imperative for transparency of
decision-making, about clinical care and allocation of resources, has
never been higher. The demand for evidence-based practice is reflected

Figure 3
Consideration of principles
embedded in the law
Consideration of
clinical evidence
Chapter 1
Consideration of
ethical principles
Consideration of options in
relation to risks and benefits
Decision-making
with the individual
in professional regulation and accountability structures, with

professional re-registration relying more and more on an ability to
demonstrate reflective decision-making.
Practitioners should recognise that every practice decision, whether
relating to an aspect of service provision or to an intervention with an
individual, involves legal, ethical and clinical reasoning (Figure 3).
Ethical reasoning and ethical decision-making are closely related to
clinical reasoning and clinical decision-making. They are also closely
related to legal reasoning and legal decision-making.
However, each has a different set of guiding principles and it is possible
therefore, as a result of ethical reasoning to come to a different decision
from one which may result exclusively from clinical or legal reasoning.
Any professional decision-making process should take account of:

1) Reasoning from a legal perspective:
Involving principles that are embedded in the law.
Examples of this are:
Respect for other individuals (Human Rights Act, 1998; The Children
Act, 2004).
Protection of vulnerable individuals (Care Standards Act, 2000; The
Children Act, 2004; Protection of Children (Scotland) Act, 2003).
Confidentiality (Data Protection Act, 1998, Freedom of Information
Chapter 1
Act, 2000, Prevention of Terrorism Act, 1989, Computer Misuse Act,
1990).
Need for consent (Mental Health Act, 1983; Human Rights Act, 1998;
The Children Act, 2004; Family Law Reform Act, 1969; Adults with
Incapacity (Scotland) Act, 2002).
Providing quality services (Health and Personal Social Services Act
(Northern Ireland) 2003; Health Act, 1999).
Promotion of equality (Disability Discrimination Act, 1995, Section 21;
Race Relations (Amendment) Act 2000, Special Educational Needs &
Disability Act, 2001).
The Acts referenced above are not exhaustive, but are examples of
where principles are embedded in the law. Where an Act is applicable to
only one of the four UK countries, equivalent legislation is to be found in
relation to the relevant country.
For further details see section 1.7, Working within a Legal Framework.
Also see information related to legal acts within the four UK countries, in
Chapter 3, UK Political Context.
2) Reasoning from a clinical perspective:

Involving consideration of professional evidence at various levels
(personal expertise, peer opinion, professional consensus opinion,
published evidence) in relation to dimensions such as:
best practice (methods, timing etc)
predicted outcomes
degree of certainty
risks of intervention
risks of non intervention.
See also sections on Service Organisation and Service Provision in
chapters 5,6,7 and 8, RCSLT Clinical Guidelines, 2005 and RCSLT
position papers.

3) Reasoning from an ethical perspective:
Involving consideration of broad ethical principles (Beauchamp and
Childress, 2001):
respect for autonomy
beneficence
non-maleficence
justice.
See also section 1.6 on Code of Ethics and Professional Conduct.
Chapter 1
4) Consideration of options:
Involving a comparison of the risks and benefits of each of the possible
options, both for the individual and, as appropriate, for the wider community.
See also 5.4.3 on Workload Management and 5.6.1 on Risk
Management
5) Decision-making with the individual:
Involving a balancing of various factors, including consideration of:
The wishes of the individual. (The individual may be an individual, an
at-risk group or a commissioner).
The needs and interests of the individual, the organisation and
society.
The course of action which will minimise risk and maximise good.
What is reasonable and possible.
Complexity of decision-making
Decision-making is becoming more complex for a number of reasons:
Advances in practice knowledge and technology.
The influence of mass media making practice knowledge public
property.
Increased scrutiny of practice.
Move to team decision-making.
Financial and resource constraints.
This, coupled with an increased emphasis on holding professionals
accountable for their acts and omissions, means that practitioners and
managers must be prepared to make their reasoning processes explicit.
Some practice decisions have become embedded in custom and
practice in the form of policies and procedures (for example,
discharging individuals on the basis of non-attendance). The RCSLT
recommends that these decisions should be revisited by managers or
lead-therapists as part of a service review.

Practitioners also have a responsibility to challenge policies where they
feel these are not in the best interests of individuals.
References
Beauchamp, TL & Childress, JF. Principles of Biomedical Ethics, 5th
edition. Oxford University Press, 2001.
Department of Health. The NHS Confidentiality Code of Practice,
2003. www.dh.gov.uk
Chapter 1
Department of Health. The NHS Plan: A plan for investment, a plan
for reform, 2000. www.dh.gov.uk
Department of Health. Reference guide to consent for examination
or treatment, 2001. www.dh.gov.uk
Department of Health. Regulation of Health care support Staff in
England and Wales, 2004. www.dh.gov.uk
Intercollegiate Position Paper on Supervision, Accountability and
Delegation of Activities to Support Workers, 2006.
Malcomess, K. The Care Aims Model in Anderson C, van der Gaag
A (eds) Speech and Language Therapy: Issues in Professional
Practice. Whurr Publishers, 2005; pp43-71.
NHS Modernisation Agency. National Primary Care and Trust
Development Programme, 2002. www.natpact.nhs.uk
NHS Scotland. Fraser guidelines, teenagers, consent and
confidentiality, 2004. www.show.scot.nhs.uk
Taylor-Goh, S. RCSLT Clinical Guidelines. RCSLT, 2005.
www.rcslt.org
RCSLT. Competencies Project: Support Practitioner Framework,
2002. www.rcslt.org
RCSLT. Model of Professional Practice and Professional
Competencies, 2001.
RCSLT. Position Paper – The National Standards for Practice-based
Learning, 2006
Schon, DA. The Reflective Practitioner: How Professionals Think in
Action. Basic Books, 1983.
Scottish Executive Health Department and Social Work Services
Inspectorate. Regulation of Health and Social Care Support Staff in
Scotland, 2004. www.scotland.gov.uk
Williamson, K. Capable, confident and competent, RCSLT Bulletin,
592,12-13.

Acts of Parliament
All available at: www.opsi.gov.uk
Adults with Incapacity (Scotland) Act 2000
Care Standards Act 2000
The Children Act 1989
Computer Misuse Act 1990
Data Protection Act 1998
Disability Discrimination Act 1995
Chapter 1
Family Law Reform Act 1969

Freedom of Information Act 2000
Health Act 1999
Health and Personal Social Services Act (Northern Ireland) 2001
Human Rights Act 1998
Mental Capacity Act 2005
Mental Health Act 1983
Prevention of Terrorism Act 2005
Protection of Children (Scotland) Act 2003
Race Relations (Amendment) Act 2000
Special Educational Needs and Disability Act 2001

Chapter 2
International Context
2.1 Introduction
2.2 International Influences on the
Profession
2.3 Speech and Language Therapy
Practice in other Countries
2.4 International Speech and Language
Therapy Professional Bodies
2.5 International Bodies concerned with
Communication Disorders and
Professional Matters
2.6. Other Professional and Service User
Associations
2.7 Broadening of the European Union
and its Implications for Speech and
Language Therapy
2.8 International Practice Standards
2.9 UK SLTs Working Abroad
2.10 Overseas SLTs Working in the UK
2.11 The Mutual Recognition of
Credentials Agreement
2.12 Conclusion

2.1 Introduction
Healthcare systems are commonly organised at the level of the
nation-state, and many professional networks and organisations
follow this same pattern. However, international dimensions of health
and professional organisation are becoming more important, and it is
necessary to consider them as a part of the overall context within
which our profession works. International networks have for many
years been important in the development of the scientific knowledge
Chapter 2
base of the profession. With an increase in globalisation and

professional mobility, an interest in professional and educational
issues has also increased. This has resulted in greater international
collaboration between professional associations.
Within Europe, the European Union (EU) has increasing influence on
the status of employed and independent practitioners within
professions, and its Bologna Agreement aims to increase the
alignment of higher education systems across Europe that may
influence the development of the profession in the future. The
RCSLT adopts a proactive role in participating in and influencing
these international and European initiatives, and international
involvement forms part of the RCSLT’s strategic aims, see:
www.rcslt.org/about/strategicplan
2.2 International Influences on the Profession
World Health Organisation

The World Health Organisation (WHO) is another major influence on
many aspects of healthcare. Its family of International Classifications
provides universal terminology for descriptions of conditions, health
outcomes and interventions.
The major revision of the International Classification of Functioning,
Disability and Health (ICF), 2001, has moved away from being a
“consequences of disease” classification (as in the 1980 version) to
become a “components of health” classification. Within a social
model framework, this takes into account the social aspects of
disability and has gone some way to provide a tool for SLTs to
communicate with colleagues about communication disability and
healthcare across the world.
However, many issues still remain a challenge in providing common

terminologies and taxonomies for speech and language therapy, not
just across languages and cultures but even within and across
English speaking countries. More information on the WHO and its
publications can be found at: www.who.int/en
Free movement of European nationals

A Directive of the European Parliament and of the Council on the
Recognition of Professional Qualifications was adopted in June 2005
(COD) 2002/0061 (presented by the Commission pursuant to Article
Chapter 2
250 (2) of the EC Treaty). The Directive aims to simplify existing rules
on the mutual recognition of professional qualifications by
consolidating existing sectoral and general systems Directives under
one umbrella piece of legislation.
The basic principle behind these Directives is: if you are qualified to
practise a profession in your home country, you are qualified to
practise the same profession in any other EU country. You are
entitled to recognition to work in another EU member state under the
Directive if your professional qualifications (education and
professional experience) enable you to work in your home EU
member state. Requirements are placed on both the individual
seeking to work in another member state and on the host state
responsible for processing the individual applications.
SLTs should note that the legislation acknowledges that
professionals treating patients have to meet appropriate and
consistent standards, including language competence. The Directive
states that applicants should have the necessary knowledge of the
language of the host country. This allows member states to check
the applicant’s language skills before granting the authorisation to
practise. The host member state has the right to request that an
applicant undertakes “compensation measures” which can be
additional tests or courses, to ensure that he/she has the knowledge
and skills necessary to practise his/her profession in the host
member state.
Health professionals must ensure that EU initiatives to facilitate the
free movement of European Economic Area (EEA) migrants are
coupled with arrangements guaranteeing the systematic exchange of
fitness to practise information among all member states, in order that
public protection is not compromised.
SLTs who want further information about the implementation of the
International Context 2.2 41

Directive and the employment of European trained SLTs, or who wish
to seek employment in another European country may find the
following sources of information useful:
www.cplol.org
CPLOL is the Standing Liaison Committee of Speech and
Language Therapists and Logopedists in the EU and provides
details of education for SLTs and professional practice in European
countries and useful contact addresses.
Chapter 2
www.naric.org.uk
The National Recognition Information Centre for the United
Kingdom (UK NARIC) is the national agency under contract to the
Department for Education and Skills (DfES) and is the official source
of information and advice on the comparability of international
qualifications from over 180 countries worldwide to those in the UK.
www.aure.org.uk
The Alliance of UK Health Regulators on Europe (AURE),
includes the Health Professions Council (HPC), and campaigns on
behalf of UK regulators for standards in Europe.
The Bologna Process

The Bologna Process is an EU reform process that aims to establish
a European Higher Education Area (EHEA) by 2010. It follows on
from the Bologna Declaration of 19 June 1999, signed by the
education ministers in 29 European countries, including the UK.
By 2005, 40 countries agreed to harmonise their systems of higher
education to facilitate academic and professional recognition and
allow greater mobility of students, teachers and researchers. The
aim of the process is to make the higher education systems in
Europe voluntarily converge towards a more transparent system.
The links between research and education are seen to benefit from
synthesis between the EHEA and the European Research Area. The
different national systems are to cooperate with regard to quality
assurance, degrees should be easily readable and comparable and
to this end higher education should adopt:
A common framework based on two cycles: undergraduate
degree/bachelor level (at least three years study), and postgraduate

master level (conditional upon successful completion of first cycle)
leading up to a doctorate. Most UK speech and language therapy
qualification programmes fit this model for education. The issue,
however, is whether the professional qualification is achieved at
bachelor’s level or masters or even doctorate level, with there being a
strong view within Europe that the professional qualification should
be at postgraduate level, and in some countries this is already the
case.
A system of accumulation and transfer of credits based on an
Chapter 2
European Credit Transfer System. This is already used successfully
under the EU Socrates-Erasmus training programme to quantify
study and allow mobility of students as well as provide a means of
comparing one programme of study with another.
A commitment to lifelong learning.
The progress of the Bologna Process across Europe is being
regularly monitored and meetings of ministers set targets for
achievement of each part of the process. They have laid emphasis
on the need to make the EHEA attractive to the rest of the world. It is
therefore incumbent upon existing and new programmes of study in
the UK to comply with the Bologna Process and to ensure
appropriate quality assurance measures are in place, not only at
institutional and national level, but that they meet European
standards.
2.3 Speech and Language Therapy Practice in

other Countries
Practice and service provision can vary quite legitimately between
different places within the UK and between different countries. There
has always been a debate about the limits of the profession and its
scope within the UK, and some of the activity on the international
level is to do with this debate.
There are different views about what types of practitioner should be
accepted as fitting any given definition of the speech and language
therapy profession, and how far they should be accepted as fit to
practise in a country other than the one where they trained. It cannot
be taken for granted in every case that someone who calls
themselves an SLT is officially qualified to be one.
Consequently assessing the equivalence of individual practitioners is
a complex process. Questions can also arise in considering what
International Context 2.2/2.3 43

type of recognition particular organisations might be accorded within
international forums such as CPLOL. The different titles for
professionals used in different languages further illustrate this
complexity, as can be seen in the list within the CPLOL statutes.
For more information, visit: www.cplol.org
2.4 International Speech and Language Therapy

Professional Bodies
The speech and language therapy profession has developed in a
Chapter 2
variety of ways in the countries where it is practised, and the history

and national context of the country involved has a big impact on the
shape of the profession and its networks today.
For example, in countries like Belgium and Switzerland, there are
separate associations covering the linguistic communities within the
population. Within other countries, there are separate speech and
language therapy professional organisations, that may be in
competition with each other.
In some countries, a professional speech and language therapy
organisation has a role both in setting professional standards, and in
negotiating with governments and employers on employment
conditions and pay.
Professional associations can have varying levels of influence or
control over the education of SLTs. Some countries have a body
focusing on communication disorders, but may include a range of
other professionals as members, not purely SLTs.
SLTs within other countries may work more in independent and
private practice, or be reimbursed by state health insurance systems.
All these factors have a big impact on how professional bodies are
set up, how they operate, and how they deal with international
matters and international networks.
2.5 International Bodies concerned with
Communication Disorders and Professional
Matters
CPLOL
The Standing Liaison Committee of Speech and Language
Therapists and Logopedists in the EU is generally known by its
French abbreviation, CPLOL, which stands for “le Comité Permanent

de Liaison des Orthophonistes et Logopèdes de l’Union
Européenne”. It was created in 1988, when the French professional
association, la Fédération Nationale des Orthophonistes invited
professional bodies in the EU (then the European Economic
Community) countries to meet and work together, in response to the
actions of the European authorities in laying down new requirements
for professional training and regulation.
The then College of Speech Therapists (CST) was a founder
member of the Committee. CPLOL has monitored the actions of the
Chapter 2
EU, and worked to influence the EU on speech and language therapy
issues. Members have been particularly concerned about the free
movement of workers and the recognition of qualifications, as well as
working to ensure that the language competencies required for
speech and language therapy practice could not be undermined.
The Committee has also worked on a range of projects related to
professional training and standards of practice, sharing experience,
resources and materials. Particularly for smaller countries and newer
professional associations, CPLOL has offered important networking
and support. CPLOL has regularly run scientific conferences and
maintains a major interest in speech and language therapy
education.
For details of current and past projects, visit: www.cplol.org
IALP
The International Association of Logopedics and Phoniatrics (IALP)
was founded in 1924. It has a worldwide membership of over 50
national societies from 38 countries, and more than 400 individual
members. It aims to help clinicians around the world to improve the
treatment of people with communication disorders.
IALP holds scientific congresses and publishes the journal Folia
Phoniatrica six times a year. It has informative status with world
bodies including the United Nations Children’s Fund, the United
Nations Educational, Scientific, and Cultural Organisation and the
WHO.
Membership of IALP is not restricted to SLTs or to speech and
language therapy organisations, and some member bodies are
multidisciplinary organisations in clinical fields such as voice
disorders. The RCSLT is a corporate member of IALP.
For more details, visit: www.ialp.info
International Context 2.5 45

2.6 Other Professional and Service User
Associations
In addition to the national associations and international bodies
concerned with the practice and practitioners of speech and
language therapy, there are also national and international
associations and networks that cater for the professional, academic
and individual or carer interests within different client groups serviced
by SLTs. Links to many of these are on the RCSLT website, visit:
Chapter 2
www.rcslt.org/resources/links/
2.7 Broadening of the European Union and its

Implications for Speech and Language Therapy
The EU continues to expand, and in May 2004 its 15 members
received 10 new member states into the Union, including countries
from the former Eastern block and Cyprus and Malta. It is likely to
expand still further in the future. The countries within the EU have a
variety of speech and language therapy professional systems, and
these are of particular interest to CPLOL as the European umbrella
body for speech and language therapy.
The expansion of the EU does not change the freedom of movement
for qualified workers as described above, and also in the sections
below. There is so far no indication of a large influx of qualified SLTs
to the UK from other countries (either existing or new EU members),
looking for employment or self-employment.
There are, however, more requests for clinical placements in UK
services, even though the profession in the UK has at times had
difficulty providing enough placements for home students. There has
always been a regular exchange of SLTs to and from the Republic of
Ireland, both for training and for employment, arising out of long-
standing links and contacts between the speech and language
therapy professions in the two countries.
2.8 International Practice Standards

There is some variation of standards for clinical practice across
different countries. These have arisen as a consequence of historical
differences in the ways the professions have evolved in these
countries in relation to other services, and of the differing cultural,

social and legal contexts. However there are also some broad
similarities, particularly where SLTs approach their practice within a
strong ethical framework, and are viewed as autonomous
practitioners by the society within which they work.
Greater alignment of standards is emerging as professional
associations have given attention to the movement of SLTs between
countries and the consequent increasing internationalisation of their
workforce.
Chapter 2
2.9 UK SLTs Working Abroad
Many UK trained SLTs have worked abroad in the past. SLTs who are
interested in this should note however that, with increasing regulation
of health professionals, this can be a complicated matter. It may take
some time to complete the official procedures in order to obtain
official authorisation to practise in a foreign country and the systems
change frequently. It is therefore important to start the research and
information-gathering needed in good time, and certainly well before
leaving the UK. The RCSLT provides detailed information on working
overseas, visit: www.rcslt.org/cpd/internationalworking
2.10 Overseas SLTs Working in the UK

Many SLTs who have qualified outside the UK are able to practise
within the UK. The specific requirements will depend on where the
applicant was educated, and if they can meet the professional and
English-language requirements laid down by the HPC. Again, the
situation changes from time to time and more up-to-date information
is available from the RCSLT and the HPC.
2.11 The Mutual Recognition of Credentials

Agreement
A Mutual Recognition of Credentials Agreement (MRCA) was signed
on 31 August 2004 and came into effect on 1 January 2005. The
MRCA provides for the mutual recognition of professional certification
between the four speech and language therapy/pathology
associations in America (the American Speech–Language–Hearing
Association), Australia (Speech Pathology Australia), Canada (the
Canadian Association of Speech–Language Pathologists and
Audiologists) and the UK (the RCSLT).
International Context 2.8–2.11 47

These associations established that the professional knowledge and
competencies of their respective practitioners were substantially
equivalent and that it was therefore possible for certified members of
one association to become recognised by the other associations.
The MRCA is not one of reciprocal recognition, in that each
association requires certain conditions to be met before granting
certification to practise in each country. It also does not extend to
provincial, state or country licensing/registration, which is the
responsibility of the respective licensing or registration authorities.
Chapter 2
The MRCA only applies to the certified practitioners of the respective

associations.
In seeking common understandings of the practice of speech–
language pathologists and of the means by which the associations
maintain practitioner competence and safeguard the interests of
clients, it was recognised that responsibility for ethical practice is
assumed individually by autonomous practitioners, and collectively by
autonomous associations.
The associations also recognised that similar competency outcomes
can be achieved through different educational and professional
practices. The associations exercise a fundamental role in monitoring
the standards of education and practice, and practitioners
collaborate by complying with these standards. Thus the MRCA rests
on the reliance by each of the associations on the integrity of the
systems and procedures of the other associations for ensuring a
level of competence of practitioners substantially equivalent to that of
their own certified members.
The associations agreed that many benefits exist to the international
community in establishing a transparent, robust, and professionally
and ethically sound basis for the mutual recognition of credentials of
speech–language therapist/pathologists. These are:
Assisting the academic community, continuing education providers,
industry, regulatory authorities and the public by identifying common
standards of clinical competence.
Facilitating the ongoing exchange of knowledge as it relates to
research, continuing professional development, emerging
technologies and other aspects of professional practice.
Promoting greater international understanding of the role of
speech–language therapists/pathologists.
Responding to governmental interests to reduce trade barriers.

Streamlining the mutual recognition process for individuals who are
certified by the signatory associations and improving mobility for
employment abroad.
Providing a process for the inclusion of other countries interested
in the mutual recognition of qualifications and credentials for
speech–language therapists/pathologists.
The MRCA has facilitated an exchange of knowledge and
understanding between the associations that has permitted a deeper
appreciation of their respective standards and procedures and of the
Chapter 2
principles underlying these. This has contributed to the continuing
development of standards within the associations and to the intent to
maintain this understanding through the monitoring of the MRCA.
Just as the negotiation of the MRCA was approached in a spirit of
fostering understanding and inclusion, the associations are also
committed to exploring ways of broadening this inclusion and
understanding to other associations. The associations believe that
the principles upon which the current MRCA is based provide viable
guidelines and mechanisms for achieving this.
2.12 Conclusion
The world is more global and international than ever before.
International developments and influences will become increasingly
important in the future for the profession and for health and
education systems more generally.
Individual SLTs are increasingly interested in travel and in working
abroad and, at a corporate level, there are more reasons to develop
the international profile and involvement of speech and language
therapy. The transformation of communications systems and easier
travel will have longer-term consequences that may not yet be
obvious. These are already reflected in the international strategy
being developed by the RCSLT, and in the increasing contact
between professional bodies as described above.
As a profession concerned with communication, it is important that
SLTs play an active part in building the profession around the world
and developing networks to support better care for individuals.
International Context 2.11/2.12 49

Chapter 2

Chapter 3
UK Political Context
3.1 What is Government?

3.1.1 The UK Executive
3.1.2 The UK Parliament
3.1.3 The Scottish Parliament and the
Scottish Executive
3.1.4 The National Assembly for Wales
and Welsh Assembly Government
3.1.5 The Northern Ireland Office and the
Assembly
3.2 Legislation Relevant to the Profession
3.2.1 UK wide
3.2.2 England
3.2.3 Scotland
3.2.4 Wales
3.2.5 Northern Ireland
3.3 Government Strategy across the UK
3.3.1 What is strategy?
3.3.2 NHS and social care strategies
3.3.3 Children’s services/education
strategy
References

3.1 What is Government?
All governments in the UK divide into two parts:
a) The Executive, made up of ministers (elected politicians), their
deputies or juniors and the civil service, eg Department of Health
(DH). The Executive or cabinet is also sometimes called “the
government”. In Scotland the generic term for Ministers plus the civil
service is “the Executive”.
b) Parliament or Assembly – made up of elected politicians who are
Chapter 3
not Ministers. In the UK Parliament or Westminster there are

Members of Parliament (MPs); in Scotland there are Members of the
Scottish Parliament (MSPs); in Wales, Assembly Members (AMs);
and in Northern Ireland, Members of the Legislative Assembly
(Northern Ireland) (MLAs).
3.1.1 The UK Executive

The UK Executive, or government, is the institution that runs the
country. It formulates policy and introduces legislation in Parliament.
3.1.2 The UK Parliament

The United Kingdom Parliament today comprises members from
England, Northern Ireland, Scotland and Wales. There are two-
chambers: the House of Lords (the upper house) and the House of
Commons (the lower house). The legislative process involves both
Houses of Parliament and the Monarch.
The main functions of Parliament are to:
make UK law (other than that dealt with by devolved governments)
by voting to accept or reject proposals for law (sometimes called Bills
or White Papers) emanating from the Executive or from individual
MPs (a Private Members Bill). Once accepted and given “Royal
Assent” by the Queen, a Bill becomes an Act
approve, including voting for taxation, the means of carrying on the
work of government
scrutinise government policy and administration, including
proposals for expenditure
debate the major issues of the day
protect the public and safeguard the rights of individuals
examine European proposals before they become law
hear appeals in the House of Lords, the highest Court of Appeal in Britain.

UK Parliament and Government Departments
House of House of
Commons Lords
Prime Minister
Chapter 3
Cabinet Ministers
Government
Departments
Office of
the Deputy Home Cabinet Wales
Prime Office Office Office
Minister
Northern Foreign and

Scotland
Ireland Commonwealth
Office
Office Office
Transport Health Education and

(DfT) (DH) Skills (DfES)
International Work and

Ministry of
Development Pensions
Defence (MOD)
(DfID) (DWP)
Trade Culture, Constit- Environment,

Media
and utional Food and HM
and
Industry Affairs Rural Affairs Treasury
Sport
(DTI) (DCMS) (DCA) (DEFRA)
UK Political Context 3.1 53

An Executive and Parliament can be in place for a maximum of five
years. At any time up to the end of this period, a general election
can be held for a new House of Commons.
In 1998 the UK Parliament voted to devolve the majority of their
powers and functions covering domestic policy to the Scottish
Parliament, Welsh and Northern Ireland Assemblies.
The policies and law relevant to SLTs and their clients, that remain
the remit of Westminster, are as follows;
All English domestic law and policy, eg health, education, social
Chapter 3
work, etc. These laws also apply in Wales and Northern Ireland but
the respective devolved governments are empowered to produce
orders affecting implementation in their respective countries.
Tax and benefits.
Equality legislation, ie in relation to ethnicity, gender, ability etc.
Industrial relations law, eg health and safety, public sector pay,
Trade union laws, some regulation of professions, (ie HPC).
European law.
3.1.3 The Scottish Parliament and the Scottish Executive

The Scotland Act (1998) established the Scottish Parliament on 1
July 1999 when the Scottish Parliament assumed its full powers.
The Scottish Parliament (Executive plus Scottish Parliament) has
jurisdiction over the following policy areas of relevance to SLTs and
their clients:
health and community care
local government/councils
education – mainstream, special
children’s services
lifelong learning – including higher education
rural development
justice – including protection of vulnerable people
implementation of equal opportunities legislation
public expenditure in Scotland
voluntary sector including some direct funding.
The Scottish Parliament is made up of 129 Members of the Scottish
Parliament (MSPs). It is split into the Scottish Executive (Ministers plus
civil service, eg Scotish Executive Health Department) and the
Scottish Parliament (MSPs who are not ministers).

The Scottish Executive
First Minister
Deputy First Minister
Chapter 3
Scottish Executive
ministers
Minister for Minister for Minister for Minister for

Minister for Education Enterprise Environment Finance
Communities and Young and Lifelong and Rural and Public
People Learning Development Services
Minister for Minister for

Minister for
Health and Minister Tourism Minister for
Parliamentary
Community for Justice Culture and Transport
Business
Care Sport
Scottish Executive departments
Justice Department Health Department Environment and

(SEJD) (SEHD) Rural Affairs
(SEERAD)
Development Education Enterprise and

Department Department Lifelong Learning
(SEDD) (SEED) (SEELLD)

Ministers in the Executive are accountable to the Scottish
Parliament. The Scottish Parliament has statutory committees
matching the portfolios of Ministers, eg Scottish Parliament
Health and Community Care Committee, Education Committee,
Communities Committee, Equal Opportunities Committee, etc.
These committees are made up of MSPs from all political
parties.
The Scottish Parliament:
makes Scottish law and approves policies by voting to accept
Chapter 3
or reject proposals for law or policies (Bills) emanating from the

Executive, from individual MSPs (Private Members’ Bills) or from
Scottish Parliament committees. Once accepted and given
“Royal Assent” by the Queen, a Bill becomes an Act
scrutinises, votes on and eventually approves the budget for
expenditure proposed by the Executive
may vote to approve or reject UK-wide legislation – such a
vote sends a “signal” to Westminster but has no influence in
statute
debates the major issues of the day.
For further information see the Scottish Executive website and
the Scottish Parliament website: www.scottish.parliament.uk
3.1.4 The National Assembly for Wales and Welsh

Assembly Government
Parliament passed the Government of Wales Act, 1998, that
established the National Assembly for Wales, and the National
Assembly for Wales (Transfer of Functions) Order, 1999, that
enabled the transfer of the devolved powers and responsibilities
from the Secretary of State for Wales to the Assembly on 1 July
1999. Subsequently many acts of Parliament have given new
powers to the Assembly.
The Assembly decides on its priorities and allocates the funds
made available from the Treasury. Within its powers, the
Assembly develops policy and approves legislation, that reflect
the needs of the people of Wales. Politicians, who are
accountable through the ballot box to voters in Wales, make
decisions about these issues.
The National Assembly for Wales consists of 60 AMs. It has

The National Assembly for Wales
First Minister
Welsh Assembly
Government
Chapter 3
Minister of
Minister of Business Minister of Economic
Finance Minister Social Justice Development and
Transport
Minister of Minister of
Minister of Minister of
Education and Culture, Welsh
Health and Planning and
Life long Language and
Social Care Countryside
Learning Sport
delegated many of its powers to the First Minister, who, in turn,

has delegated to the cabinet ministers – the Welsh Assembly
Government.
Wales remains part of the UK and the Secretary of State for
Wales and MPs from Welsh constituencies continue to have
seats in Westminster. Laws passed by Parliament in Westminster
still apply to Wales.
For more information, visit: www.wales.gov.uk

The Northern Ireland Assembly
Office of First Minister (OFM)

and Deputy First Minister (DFM)
Chapter 3
NI Executive (Ministers)
NI Executive Departments
Agriculture
Enterprise,
Regional and
Trade and
Development Rural
Investment
Development
Culture, Employment
Arts and Environment Education and
Leisure Learning
Health,
Finance and Social Services Social
Personnel and Public Development
Safety

3.1.5 The Northern Ireland Office and the Assembly
The role of the Northern Ireland Office (NIO) is to support the
Secretary of State for Northern Ireland in securing a lasting peace,
based on the Good Friday Agreement. When power has been
devolved to the Northern Ireland Executive, the Secretary of State
retains responsibility for constitutional and security issues as they
relate to Northern Ireland, in particular law and order, political
affairs, policing and criminal justice. Victims issues are handled by
the NIO’s Victims Liaison Unit and the NIO also has responsibility for
Chapter 3
matters relating to the licensing and legislation concerning firearms
and explosives.
The Northern Ireland Assembly was established in December 1999
as part of the Belfast Agreement and meets in Parliament Buildings.
The Assembly is the prime source of authority for all devolved
responsibilities and has full legislative and executive authority.
During devolution, economic and social matters are the
responsibility of the Northern Ireland Executive.
The Executive’s main function is to plan each year, and review as
necessary, a programme of government with an agreed budget. This
is subject to approval by the Assembly, after scrutiny in Assembly
committees, on a cross-community basis. The Assembly has ten
statutory committees. Membership of committees is in broad
proportion to party strengths in the Assembly to ensure that the
opportunity of committee places is available to all members. Each
committee has a scrutiny, policy development and consultation role in
relation to its department and a role in the initiation of legislation.
For more information visit: www.niassembly.gov.uk and
www.nio.gov.uk
3.2 Legislation Relevant to the Profession

3.2.1 UK wide
All available to view or download from: www.opsi.gov.uk.
Disability Discrimination Act, 1995 (Section 21)

This section gives material and publications about the
implementation of Section 21 of the Disability Discrimination Act,
which is the section of the Act with implications for health service
provision, practice, policies and procedures.
UK Political Context 3.1/3.2 59

The Race Relations (Amendment) Act, 2000
The Race Relations Act (2000) provides new laws for race equality. It
strengthens the Race Relations Act (1976). The 2000 Act outlaws
race discrimination (direct, indirect and victimisation) in all public
authority functions not already covered by the 1976 Act.
It outlaws race discrimination in the terms and conditions that apply
to public appointments. It also places a general duty on listed public
authorities to be proactive in promoting race equality. This will require
them to work to avoid unlawful discrimination before it occurs and to
Chapter 3
promote equality of opportunity and good relations between persons

of different racial groups.
Disability Discrimination Act, 2005
Places a duty (Disability Equality Duty) on public bodies to carry out
their functions with “due regard” to the need to eliminate
discrimination against and harassment of disabled people; promote
greater equality for disabled people; promote positive attitudes to
disabled people, and encourage disabled people to participate in
public life. It comes into affect from 4 December 2006. Associated
codes of practice and guidance is published or to be published by
the Disability Rights Commission, visit: www.drc.org.uk
Data Protection Act, 1998
The Data Protection Act (1998) seeks to strike a balance between
the rights of individuals and the sometimes competing interests of
those with legitimate reasons for using personal information.
The Data Protection Act gives individuals certain rights regarding
information held about them. It places obligations on those who
process information (data controllers) while giving rights to those
who are the subject of that data (data subjects). Personal
information covers both facts and opinions about the individual.
Visit: www.informationcommissioner.gov.uk
See also chapter 5, Service Organisation, section 5.5 Use of
Information.
3.2.2 England
Care Standards Act, 2000
The Care Standards Act (2000) established a major regulatory
framework for social care to ensure high standards of care and will

improve the protection of vulnerable people. Its implementation led to
the establishment of the independent National Care Standards
Commission (NCSC). The DH standards and regulations in regard to
the Act can be found at: www.dh.gov.uk/publications
Health Act, 1999

An Act to amend the law about the National Health Service (NHS).
It makes provision in relation to arrangements and payments
between health service bodies and local authorities with respect to
Chapter 3
health and health-related functions.
NHS Reform and Health Care Professions Act, 2002

This Act received Royal Assent on 25 June 2002. This Act contains
an updated version of guidance issued to primary care trusts (PCTs)
and strategic health authorities (SHAs) and can be used as a
reference for major legislative and organisational changes resulting
from the passage of this Act.
Mental Capacity Act, 2005

The Act provides a statutory framework to protect vulnerable people,
carers and professionals. It makes it clear who can take decisions in
which situations and how they should go about this. The Act starts
from the fundamental viewpoint that a person has capacity and that
all practical steps must be taken to help the person make a decision.
Mental Health Act, 1983

The Mental Health Act (1983) makes provision for the compulsory
detention and treatment in hospital of those with mental disorders.
Education Act, 2002

The Education Act (2002) received Royal Assent in July 2002. The
Act implements the legislative commitments set out in the White
Paper Schools – Achieving Success. It is a substantial and
important piece of legislation, intended to raise standards, promote
innovation in schools and reform education law.
Visit: www.dfes.gov.uk/educationact2002
Special Educational Needs and Disability Act, 2001

This Act strengthens the right to a mainstream education for pupils

with special educational needs (SEN), where parents want it and
where it is compatible with the efficient education of other children.
It requires local education authorities (LEAs), schools, colleges,
universities and providers of adult education not to discriminate
against disabled people in their access to education, for reasons
relating to their disability. It requires LEAs and schools to plan to
increase progressively, and over time, access to schools by disabled
pupils and prospective pupils. Visit: www.dfes.gov.uk
Chapter 3
The Children Act, 2004

This Act provides a legislative spine for the wider strategy for
improving children’s lives. This covers the universal services that
every child accesses, and more targeted services for those with
additional needs. Its overall aim is to encourage integrated
planning, commissioning and delivery of services as well as
improve multi-disciplinary working, remove duplication, increase
accountability and improve the coordination of individual and joint
inspections in local authorities. The legislation is enabling rather
than prescriptive and provides local authorities with a considerable
amount of flexibility in the way they implement its provisions. Visit:
www.dfes.gov.uk/publications/childrenactreport
The Children Act, 1989

The Children Act (1989) covers the following: reforms the law
relating to children; makes provision for local authority services
for children in need and others; amends the law with respect to
children’s homes, community home, voluntary homes and
voluntary organisations; makes provision with respect to fostering,
childminding and day care for young children and adoption, and
for connected purposes. Visit:
www.dfes.gov.uk/publications/childrenactreport
Freedom of Information Act, 2000

This Act gives the right to access information held by public
authorities including: central government; local authorities; NHS
services; schools; police. Visit: www.informationcommissioner.gov.uk
See chapter 5, Service Organisation, section 5.5 Use of
Information.

The Care Standards Act, 2000
The Care Standards Act (2000) changed the regulatory framework
covering regulated care providers. Under the Act, the National Care
Standards Commission (NCSC) becomes responsible for regulating
care standards. This Act explains how care service providers should
transfer their registration or licences to the NCSC, as specified by the
Act’s Transitional Provisions Order. The transfer arrangements cover
residential care homes, nursing homes, children’s and nurse agencies.
The Act introduced new registration categories and requires a number of
Chapter 3
previously exempt services, such as boarding schools, to be registered.
It sets out detailed guidance in these areas and also includes a
timetable for data transfer and sample data transfer documentation.
3.2.3 Scotland
Useful websites
www.scotland.gov.uk – information on all Scottish Executive
departments and contacts, including health, education, communities
(covering equal opportunities) and justice. It provides several useful
links to government bodies.
www.show.scot.nhs.uk – “Scottish Health on the Web” (SHOW)
contains Scottish Executive documents and policies, plus a lot more.
www.scottish.parliament.uk – information on the Scottish Parliament;
details the progress of bills, debates, motions and petitions; and lists
all MSPs with their contact details.
Anyone can register on any of these websites to get regular updates.
All public libraries in Scotland should provide access to legislation
and/or policies, as can your MSP (see the Scottish Parliament
website for contact details of your local MSP).
Regulation of Care (Scotland) Act, 2001

This Act set up the:
a) Scottish Commission for the Regulation of Care (Care
Commission), which sets national care standards. It uses these
standards to regulate and inspect the following care services in
Scotland:
care homes
school care accommodation
independent healthcare services

nurse agencies
childcare agencies
secure accommodation services
offender accommodation services
adoption and fostering services
adult placement services
childminding
day care of children – including nurseries
housing support services.
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Information on the Commission and national care standards are

available at: www.scotland.gov.uk
b) Scottish Social Services Council (SSSC) which deals with
regulation and training of social service workers, including social
workers and care assistant.
More information is available at: www.sssc.uk.com
Community Care and Health (Scotland) Act, 2002

This Act:
provides for expansion of access to direct payments for non-
residential service users, giving people the ability to purchase their
own services
enables expansion of joint resourcing and management of
services relevant to health and community care between NHS
Scotland and local authorities, ie the Joint Future Agenda.
More information is available at: www.scotland.gov.uk
National Health Service Reform (Scotland) Act, 2004

This Act:
establishes Community Health Partnerships (CHPs) including
statutory right of AHPs to have representatives on CHP lead
committees. Contact the RCSLT Scotland Office for more information
on CHPs and what they mean for SLTs
places a duty on Health Boards and Special Health Boards to
involve the public in the planning, development and operation of
health services
places a duty on the Health Boards to take action to promote
health improvement
provides for the governance of NHS staff (ie family friendly
policies, etc)

provides for the promotion of equal opportunities in the NHS.
More information is available at: www.scottish.parliament.uk and
www.scotland.gov.uk
Education (Additional Support for Learning) (Scotland) Act,

2004
The Education (Additional Support For Learning) (Scotland) Act
2004 came into effect in November 2005, and establishes a new
framework for supporting children and young people with additional
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support needs.
The Act establishes:
the concept of “additional support needs” which is much wider
and more encompassing than “special educational needs”
new duties on education authorities and others. Education
authorities are required to identify and make adequate and efficient
provision for the additional support needs of children and young
people
more rights for parents – parents can request an education
authority to establish whether their child has additional support
needs and whether they require a coordinated support plan
new dispute resolution arrangements for parents, in addition to
mediation
a new Code of Practice that sets out how the new system will
operate, entitled Supporting Children’s Learning, 2005
better planning and preparation for transition to post-school life
removal of the current Record of Needs and the introduction
of the new Coordinated Support Plan for those who need it.
A Coordinated Support Plan must be prepared for those with
enduring complex or multiple needs that require support from
outwith education services.
The act obliges “other agencies” including health to “help” the
education authority fulfil its duties within certain timescales set by
regulations – to be issued (and alterable) by ministers. Definitions
of “help” have been agreed by the AHP Action Group and are
available from the Scottish Executive Additional Support Needs
Division
A summary of the Act is available at: www.scotland.gov.uk/Topics
/Education/School-Education
More information is also available at the Enquire website, designed

specifically for parents and guardians of children with additional
support needs, visit: www.childreninscotland.org.uk/enquire/
A multi-agency training pack on the implementation of the Codes
and leaflets about the role of AHPs including a specific leaflet for
SLTs is also available from the Scottish Executive website.
Education (Disability Strategies and Pupils’ Educational

Records) (Scotland) Act, 2002
The Act requires education authorities to:
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prepare accessibility strategies to improve access to education for

pupils with disabilities
review and implement these strategies.
www.scotland.gov.uk
The Standards in Scotland’s Schools etc Act, 2000

This Act places a duty on education authorities to improve the quality
of school education and to ensure education is directed to the
development of the personality, talents and mental and physical
abilities of the child or young person to their fullest potential. In
carrying out their duties, an education authority must have due
regard, so far as is reasonably practicable, to the views (if there is a
wish to express them) of the child or young person, in decisions that
significantly affect that child or young person, taking account of the
child or young person’s age and maturity.
More information is available at: www.scottish.parliament.uk
Protection of Children (Scotland) Act, 2003

An Act establishing a list of individuals whom they consider to be
unsuitable to work with children and prohibiting these individuals from
doing certain work relating to children. The list must be checked by
prospective employers and added to by employers at time of
identification.
www.scotland.gov.uk
Children (Scotland) Act, 1995

This Westminster Act covers:
parental responsibilities and parental rights

promotion of children’s welfare by local authorities and by
children’s hearings, etc
support for children and their families.
More information on the Act can be found at: www.scotland.gov.uk
Adults with Incapacity (Scotland) Act, 2000

This Act makes provision in relation to the property, financial affairs
and personal welfare (including healthcare) of adults who are
incapable by reason of mental disorder or inability to communicate.
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Part V of the Act (revised late 2005/early 2006) refers to medical
treatment and consent to treat.
The extensive roles and responsibilities of SLTs in respect of this Act
and its associated Codes of Practice are available from the RCSLT
Scotland Office. An RCSLT Adults with Incapacity Network in
Scotland also provides support to SLTs.
The Act was slightly amended in 2005 (as part of the Smoking,
Health and Social Care [Scotland] Act) to extend the range of
professionals who can issue certificates of incapacity (in lieu of direct
consent by the adult) and to extend the time that a certificate can
apply to up to three years.
More information is available at: www.scotland.gov.uk
Mental Health (Care and Treatment) (Scotland) Act, 2003

The 2003 Act replaces the 1984 Act. It establishes new
arrangements for the detention, care and treatment of persons who
have a mental disorder.
This comprehensive Act covers:
the welfare of the child in mental health services
equal opportunities
Mental Welfare Commission
medical examinations
provision of services for people under 18 and mothers
emergency detention
Compulsory Treatment Orders and Care Plans
assessment of needs in the community
safeguards regarding consent to medical treatment by those who
are “incapable”
treatments given over time
patient representation

advocacy
provision of information to patients
provision of information to patients with communication difficulties.
More information, including easy to read guides and guidance notes
to be published, is available from:
www.scotland.gov.uk/Topics/Health/health/MentalHealth/mhlaw/home
Joint Inspection of Children’s Services and Inspection of

Social Work Services (Scotland) Bill, 2005
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This Bill gives authority for multiple agency inspections and gives
these agencies the legal powers to access and share information
jointly – including health records and speech and language therapy
records for the purposes of child protection. These bodies will be
required to ensure that the joint handling and sharing of any sensitive
information is carried out in full compliance with legal obligations set
out in the Human Rights Act 1998 and the Data Protection Act 1998.
The Bill will be supported by robust protocols that enable information
to be provided and ensure the necessary confidentiality.
See: www.scottish.parliament.uk
3.2.4 Wales
Health (Wales) Act, 2003
An Act to make provision about Community Health Councils in
Wales; to establish and make provision about the Wales Centre for
Health and to make provision for the establishment of, and otherwise
about, Health Professions Wales.
Children’s Commissioner for Wales Act, 2001

This Act implements the policy of the Government and the National
Assembly for Wales on establishing a Children’s Commissioner for
Wales with a wide-ranging scope, which encompasses all children in
Wales and different sectors and services.
For more information visit: www.wales.gov.uk
3.2.5 Northern Ireland

Useful websites
www.niassembly.gov.uk – includes Bills before Assembly.

www.parliament.uk – includes details of Bills currently before
Parliament.
www.opsi.gov.uk – includes the text as passed of General Acts from
1988, Local Acts from 1991, Statutory Instruments from 1987, all
Statutory Rules from 1997 and a large number from 1981 to 1986.
Also all Acts of the Assembly.
www.bailii.org – includes text of Statutes Revised Northern Ireland.
Also UK Statutes from 1996.
www.opsi.gov.uk/legislation/northern ireland/ni-acts.htm – information
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on Northern Ireland Acts and Orders.
The Mental Health (Northern Ireland) Order, 1986

This is the principal Act governing the treatment of people with
mental health problems in Northern Ireland. The Order covers all
aspects of compulsory admission and subsequent treatment.
Besides these emergency procedures, there are other sections of
the Act under which a person can be detained in hospital without
their consent.
In October 2002, the Department of Health, Social Service and
Public Safety initiated a major, wide-ranging and independent review
of the law, policy and provision affecting people with mental health
needs or a learning disability in Northern Ireland.
Visit: www.opsi.gov.uk
The Health and Personal Social Services (Quality,

Improvement and Regulation) (Northern Ireland) Order, 2003
This Order creates an independent body, the Northern Ireland Health
and Personal Social Services Regulation and Improvement Authority,
and introduces a number of measures to address quality issues and
procedures within health and personal social services in Northern
Ireland.
Visit: www.opsi.gov.uk
The Commissioner for Children and Young People (Northern
Ireland) Order, 2003
The principal aim of the Commissioner in exercising his functions
under this Order, is to safeguard and promote the rights and best
interests of children and young persons. In determining whether and,
if so, how to exercise his functions under this Order in relation to any

particular child or young person the Commissioner’s paramount
consideration shall be the rights of the child or young person and/or
the regard in particular to the ascertainable wishes and feelings of
the child or young person (considered in light of age and
understanding)
Visit: ww.opsi.gov.uk
The Equality (Disability, etc) (Northern Ireland) Order, 2000

The Disability Discrimination Act is the main anti-discrimination
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legislation for disabled people in the UK. However, the European

Convention on Human Rights may help fill in some gaps. The
Convention was brought into UK law by the Human Rights Act
(1998), and thus differs from most international conventions in the
relative ease with which individuals can rely on their rights under it.
Visit: www.equalityni.org
Health and Safety at Work (Amendment) (Northern Ireland)

Order, 1998
The Health and Safety at Work (Amendment) (NI) Order (1998)
imposes duties on employers and employees in all aspects of health
and safety in the workplace. This legislation, together with the
Management of Health and Safety at Work Regulations (NI) (1992)
and other relevant laws applicable to this workplace, must be
adhered to at all times.
Visit: www.niassembly.gov.uk/
The Fair Employment and Treatment (Northern Ireland)
Order, 1998
The Fair Employment and Treatment (Northern Ireland) Order
(1998) makes it unlawful to discriminate against someone on the
ground of religious belief or political opinion. This includes a
person’s supposed religious belief or political opinion and the
absence of any religious belief or political opinion.
The Order defines three types of unlawful discrimination:
Direct discrimination – where a person, on grounds of religious
belief or political opinion, is treated less favourably than others are,
or would be, treated in the same or similar circumstances.
Indirect discrimination – occurring where a provision, criterion or
practice, although applied equally to all, would put persons of a

particular religion or belief at a particular disadvantage compared
with other persons unless that provision, criterion or practice is
objectively justified by a legitimate aim.
Victimisation – treating someone less favourably than others
because they have, for example, complained of alleged
discrimination or have assisted someone else to do so.
Visit: www.ofmdfmni.gov.uk
The Access to Health Records (Northern Ireland) Order,
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1993
This gives individuals certain rights regarding information held about
them. It places obligations on those who process information (data
controllers) while giving rights to those who are the subject of that
data (data subjects). Personal information covers both facts and
opinions about the individual.
Visit: www.opsi.gov.uk/legislation/northernireland/acts/
See chapter 5, Service Organisation, section 5.5 Use of
Information.
Health and Personal Social Services Act (Northern Ireland),

2001
This Act amends the law about the national health service regarding
provision in relation to arrangements and payments between health
service bodies and local authorities with respect to health and
health-related functions. It confers powers to regulate any
professions concerned (wholly or partly) with the physical or mental
health of individuals. In particular this act introduced the concept of
primary care trusts.
Visit: www.opsi.gov.uk/legislation/northernireland/acts
Personal Social Services (Preserved Rights) Act (Northern

Ireland), 2002
This Act introduces new arrangements for funding and managing
the care of people with social security “preserved rights”. Previously,
anyone who could find a place in an independent sector residential
care home could have that place funded by social security, subject
only to a means test. From April 1993, this changed and, before
anyone is admitted to a care home paid for from public funds,
assessment under a Health and Social Services Trust’s care

management procedures is mandatory. This ensures those admitted
to homes actually need that level of care, and to help maintain
people in their own home with appropriate support where that is a
feasible alternative.
Visit: www.opsi.gov.uk/legislation/northernireland/acts
Special Educational Needs and Disability (Northern Ireland)

Order, 2005
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The Special Educational Needs and Disability (Northern Ireland)

Order (2005) came into operation on 1 September 2005.The law
increases the rights of children with special educational needs
(SEN) to attend mainstream schools and introduces disability
discrimination laws for the whole education system in Northern
Ireland for the first time. Further information on the SEN aspects of
the law is available from the local Education and Library Board
(ELB) SEN advice service, or from the Department of Education.
For further information on disability discrimination visit:
www.deni.gov.uk
The Education and Libraries (Northern Ireland) Order, 2003

One of the main purposes of this Order is to provide the Department
of Education with an enabling power to introduce a single common
formula for the calculation of school budgets for all schools funded
under Local Management of Schools (LMS) arrangements (Articles
3-9). The Order also contains a range of other provisions on
education matters, which introduce technical or minor amendments
to existing legislation. These provisions can be grouped under the
following generic headings:
best value in the delivery of ELB services (Articles 13-16)
improve the operation of certain elements of the education system
for the benefit of pupils/parents/ELBs/department (Articles 20, 21,
23-27, 31 and 37)
provide for the greater delegation of authority from the Department
to ELBs (Articles 29, 30 and 32)
strengthen elements of children’s rights (Articles 17-19, 34 and 36)
access to the special education system for pupils from outside
Northern Ireland (Article 22).
Visit: ww.deni.gov.uk

3.3 Government Strategy across the UK
3.3.1 What is strategy?

A strategy is a long-term plan of action spanning normally five to 10
years. It generally starts with a vision (a definition of where the
organisation wants to be in 10 years time). The vision is often broken
into several “themes”. Under each theme there are common aims,
which may, or may not, be further broken into objectives the
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organisation is going to implement to achieve their vision. Aims and
objectives can be spelled out in detail but they always represent the
overarching work plan for the whole organisation in the medium to
long term.
3.3.2 NHS and social care strategies

NHS Scotland – Our National Health: A Plan for Action, A Plan for
Change, 1999, www.show.scot.nhs.uk
NHS England – The NHS Plan: A Plan for Investment, A Plan for
Reform, 2000 – www.dh.gov.uk
NHS Wales – Improving Health in Wales: A Plan for the NHS with its
partners, 2001 – www.wales.gov.uk
NHSSS Northern Ireland – Investing for Health, 2002 –
wwwinvestingforhealthni.gov.uk
Common themes
Public health agenda and reducing health inequalities
Governments across the UK are demanding and supporting:
a) the development of attitudes and services which promote healthy
lifestyle choices for all communities (particularly those who
historically reflect above average mortality and morbidity such as the
unemployed, older people, people with disabilities and black and
ethnic minority communities)
b) improving the life circumstances of the whole community. Health is
no longer seen as the preserve of those working in the health
service. Prevention of ill health and promotion of good health is the
responsibility of every individual and every public, private and
voluntary sector worker and organisation should promote this.
Policies contributing to this agenda include:
equity of access
UK Political Context 3.2/3.3 73

patient information – to improve access to services
healthy lifestyles in respect of diet, smoking, alcohol, exercise, stress
management, health at work, etc
improving life circumstances such as housing, transport,
environments, employment
good mental health initiatives
Sure Start/parenting skills
social inclusion.
The service quality agenda, service structures and
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relationships
Governments across the UK have established organisations that set
standards of practice for all levels of service provision. The
standards increase the accountability of services to the public they
serve and to increase the parity of services across the country in
relation to all care groups.
Accountability drives efficiency and effectiveness in service provision
including the streamlining of decision-making structures.
Accountability has also driven a change in what influences services,
how they are planned, how they are delivered (and by whom) and
where and how innovation is encouraged and supported. In all four
countries, health services are statutorily required to listen to patients
and work in close partnership with local authorities (education,
social work), the voluntary sector and the independent or private
sector.
setting national standards – NICE, SIGN, Quality Improvement
Scotland (QIS) guidelines, standards etc
regulation of staff – HPC, etc
service inspections, audits and reviews
informatics
performance related funding for services
streamlining bureaucracy and speeding up decision-making
improving and integrating planning and decision-making leading to
integrated services, joint management and pooled budgets (children’s
trusts, foundation hospitals, community health partnerships, etc)
listening and responding to individuals and communities – patient
and public involvement
empowering change from the ground up – encouraging staff to
problem solve, devolving planning and funds “down” the structure,

made safe by the requirement to work within standards
patient centred services.
Services redesigned around an easily accessible, speedier,
smoother patient journey
All four governments take the patient-centred approach to service
change – focussing on the perspective of the patient and carers,
prioritising what they prioritise and changing in order to create the
services that patients would create if they were running the health
service themselves. This is a change in perspective from preceding
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decades when services appeared more focused on the needs of the
bureaucracy and those providing the services.
This change of perspective drives service redesign. Service redesign
from the perspective of the patient starts with examination of the
patient’s pathway or patient’s journey – the good, efficient, economic
and effective parts and the slow, overly expensive parts that have
little or no positive outcomes for patients. Having examined the
patient’s journey every step along the way (as defined by the
evidence available), circumstances are altered, as necessary, with a
view to making the whole journey a better overall experience for the
patient. Service redesign also aims to make effective use of the
NHS’s most valuable (and expensive) asset – staff. Service redesign
is about creating services that match every patient’s needs and
expectations and that gets the optimum output from the collective
knowledge, skills, experience and work time of every member of the
healthcare team.
achieving better, fairer access to services and more flexible services
(in terms of where, when, how and who delivers them)
increasing patient choice
reducing waiting times
improving communication and breaking down barriers between
acute and community services, different staff groups, etc
increasing skill mix within teams
competencies frameworks, knowledge and skills frameworks
extending roles within multidisciplinary and uni-disciplinary teams
workforce planning
continuing professional development (CPD)
sharing good practice and guidelines on good practice
joint case records

informatics
change and innovation/modernisation.
Public and patient involvement
All four governments are addressing the balance of power within the
health service, redistributing it away from traditionally powerful
groups (generally large groups of providers, such as doctors and
nurses or managers and accountants) towards those who have
traditionally been absent from any decision-making and/or fund
holding bodies – particularly patients and the public. As with service
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redesign, a change in the distribution of power within the health

service is extremely challenging. The NHS Plan for Scotland
recognises this, “More than any other area, change here depends on
a wholesale shift in the culture of the NHS. That will take more than
words in a Plan; it will take commitment and involvement from staff at
all levels.” (NHS Scotland, 1999).
giving patients a stronger voice – a seat or seats on boards
changing the make up of boards, trusts and other bodies and
structures to reflect the multi-disciplinary and multi-agency service
provision on the ground, eg AHP Advisory Forums, etc
patient focused, public involvement strategies
patient involvement in service evaluation, reviews and planning at an
individual and organisational level
communication, information and consultation mechanisms and
strategies
working with professional bodies but also hearing the independent
voice
patient advocacy services.
Priority care groups (as at 2005)
cancer
heart disease (and sometimes stroke)
mental health
children (and sometimes young people)
older people
chronic illness
unplanned (emergency) care
learning disabled/special needs.
All four governments have the same priorities in terms of health
service provision and development. These priorities are determined

by health statistics, including inequalities between, for example, high
and low-income communities. Within each board or authority
expenditure on these policies should reflect the local assessed need.
However, services falling outside these priorities still need funding,
policy initiatives and encouragement.
National Service Frameworks
stroke, cancer, mental health strategies, etc
older people strategies
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learning disability frameworks.
Partnership working between government, employers,
trade unions and managers’ organisations
All four governments – and by extension NHS managers – are
naturally keen to engage with, and have the support of, those who will
deliver the change agenda for them. Accountability to tax payers and
a moral obligation to the wellbeing of the public drives them to get the
most out of staff – accounting for over 80% of the NHS budget.
Similarly the vast majority of staff are keen to contribute their skills,
knowledge and experience and energy to the benefit of patients but
they also naturally want to be recognised, respected, valued and
fairly rewarded for that contribution.
Healthcare provision is, without exception, focused on interaction
between people acting in the roles of provider or patient. To provide a
health service, government and employers require enough staff to
match as closely as possible the needs of patients. Training,
recruiting and retaining is central to health service provision and as
demographic and technical changes increase the numbers of
patients, the case for action is becoming increasingly more urgent.
All four governments have strategies to address the supply side of
the health service – its work force.
work force planning
working in partnership with trade unions – involving staff in service
planning, evaluation, review and change
family friendly policies, flexible working, etc
pay and conditions – Agenda for Change, including knowledge and
skills framework directly linking contribution to pay, health and safety etc
equality and diversity strategies
innovation awards and schemes

careers opportunities/pathways
changes in education and routes to entry to professions
regulation of staff.
Supporting service change
All four governments recognise that change requires movement
through a process and that changing an organisation as big as the
NHS requires change agents and development of a “can do” attitude
throughout the organisation. To this end, all four governments have
put developments in place to push and pull the NHS towards change.
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leadership development
management development
organisation development
service redesign
best practice
research and development.
3.3.3 Children’s services/education strategy

The Every Child Matters: Change for Children programme, whilst
England based, encapsulates key policy direction that is echoed in
Scotland, Wales and Northern Ireland. The move towards integrating
children’s services is a common strategy across the UK.
Visit: www.everychildmatters.gov.uk
The common themes which emerge across the UK include:
Commissioning of integrated services
Commissioners will take overarching policy leadership for children’s
service across the traditional boundaries of health, education and
social care. These posts have been established in England, Wales,
Scotland and Northern Ireland.
Local services will see the appointment of Directors of Children’s
Services or, in Wales, Lead Chief Officers for Children, whose role
will be to ensure that services are redesigned to meet the needs of
all children, including those who are vulnerable and/or have
additional specialist needs, as locally and flexibly as possible.
Integrated delivery of services around the child and their family.
This includes the development of Sure Start programmes, Early
Support Programmes and the development of Children’s Centres
and Children’s Trusts or their equivalent.

Multi Agency working focused on five outcomes for children:
i. Be healthy
ii. Stay safe
iii. Enjoy and achieve
iv. Make a positive contribution
v. Achieve economic well-being.
www.everychildmatters.gov.uk
Inclusion of children with special (or additional) needs in
mainstream settings and the need for specialist services to be
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delivered flexibly in order to enable inclusion
Reduction of inequalities due to disadvantage of whatever sort
Development of primary care services
Increased emphasis on health promotion
The redesign of professional roles focusing on the
competencies required to deliver new integrated services.
For further information on providing speech and language therapy
within integrated children’s services see: RCSLT Position Paper,
Supporting children with speech, language and communication needs
within integrated children’s services, 2006. Available at: www.rcslt.org
For further information on the commissioning of children’s services see:

The Commissioner for Children and Young People (Northern Ireland)
Order 2003 www.nics.gov.uk/press/ofmdfm/030626a-ofmdfm.htm
For Scotland’s Children: Better Integrated Children’s Services, 2001
www.scotland.gov.uk/library3/education/fcsr-00.asp
Children First programme in Wales, 2004. www.wales.gov.uk/
subichildrenfirst/documents/circulars/circ8-e.htm
For further information on early intervention initiatives visit:

www.earlysupport.org.uk
www.scotland.gov.uk/Topics/People/Young-People/children-families
www.scotland.gov.uk/library5/education/sure_start_mapping.pdf
www.wales.gov.uk/subichildren/content/circulars/start/start-e.htm
www.wales.gov.uk/subichildren/content/entitlement/early-entitlement-
2004-e.pdf
For further information on the development of Children’s Trusts or

their equivalent see:
www.surestart.gov.uk/_doc/0-1D9968.pdf

www.earlysupport.org.uk/pilot2/index.htm
www.allchildrenni.gov.uk
www.nics.gov.uk/press/hss/041216a-hss.htm
For further information on inclusion see:

Removing Barriers to Achievement, DfES, 2004
www.standards.dfes.gov.uk/literacy/publications/inclusion/883963
Special Educational Needs and Disability Order 2005
www.opsi.gov.uk/si/si2005/20051117.htm
Chapter 3
The Education (Additional Support for Learning) (Scotland) Act 2004

www.opsi.gov.uk/legislation/scotland/acts2004/20040004.htm
Shaping the Future for Special Education – An Action Programme for
Wales www.wales.gov.uk/subieducationtraining/content/special/
spcled_cnts_e.htm
For further information on health promotion see:

Health for All Children www.health-for-all-children.co.uk
For further information on the redesign of professional roles see:

Children’s Workforce Strategy, 2005 www.everychildmatters.gov.uk/
deliveringservices/workforcereform/
Common Core of Skills and Knowledge for a Children’s Workforce
www.dfes.gov.uk/commoncore/docs/5610_COMMON_CORE.pdf
References
Gascoigne, M. Supporting children with speech, language and
communication needs within integrated children’s services – position
paper, RCSLT, 2005. www.rcslt.org/news/childrens_services
NHSScotland. Our National Health: A plan for action, a plan for
change, 1999. www.show.scot.nhs.uk
NHSSS Northern Ireland. Investing for Health, 2002.
www.investingforhealthni.gov.uk
NHS Wales. Improving Health in Wales: A plan for the NHS with its
partners, 2001. www.wales.gov.uk
Acts of Parliament

The Access to Health Records (Northern Ireland) Order 1993
Adults with Incapacity (Scotland) Act 2000
The Care Standards Act 2000
Children (Scotland) Act 1995
Children's Commissioner for Wales Act 2001
Order 2003
Chapter 3
Community Care and Health (Scotland) Act 2002
Education Act 2002
Education (Additional Support for Learning) (Scotland) Act 2004
The Education and Libraries (Northern Ireland) Order 2003
Education (Disability Strategies and Pupils’ Educational Records)
(Scotland) Act 2002
The Equality (Disability, etc.) (Northern Ireland) Order 2000
The Fair Employment and Treatment (Northern Ireland) Order 1998
Health Act 1999
The Health and Personal Social Services (Quality, Improvement and
Regulation) (Northern Ireland) Order 2003
Health and Personal Social Services Act (Northern Ireland) 2001
Health and Safety at Work (Amendment) (Northern Ireland) Order
1998
Health (Wales) Act 2003
Joint Inspection of Children’s Services and Inspection of Social Work
Services (Scotland) Bill 2005
NHS Reform and Health Care Professions Act 2002
National Health Service Reform (Scotland) Act 2004
Mental Capacity Act 2005
Mental Health (Care and Treatment) (Scotland) Act 2003
Mental Health (Northern Ireland) Order 1998
Personal Social Services (Preserved Rights) Act (Northern Ireland)
2002
UK Political Context 81
Protection of Children (Scotland) Act 2003
Race Relations (Amendment) Act 2000
Regulation of Care (Scotland) Act 2001
Special Educational Needs and Disability Act 2001
The Special Educational Needs and Disability (Northern Ireland)
Order 2005
The Standards in Scotland’s Schools etc Act 2000
Chapter 3

Chapter 4
RSCLT
4.1 The RCSLT’s Role

4.1.1 Mission statement
4.1.2 Key purposes of the RCSLT
4.1.3 Relationship with the Health
Professions Council
4.1.4 Professional indemnity insurance
4.1.5 Diversity
4.2 RCSLT Structure
4.2.1 Membership and categories
4.2.2 Governance
4.2.3 Headquarters structure
4.2.4 Professional networks
4.3 RCSLT Processes
4.4 RCSLT Functions
4.4.1 Membership and communication
4.4.2 Policy and partnership
4.4.3 Workforce planning and career
pathways
4.4.4 Research and development
4.4.5 Education and training
4.4.6 Employment
References

4.1 The RCSLT’s Role
4.1.1 Mission statement

The RCSLT is the professional body for SLTs and support
practitioners. The RCSLT provides leadership so that issues
concerning the profession are reflected in public policy and people
with communication, eating, drinking or swallowing difficulties
receive optimum care.
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The RCSLT will provide and improve services to its membership and
lead an inclusive profession whose members deliver quality services
to meet diverse needs.
4.1.2 Key purposes of the RCSLT
External focus
G To increase public, professional and government awareness of the
health, educational and psychosocial impact of communication and
swallowing disorders on the lives of individuals.
G To ensure that the profession is consistently, effectively and
accurately represented to external bodies and the government.
G To increase public, professional and government awareness of the
contribution of the speech and language therapy profession.
Internal focus
G To define the strategic direction of the profession.
G To provide guidance, standards and professional leadership for
RCSLT members.
G To provide support for the professional development of RCSLT
members.
G To develop diversity within the profession.
G To increase the level of membership involvement in the work of
RCSLT.
4.1.3 Relationship with the Health Professions Council

In October 2000, the speech and language therapy profession
became regulated by the Health Professions Council (HPC). This
means that anyone wishing to practise in the UK must apply to be
registered with this body.

Students from programmes approved by the HPC should apply for
registration on graduation. They will not be allowed to work in the UK
without HPC registration.
As part of its remit to protect the public, the HPC has three main
functions:
G To ensure that pre-registration programmes in speech and
language therapy are appropriate and of a satisfactory quality.
G To approve the qualifications of overseas educated SLTs working
in the UK.
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G To regulate the profession and to investigate complaints and take
appropriate disciplinary action where necessary.
There are a number of sanctions available to the HPC if allegations
are proved against an SLT:
i. Strike-off register
ii. Suspend registration for up to a year
iii. Impose conditions of practice
iv. Caution the person concerned
v. Conditions iii and iv will require the registrant to comply with
certain requirements in order to continue to practise.
The RCSLT has produced advice sheets for these therapists, their
managers and prospective mentors. The RCSLT has a process for
managing members who are given a sanction by the HPC. There is
also a RCSLT complaints process for RCSLT members who are not
registered with the HPC.
By 2009, all SLTs will have to provide evidence of continuing
professional development (CPD) in order to re-register with the HPC.
For the HPC renewal in 2009, SLTs will be expected to provide
evidence of, and reflect on, the CPD they have undertaken in 2007
and 2008. The RCSLT has developed an online CPD diary and
toolkit to support this process.
4.1.4 Professional indemnity insurance

The RCSLT provides an insurance policy that indemnifies all its
practising members in the UK, Channel Islands and the Isle of Man.
This covers proven liability arising from alleged professional
negligence, breach of professional conduct and damage to property.
The policy covers the legal liability for injury to a client occurring
during a community visit and also covers members who see
individuals in their own home.
RSCLT 4.1 85
It is essential that RCSLT is informed immediately of any incident
that may give rise to a claim, no liability should be admitted and no
correspondence entered into without reference to the RCSLT.
Members are liable for the first part of any claim, at present £250.
4.1.5 Diversity
It is the policy of the RCSLT that:
G The diversity of the clients served by the profession should be
represented within the speech and language therapy workforce.
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G Every effort should be made to ensure that all members of the

community who need speech and language therapy services have
equal access to them.
The RSCLT has produced guidelines to help services to develop their
diversity strategy. The RCSLT is currently developing standards to
support the recruitment and development of bilingual co-workers.
4.2 RCSLT Structure
4.2.1 Membership and categories

Certified membership equates to full, practising members who have
agreed to meet the standards on professional conduct and CPD. All
practising UK therapists must comply with this, and therapists
working overseas can choose whether or not it is appropriate for
them to do so.
Certified members:
Practising members (includes UK and overseas members who have
agreed to meet the standards on professional conduct and CPD).
MRA members (members entering the UK under the mutual
recognition agreement [MRA] scheme).
Non-certified members:
G Practising overseas members (overseas members who have not
agreed to meet the standards on CPD).
G Practising members new to the RCSLT.
G Newly-qualified practitioners.
G Returners to practice.
G Therapists working for a charity overseas (have the option to

become certified if they comply with conduct and CPD standards).
G Non practising.
G Retired (over 59 years old and non-practising).
G Speech and language therapy assistants, technical instructors,
bilingual co-workers.
G Student members (those enrolled on a recognised course of study
in the UK leading to a qualification in speech and language therapy).
G Bulletin subscribers (associated professionals, non UK-based
therapists not registered with HPC).
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4.2.2 Governance
Council
Council’s role is to define the strategic direction of the profession and
provide professional leadership to implement this strategy. Council is
comprised of a number of trustees. It consists of the chair and
deputy chair of the RCSLT, the chairs of each board, the country
councillors and lay representation. All council members’ duties are
carried out on a voluntary basis.
Following a reorganisation and the introduction of a new staff
structure, the following boards were approved in December 2005:
Professional Standards and Development Board: to oversee the
strategic management and policy development of pre- and post-
registration training, CPD and the needs of the speech and language
therapy workforce.
Membership and Communications Board: to oversee the strategic
management and policy development regarding membership,
communications, publications, marketing and events.
Policy and Partnerships Board: to follow the strategic direction
defined by Council, to govern the influencing and lobbying function of
the RCSLT to the UK and devolved country governments and to
promote and oversee policy and partnership functions.
Finance and Organisational Resources Board: to provide and
develop corporate leadership and implement strategic objectives
within the areas of finance, performance and contracts, human
resources, IT and health and safety.
“Task and Finish” groups: any board may establish time-limited
specialist groups to complete clearly defined pieces of work.
RSCLT 4.2 87
4.2.2 RCSLT governance structure
RCSLT HQ
To operationalise the strategy of Council
and boards and ensure corporate
management of HQ
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COUNCIL
To define the strategic direction for the
profession and provide professional
leadership to implement this strategy. All
boards and committees report to Council
Secretariat
Finance
Professional
Membership and
Policy and Standards
and Organi-
Partnerships and
Communications sational
Board Develop-
Board Resources
ment Board
Board
Task and Finish groups
Specialist Specialist
Local groups
Interest Groups advisors

4.2.3 Headquarters structure
The RCSLT employs a small number of staff to operationalise the
strategy of Council and its boards and ensure corporate
management. Staff are organised into four functions under the Chief
Executive Officer:
Customer Relations: membership, publications, communications,
events and marketing.
Policy and Partnership: policy formulation, promotion and advice.
This includes policy officers working in Wales, Scotland, England and
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Northern Ireland.
Professional Development: professional training and development,
professional guidance and standards, research and development.
Performance and Contracts: performance management and
contract processes (finance, human resources, information
technology and administration) across all functions.
4.2.4 Professional networks

The RCSLT works with a range of professional networks to support
its membership. This includes the regional managers groups,
Specific Interest Groups (SIGs) and advisor networks and the Adult
Learning Disability Network. The RCSLT also links with:
CREST: The Committee for Research and Education in Speech and
Language Therapy
ASLTIP: The Association of SLTs in Independent Practice
CPLOL: The Standing Liaison Committee of Speech and Language
Therapists/Logopedists in the European Union (known by it’s French
acronym, le Comité Permanent de Liaison des
Othophonistes/Logopèdes de l’Union Européenne) is the
organisation for professional speech and language therapy bodies in
Europe. It aims to give support, to develop professional consensus
and to unify standards and strategies in Europe.
4.3 RCSLT Processes

Becoming a councillor or board member: Vacancies on Council
and the boards are advertised in Bulletin. Nominations are matched
against clear criteria. The initial term of office is two years, and this
may be renewed for a further two years. The chair is elected for a
four-year period, two years for a deputy chair and two for a chair.
RSCLT 4.2/4.3 89
Similarly, the Honorary Treasurer is elected for a four-year period with
two years acting as deputy.
Contacting boards and Council: Issues that need to be raised at a
board or Council should be directed towards the appropriate country
councillor or country policy officer. They ensure that the matter is
brought to the attention of the relevant board and that decisions and
actions are communicated to the membership.
Influencing what is happening in the profession: The RCLST
consists of its members, who all have a responsibility for shaping the
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future of the profession. This may be through serving on a board,

contributing to policy development, providing feedback or promoting
the implementation of policies and guidelines.
Requesting a position paper: If a member feels that a position
paper or policy statement is needed in a particular area, this is
communicated through their country councillor, country policy officer
or to the chair of the appropriate board. Following debate and
investigation, Council decides the level of priority within its existing
work programme and, if appropriate, commissions the work from a
board.
4.4 RCSLT Functions
4.4.1 Membership and communication

Membership and information services: Providing information
about membership, careers advice and signposting to other
organisations. Holds a database of RCSLT specialist advisors and
SIGs.
Specialist advisors: Acknowledged experts in their specific field
who have gone through a nomination and approval process. As well
as offering advice to individual members they contribute to responses
to government papers and the development of RCSLT policy.
Specific Interest Groups (SIGs): These are groups of practitioners
who organise meetings and study days that focus on a specific area
of speech and language therapy practice. As well as providing
support to members, these groups may also contribute to the
development of RCSLT policy.
Publications: The RCSLT produces a wide range of publications for
membership and to promote the profession to the general public.

Many of these are available as files that can be downloaded from
the website (visit: www.rcslt.org) or can be purchased from the
RCSLT headquarters. Publications include:
G a monthly Bulletin featuring clinical and professional news and
articles
G a fortnightly Bulletin Supplement containing job vacancies and
information on courses, meetings and conferences
G the International Journal of Language and Communication
Disorders: a bi-monthly peer reviewed journal on the latest speech
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and language research
G leaflets: on RCSLT policies and guidance
In addition, the RCSLT produces a wide range of tools to support
professional practice. There is a mechanism in place to ensure that
these tools (outlined below) are reviewed and revised on a regular
basis.
G RCSLT Clinical Guidelines: These were published in book form
in 2004, and are also available on the RCSLT website. The
guidelines are a set of recommendations developed from the
clinical research evidence base in order to support the use of
research findings within practice. They were developed in
consultation with a large number of SLTs working with different
client groups. As well as a core guideline, the following specific
areas are covered:
aphasia dysfluency
autistic spectrum disorders dysphagia
cleft palate head and neck cancer
deafness pre-school children
dysarthria school-age children
mental health voice disorders
G Position papers: There are a number of areas where the
evidence base is insufficient for the development of guidelines. In
this case the RSCLT have worked with specialists in the profession
to provide a position paper. Currently position papers exist for:
G adults with learning disabilities
G dementia
G clinical placements
G supporting children with speech, language and communication needs.
The RCSLT has also produced policy statements on endoscopy
and Fibreoptic Endoscopic Evaluation of Swallowing (FEES).
RSCLT 4.4 91
G Communicating Quality: Contains information, guidance and
professional standards which define the parameters for the provision
and the development of speech and language therapy services
across a range of areas.
G Clinical competencies frameworks (SLTs and support
practitioners): The competency statements allow practitioners to
identify their strengths and weaknesses and define their development
needs. The framework relates to three layers of professional
practice:
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G task (what is done)

G process (how tasks are carried out)
G professional judgement and decision making (the why of practice).
G RCSLT Reference Framework: Underpinning Competence to
Practise (2003): contains information about the knowledge and skills
required to work with particular client groups.
G CPD toolkit: contains guidance to support members in meeting
the CPD requirements of the RCSLT and the HPC.
4.4.2 Policy and partnership

The RCSLT:
G raises the profile of the speech and language therapy profession
through contacts with the media, government, parliamentary bodies,
statutory and voluntary organisations and service user groups. This
involves:
G Lobbying governments and contributing to local and national
policies.
G Issuing press releases presenting RCSLT views on relevant
issues.
G Providing information and supporting initiatives to promote
speech and language therapy services to the general public.
G Providing comments to the media from informed and specialist
SLTs.
G influences the development and implementation of policy affecting
the profession
G represents the profession at the highest levels
G provides consultancy and lobbying to the government and
commissioning authorities
G contributes to the development of multi-professional guidelines
through organisations such as the National Institute for Health and

Clinical Excellence (NICE), the Scottish Intercollegiate Guidelines
Network (SIGN) and the National Patient Safety Agency (NPSA).
The team includes policy officers representing and working in
England, Northern Ireland, Scotland and Wales.
4.4.3 Workforce planning and career pathways

Bringing people in to the profession:
The RCSLT produces careers materials and information for potential
speech and language therapy students. The RCSLT is involved with
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the Allied Health Professions (AHP) New Generations project which
aims to change perceptions and raise awareness of AHP career
options for seven to nineteen year olds, particularly within
demographic groups that are currently under represented.
Newly-Qualified Practitioners (NQP) transition: The NQP
Competency Framework was published in 2005. This is a tool for the
NQP and his/her manager to support the transition to full RCSLT
membership.
Recruitment and retention: In 2005 the RCSLT initiated a project to
support workforce planning and commissioning of speech and
language therapy. The outcome will be a toolkit to help managers to
analyse activities being carried out in the service.
Return to practice: The RCSLT has developed a Returners Pack,
2005 and a Return to Practice course to ensure that SLTs returning
to the profession following a career break will be able to fulfil the HPC
requirements.
Skill mix: The RCSLT supports the development and
implementation of policy, standards and tools related to skill mix
within the workplace. For example, see the RCSLT Support
Practitioner Framework and published Standards for Working with
Support Practitioners, available at: www.rcslt.org A collaborative AHP
statement supporting the development of foundation degrees aimed
at support workers has been issued and guidance will be produced
for members on the new National/Scottish Vocational Qualification in
allied health professions support.
Managers: The RCSLT provides support to managers through
regional managers groups and networks. These groups contribute to
the work of RCSLT in a number of ways. For example, see the
Information Pack for New SLT Managers, 2005 at: www.rcslt.org
Extended scope practitioners: The RCSLT is involved in
RSCLT 4.4 93
developing position papers to support SLTs working in new areas, for
example, see the paper on the Fibreoptic Endoscopic Evaluation of
Swallowing (FEES): The role of speech and language therapy, at:
www.rcslt.org
4.4.4 Research and development

The RCSLT:
G raises awareness and supports the development of the research
capacity of the profession
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G influences the research agenda by building partnerships with

others in the statutory and voluntary sectors
G influences workforce planning to inform research roles and
develop leaders.
See Approaching Research in Speech and Language Therapy
(2003), at: www.rcslt.org. An e-mail network exists for those
interested in research. RCSLT grants are available to support
members who wish to undertake research. The RCSLT is setting up
a new professional development unit that will review the grants
process and identify how the RCSLT can support research and
development as part of CPD and career pathways.
4.4.5 Education and training

Pre-registration education is now regulated by the HPC. The
RCSLT continues to work with educational establishments to ensure
that their programmes meet the needs of the profession. The RCSLT
has developed a position paper on pre-registration education and
training, curriculum guidelines and standards for practice-based
learning. The RCSLT also provides representation to higher
education institutes quality assurance events to act as a “critical
friend” to the course.
The RCSLT holds an annual meeting with admissions tutors and
links with the Committee for Research and Education in Speech and
Language Therapy (CREST).
Post-registration education: The RCSLT has a range of initiatives
to support post-registration education. There is a distance learning
Return to Practise course developed and accredited by the RCSLT
and franchised to a number of universities. The RCSLT registers and
runs a range of short courses and has developed tools to support
CPD. These will ensure that RCSLT members will meet the criteria

and have collected the appropriate evidence needed for re-
registration with the HPC.
4.4.6 Employment
The RCSLT does not deal directly with issues relating individual pay
and conditions of employment as it is not a trade union. Trade union
matters are dealt with by the union representing the profession,
currently Amicus (2006).
However, the RCSLT will become involved if issues are likely to have
Chapter 4
an impact on the profession. For example, the RCSLT worked with
Amicus to produce profile guidance for the speech and language
therapy profession as part of the Agenda for Change (AfC) process
and lobbied at a national level.
References
All available at www.rcslt.org
Taylor-Goh, S. RCSLT Clinical Guidelines, RCSLT, 2005.
RCSLT. Approaching Research in Speech and Language Therapy,
2003.
RCSLT. Fibreoptic Endoscopic Evaluation of Swallowing (FEES):
The role of speech and language therapy – policy statement, 2005.
RCSLT. Information Pack for New SLT Managers, 2005.
RCSLT. Newly-qualified Practitioners Competency Framework to
Guide Transition to full RCSLT Membership, 2005.
RCSLT. Reference Framework: Underpinning Competence to
Practise, 2003.
RCSLT. Returners Pack, 2005.
RCSLT. Standards for Working with Speech and Language Therapy
Support Practitioners, 2003
RCSLT. Competencies Project: Support Practitioner Framework,
2002.
RSCLT 4.4 95
Chapter 4

Chapter 5
Service Organisation
5.1 Definition of Health

5.1.1 Responsibility for health
5.1.2 Framework for health
5.2 Range of Speech and Language
Therapy Services
5.3 Developing the Workforce
5.3.1 Recruitment
5.3.2 Retention
5.3.3 Staff Supervision and Support
5.3.4 Competence
5.3.5 Learning organisation
5.3.6 Evidence-based practice: research
utilisation
5.3.7 Audit
5.3.8 Clinical audit
5.3.9 Continuing Professional
Development (CPD)
5.3.10 NHS Knowledge and Skills
Framework (KSF)
5.4 Resources and Resource
Management
5.4.1 Accommodation
5.4.2 Equipment
5.4.3 Workload management

5.4.4 Managing staff vacancies
5.5 Use of Information
Freedom of Information (Scotland) Act 2000
5.5.2 Data Protection Act 1998
5.5.3 Record keeping
5.5.4 Records management
5.6 Management of Risk
5.6.1 Risk management
Chapter 5
5.6.2 Complaints
5.6.3 Clinical Negligence Scheme for Trusts (CNST)
5.6.4 Health and safety at work
5.6.5 Personal safety
5.6.6 Infection control
5.7 Public and Patient Involvement (PPI)
5.8 Press and the Media
5.9 Partnership Working
5.9.1 The interface between speech and language therapy agencies
5.9.2 SLTs and support practitioners in partnership
5.9.3 SLTs and students in partnership
5.9.4 Professional representation to the wider organisation
5.9.5 Multi-agency team working
References
This chapter contains guidelines and signposting pertaining to
different areas of service organisation. However, practitioners will also
need to refer to their organisation’s local polices and procedures.
5.1 Definition of Health

“Being confident and positive and able to cope with the ups
and downs of life” is how good health is defined by the Secretary
of State for Health in Our Healthier Nation, (DH, 1998).
Health is therefore seen as a resource for everyday life. It is a
positive concept emphasising social and personal resources, as well
as physical and mental capability. It is not simply defined by an
absence of disease or infirmity.
5.1.1 Responsibility for health

The concept of health as the responsibility of the individual, as well

as of society or government, has been increasingly emphasised in
government strategy documents from as far back as Prevention and
health, everybody’s business: A reassessment of public and
personal health (1976).
5.1.2 Framework for health

The World Health Organisation’s (WHO) International Classification
of Functioning, Disability and Health (ICF) 2000 provides a common
Chapter 5
framework for describing the health of an individual. The dimensions
used for this description are:
G body functions and structure
G activities
G participation
In addition, a fourth dimension of environmental factors is
included. This allows for the description of factors within the
environment that interact with the three dimensions above, either
as barriers or facilitators at an individual, service and/or
organisational level.
5.2 Range of Speech and Language Therapy

Services
In line with this definition and framework of health, speech and
language therapy works with referred individuals or targeted at-risk
groups to:
G provide information on the promotion of health, particularly in
relation to communication and swallowing
G provide information on existing or anticipated risks in relation to
communication and swallowing
G assess the nature of any speech, language, communication or
swallowing difficulty
G assess how involvement in everyday activities is being
compromised
G assess what environmental facilitators or barriers exist
G assess the capacity for change at an individual or environmental
level.
Based on needs that are identified jointly by the individual and
professional, intervention is likely to include work to improve or
maintain individuals’ functional ability; to reduce the health,
Service Organisation 5.1/5.2 99

educational and psychosocial risks faced by individuals and to
ensure that communication and swallowing disorders do not preclude
opportunities for self-determination, fulfilment and participation in
community life.
People with speech, language, communication and/or swallowing
disorders can expect services that will:
G be accountable to the service commissioners, the public, service
users and carers
G be responsive to identified needs
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G offer choices that promote independence

G be accessible, so that non-discriminatory help is available when
and where needed
G be well coordinated between all staff and agencies
G be clear and open about what therapy options are available
G offer appropriate and effective care
G promote the safety of individuals and staff
G empower and support staff members
G involve service users in planning and delivery of care
G provide continuity of care for as long as necessary.
Minimum standards for service organisation and provision

Minimum service standards are included at appropriate points within
this text. A full summary is available in Appendix 1.
Service standard 1: The service audits its performance against
the RCSLT minimum service standards as part of a regular
process of service review.
Service standard 2: Policies are reviewed at least every three
years.
5.3 Developing the Workforce

5.3.1 Recruitment
All practising SLTs must be registered with the HPC.
Service standard 3: The service has a system for monitoring
SLT’s HPC registration status.
Services may also require therapists to be certified members of the
RCSLT.
It is recommended that independent practitioners are members of
the ASLTIP.

Support practitioners are currently (2005) not subject to regulation,
but may be at some point in the future.
All staff should be subject to police checking as part of the
recruitment process.
There are national policy initiatives within the NHS on recruitment,
retention and return to practise. Further information is available on
the Department of Health’s website.
Robust recruitment is crucial for the delivery of an effective service.
Each employing organisation will have a recruitment policy that aims
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to guide managers through the recruitment process by advising of
legislation, good practice and creativity within recruitment and
selection.
Employing organisations should provide training for managers
regarding the recruitment and selection process. This should include
equal opportunities. Staff involved in recruitment must understand
the areas where discrimination may occur. They should take positive
action to recruit the best candidate thereby giving individuals the
opportunity to demonstrate their abilities regardless of their race, sex,
religion/belief, age, disability, marital status or sexual orientation.
Managers should be aware of current human resources policies
covering issues such as flexible working arrangements, family
friendly policies, career breaks, childcare, etc.
For further guidance around recruitment and selection, see the
RCSLT’s Information Pack for New SLT Managers 2005 available at:
www.rcslt.org
5.3.2 Retention
All staff should develop their professional and personal skills. An
effective way of doing this is to broaden experience across a number
of organisations. Consequently it is never possible to retain all staff.
However it is important to consider why staff decide to leave a post
and to ensure that it is not due to any avoidable shortcomings.
Service standard 4: Exit interviews are conducted with all staff
who leave the service.
5.3.3 Staff supervision and support

The following areas should be addressed to ensure that staff feel
valued and supported:
Service Organisation 5.3 101

Terms and conditions of service
Service standard 5: All staff have a clear and up-to-date
contract of employment.
This includes locums and staff on fixed short-term contracts.
University staff should have an honorary contract for clinical work.
Service standard 6: All staff have a clear and up-to-date job
description.
G Job descriptions should be kept in personal files.
G Staff should be familiar with the content.
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G Job descriptions should be subject to annual review.

G Where a sole practitioner service is delivered, there should be a
description of the parameters of the service, including what is not
offered.
From 1 October 2004, the Whitley terms and conditions of
employment were replaced by the new NHS pay system, Agenda for
Change. This mechanism was jointly agreed by the Department of
Health and the trade unions. As a consequence there is now one set
of terms and conditions for all directly employed NHS staff, except
doctors and dentists and the most senior managers at, or just below,
board level. These new conditions include the number of hours
worked in a full-time week and the number of annual leave days.
Further information is available on the Department of Health website,
under the Agenda for Change section at:
www.dh.gov.uk/PolicyAndGuidance
Staff who were employed on a local trust contract prior to 1
October 2004, ie contracts not based on the national Whitley terms,
were given the choice whether or not to move onto the new pay
system.
SLTs both within and outside the NHS should be clear about their
terms and conditions of service at the time of their employment.
SLTs are advised to take full advice from their trade union in respect
of terms and conditions of employment.
Monitoring of staff absence

Service standard 7: The service has a system for monitoring
staff absence.
G There should be a clear policy in place for the notification and
monitoring of staff absence.
G Staff should be familiar with the procedure.

G Records should be kept.
G There should be a process to support return to work in the case of
extended absence for whatever reason.
G There should be a process of review of the information, and action
planned if required.
Induction training
Carefully planned induction programmes should include input from
both the employer organisation and the local team/service.
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Service standard 8: The service provides a planned orientation,
induction and support programme for all new staff, including
locum staff, and returners.
The programme of support will include:
G preparation for roles and responsibilities
G familiarisation with policies and procedures
G explanation regarding emergency procedures
G information regarding health and safety, including risk
G mentoring/supervision/support mechanisms
G identification of personal development needs.
Records of the induction process should be kept, signed and dated
by the staff member and manager.
A range of written policies and procedures in relation to clinical and
organisational processes should be readily available for staff. These
are likely to be developed locally and may apply to a range of
services beyond speech and language therapy.
During their first year or so of practice, newly qualified practitioners
consolidate their previous knowledge and apply their learning to
clinical practice. This period of development, prior to full certified
membership of the RCSLT, is subject to additional support and
supervision. The focus of this is guided by a set of competencies laid
out in the RCSLT’s Newly-qualified Practitioner Competency
Framework, available at: www.rcslt.org.
Supervision
A key factor in delivering a quality speech and language therapy
service is supervision. Supervision refers to a formal arrangement
which enables an SLT or support practitioner to discuss their work
regularly with someone who is experienced and qualified.
Two forms of supervision are recommended:

G line management
G clinical supervision.
Managers need to ensure that the system of management and
supervision used in their department is understood by all staff and
that it is offered on a regular basis with adequate time made
available and necessary recording and follow-up actions taking
place.
The management and supervision processes should allow the
supervisee the opportunity to consider their strengths and needs.
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The process may involve case review, either on a random or case

selection basis.
The management and supervision sessions should provide
information and data that contributes to the formal performance
review, while dealing with day-to-day challenges in a positive way.
Service standard 9: There is an up-to-date organisation and
service profile showing clear lines of responsibility and
accountability within the organisation.
Line management aims to:
G enable the practitioner to fulfil their person specification and job
description
G provide information for carrying out individual performance reviews
G encourage and support practitioners in meeting objectives set
during the formal appraisal
G give advice on managing caseloads and any problems that may
cause problems in the day-to-day functioning of the service
G ensure that the practitioner is aware of the professional standards
and codes of conduct expected of them, and to facilitate their
adherence to such professional standards
G discuss professional development needs in relation to service
delivery
G assist the practitioner in relating practice to theory and theory to
practice thereby promoting CPD.
It is essential that the practitioner’s manager is trained in appraisal
and performance review skills as well as being able to deal with
difficult situations that could result in disciplinary action. This is in
order to prevent possible abuse of these procedures.
In instances where significant difficulties are encountered in
achieving acceptable standards of conduct or performance, and
where opportunities have been offered to help the practitioner

overcome any difficulties, the manager needs to know his/her level of
authority for using the disciplinary procedure.
The manager and practitioner should consider all possible avenues
for resolving difficulties that may arise before resorting to disciplinary
procedures.
Service standard 10: All staff have an annual performance
review supported by a systematic approach to training and
development including a PDP and appropriate CPD
opportunities.
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Service standard 11: The service has a system for reviewing the
requirements of a post in terms of knowledge and skills.
Where specialist skills are required, training should be provided.
Service standard 12: The service has agreed mechanisms in
place to support practitioners working within external agencies.
These mechanisms might include service level agreements and
regular joint planning meetings.
Independent SLTs and line management
Normally independent SLTs are not required to take part in job
description reviews, an appraisal process, performance reviews, or
caseload prioritisation, and therefore are exempt from line
management. However, the system of annual certification with the
RCSLT and the two-yearly HPC registration, encourages all SLTs to
reflect on their professional development.
Clinical (non-managerial) supervision provides an opportunity for

practitioners to obtain case supervision outside the line management
structure.
It is a formal arrangement where SLTs can discuss their
interventions, including the feelings that are engendered.
There are a range of clinical supervision models, including collegial
supervision, co-supervision, peer supervision, telephone supervision
and group supervision.
However, clinical supervision is commonly carried out by a peer, or in
situations where the practitioner has a predominantly counselling
role, from a psychiatrist/psychotherapist who can enable the SLT to
explore the psychodynamics of the therapeutic relationship.
Clinical supervision aims to:
G Create a learning environment which promotes critical reflective
practice.

G Help the practitioner overcome some of the considerable demands
created by the nature of the work, by helping to develop an
understanding of the interactive processes in relationships with
individuals.
G Help the practitioner deal with difficulties such as establishing a
therapeutic alliance, over-involvement with individuals and
professional boundary issues. The supervisor aims to help the
practitioner understand the dynamics of the therapeutic relationship.
G Reinforce and offer feedback on effective clinical skills as well as
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enabling the supervisee to talk about areas of their work that are
thought to be ineffective.
G Assist in the management of issues arising out of the location of
delivery and the SLT’s confidence in managing complex inter-
disciplinary situations.
G Provide a supportive role to help prevent crises or disillusionment
arising.
G Enable the practitioner to be challenged by their clinical
experiences and to be able to question their practice in a safe and
confidential environment.
Service standard 13: The service has an up-to-date policy and
system of clinical supervision for all clinical staff.
Having chosen a supervisory model, for example group or individual
supervision, a supervision contract should be made and agreed
between both parties and, if appropriate, the manager.
The contract should include the frequency and length of meetings and
should have a confidentiality clause. It is advisable that a clause should
state that, if a difficulty cannot be overcome within the supervisory
relationship, the supervisor or supervisee can take the difficulty to the
manager. It is good practice to discuss this in the first supervision session.
The supervisor’s role and responsibilities to the supervisee will be
clearly negotiated.
Service standard 14: SLTs access an appropriate form of
clinical supervision at least once every 12 weeks.
For therapists with a predominantly counselling role, one and a half
hours per month is an appropriate level of supervision, but this may
need to be increased depending on the caseload.
The supervisor must ensure that they are sufficiently experienced,
competent and appropriately trained to provide individual or group
supervision as appropriate.

Training for supervision
It is recommended that SLTs who offer managerial or clinical
supervision should receive training. The following organisations are
possible sources for training:
G the RCSLT
G the ASLTIP
G individual trusts
G the British Association of Psychotherapists
G psychotherapy organisations, such as member organisations of
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the British Confederation of Psychotherapists
G Oxford and Cherwell College.
For guidance on observing individual confidentiality when obtaining
support and in supervision, see Chapter 1, Professional Framework
section 1.7.6 Confidentiality.
Support
The RCSLT recognises that SLTs require easy access to support
networks both from within and outside the profession and that the SLT
should recognise when they need to access support. Good clinical
practice relies upon therapists’ recognition of the limits of expertise and
their ability to secure clinical support in the provision of their services.
Managers and practitioners at all levels of expertise require support
in order to exchange information and share expertise to help raise
the quality of services provided.
Practitioners may require extra specialist support and training when
starting a new specialism, for example through buddying or
formalised external supervision.
Professional support should be available through:
G the management structure of the employing authority
G colleagues within and/or outside the service
G RCSLT SIGs, managers and ASLTIP groups.
The RCSLT acknowledges the potential for pressures arising from
professional practice where the unique relationship with the individual
is paramount.
The RCSLT suggests that adequate provision of support leads to
reduced stress levels and the enhanced ability to “manage”
distressing or complex situations. This is especially important for
newly-qualified therapists and those who may find themselves
working in isolation.

The RCSLT recommends that, wherever possible, joint
initiatives and close collaboration should be a normal part of
service delivery in order to prevent isolation and resulting
difficulties.
It is important for SLTs working in a service structure to be
confident in their manager’s ability to offer responsive and
sensitive support in times of difficulty.
The speech and language therapy manager recognises that
their commitment to staff will at times extend to facilitating
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personal support. It is likely that the support will be more

appropriately offered outside of the management line.
However, the SLT may need help in accessing appropriate
support, for example, from the occupational health department,
staff counsellors, employee assistance programmes or
assertiveness training courses.
In situations where especially high levels of stress are likely,
owing to the nature of the SLT’s caseload or work environment,
it is important to encourage group support to provide mutual
support and promote problem solving.
In summary: The RCSLT recognises that SLTs may require
support throughout their career and urges employing
authorities, speech and language therapy managers and fellow
clinicians to deal sensitively with these needs as they arise.
Service standard 15: The service has a system for
accessing clinical advice or second opinions.
There should be a policy on staff seeking advice or second
opinions from senior staff or external agencies, detailing
opportunities for joint working, guidance or support.
Policy relating to staff health and safety issues

The service makes the health and safety of staff a priority. For
more information see section 5.6.4 Health and Safety at Work.
5.3.4 Competence
What is competence?
Put at its simplest, competence is an individual’s ability to
effectively apply all their knowledge, understandings, skills and
values within their designated scope of practice.

It is witnessed by:
G the effective performance of the specific role and its related
responsibilities
G an individual’s critical reflection on their practice.
For further exploration of competence, see Chapter 1 on
Professional Framework.
SLT competence
SLTs are accountable to the HPC and the RCSLT in terms of their
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personal standards of practice and care for individuals.
SLTs need to maintain a clear sense of their personal scope of
practice and competence. This includes knowing when it is
appropriate to refer on; to seek further advice or to seek training in
order to maintain or extend their competence.
When identifying their personal scope of practice, SLTs may wish to
start with a consideration of their practice roles (in broad terms,
those of therapist, manager, researcher and educator).
Each role may then be described in the form of competencies.
For information on competencies see:
G NHS KSF
G RCSLT Clinical Competency Framework
G RCSLT Manager Competencies
G AHP Ten Key Roles for AHPs.
RCSLT six outcomes model of competence

The six outcomes model was piloted as part of a national Allied
Health Professional (AHP) project carried out during 2003.
Within this model SLTs show that they:
G understand, work within and respond appropriately to the limits of
professional practice
G demonstrate effectiveness in practice
G practise within the profession’s moral and ethical framework
G think critically about personal practice and its context
G deal appropriately with the new and non-routine
G communicate and collaborate effectively.
In 2004–2005, the model was incorporated into the RCSLT
professional log on a pilot basis as part of RCSLT membership
requirements. Feedback from the membership at the end of the year
led to a decision to stop using the six outcomes.

However, the outcomes remain valid ways of expressing key
dimensions of practice and members may wish to incorporate these
notions into their philosophy of practice.
Newly-qualified practitioners
Under current arrangements newly-qualified practitioners (NQPs) are
entered into the supervised category of RCSLT membership when
they graduate from a qualifying course accredited by the HPC and
recognised by the RCSLT.
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On joining the professional body, NQPs are issued with a certificate

of RCSLT membership. These entrants to the profession are
expected to complete approximately one year in a clinical setting
under supervision before being accepted as an autonomous clinician
and given full RCSLT membership.
This time frame is given as a guide and may vary according to the
individual. However, it is unlikely that an SLT will have met the
requirements in less than twelve months, but they should have done
so within two years.
Service standard 16: The service uses the competency based
framework to structure the learning of the newly qualified
practitioner during the initial twelve month period and as
evidence of readiness to transfer to full RCSLT membership.
A Speech and Language Therapy Competency Framework to Guide
Transition to Full RCSLT Membership for Newly-qualified
Practitioners (2005) is available at:
www.rcslt.org/resources/newlyqualifiedpractitioner
The framework encompasses eight dimensions of competence that
an SLT is expected to develop during the first twelve to eighteen
months of practice:
G communication
G personal and people development
G health, safety and security
G service improvement
G quality
G equality and diversity
G assessment and care planning to meet health and wellbeing needs
G health and wellbeing needs intervention.
These headings link directly with the core dimensions and others
listed in the NHS KSF to reflect current thinking within the NHS.

The competencies set out within each dimension of competence are
broad and can be added to if there are particular local requirements.
The framework contains suggestions as to the type of evidence that
may be provided to indicate competence across the eight
dimensions. This is not intended to be prescriptive. Evidence can be
collated throughout the year and gathered in a variety of ways, eg
through discussion, professional portfolio, observation, case note
checks, presentations, etc.
This transitional supervised period of working helps NQPs to:
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G develop a detailed knowledge of a particular working context and
its impact on practice
G build up a bank of supervised cases in relevant areas of case
work to support future independent clinical judgments and
decisions
G reinforce certain key aspects of autonomous professional practice.
It is not recommended that a newly-qualified practitioner works
as a locum during the transitional period or that an NQP works
in independent practice, except where this is as a member of a
large independent practice able to provide the required level of
support and supervision.
The detailed programme of support for the NQP is a matter for local
decision. However, the RCSLT recommends that the following types
and levels of support should be in place:
G a work place mentor or buddy to assist each NQP in learning
about everyday work place practice and procedures
G regular line management supervisory meetings (weekly during the
first three months and monthly thereafter) to assess progress and to
identify further development needs. The manager will also be
expected to support the NQP in finding appropriate ways in meeting
those development needs
G attendance at clinical meetings to develop an understanding of
current clinical issues and debates
G opportunities to access specialist advice to support clinical
judgment and decision making
G a clinical supervisor to support development of critical reflective
practice.
Any performance or capability issues should be addressed
immediately they become apparent through a programme of
opportunities and additional support to meet the NQP’s needs.

Transfer of NQPs to full RCSLT membership
Before recommending the NQP for transfer to full RCSLT
membership, the manager should be satisfied that the NQP is
competent and ready to work autonomously, ie is performing
consistently to the required standards. The main responsibility for
producing evidence lies with the NQP.
The form for transfer to full membership should be submitted fully
completed to the RCSLT and can be submitted any time during the
year. Most NQPs will therefore qualify in year one; submit a form in
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year two and appear on the full membership section in the spring of
year three. A few will transfer during the following year.
Transfer forms will be scrutinised by the RCSLT but any disputes
should be resolved locally. The transfer form must be completed
correctly and in full and signed by the manager/supervisor therapist.
Receipt of the completed form by the RCSLT will trigger removal of
the NQP from the supervised section of membership.
The transfer form will be retained in the individual member’s file in the
registered office of the RCSLT.
Guidance on any aspect of the above procedure can be provided by
the RCSLT.
Information about the framework is also included in the RCSLT’s
Starting your career as a speech and language therapist: An essential
guide, 2004 available at: www.rcslt.org/resources/publications
Returners to practice
Since 2001, the regulation of health professionals has changed and
there are now rules in place for SLTs returning to practise.
The rules have been designed to ensure that all health professionals
are practising in an up-to-date way and are aware of the changes
that have taken place whilst they have not been working.
All SLTs are required by law to register with the HPC in order to
practise in the UK. The HPC requires individuals to ensure that their
knowledge and skills are up to date and that the HPC’s standards of
proficiency (SOPs) are met. More information is available on the
HPC’s website at: www.hpc-uk.org
The RCSLT provides guidance and support for speech and language
therapy returners. It includes information on finding a clinical
placement and guidance on registering with HPC. SLTs who have
been out of practice for more than two years should apply to become

a returner member of RCSLT. This status is held for a year prior to
being transferred on to the full membership list again.
The RCSLT’s Returners Pack is available on the RCSLT website.
The RCSLT also has a distance-learning course for SLTs who have
been out of practice for more than two years. This course is to help
SLTs meet the HPC requirements for additional study. The course is
designed in units and there are nine units, each requiring
approximately 10 hours of study time.
Each unit has specific aims, learning outcomes, reading material and
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self-assessment questions that must be answered in order to
complete the unit. The self-assessment questions are submitted to
the RCSLT as evidence of completion of each unit. The RCSLT then
issues a certificate of completion to the SLT.
This course does not cover all areas of clinical practice. It is designed
to bring individuals up to date with key areas of professional practice,
legislation and new developments.
Once the course has been completed, individuals may need to
undertake courses on specific clinical areas to update knowledge
and skills still further. The RCSLT can provide a list of short courses
currently available through its own programme and other
programmes based in universities and voluntary sector organisations
throughout the UK.
Support Practitioners
Speech and language therapy support practitioners are integral
members of the speech and language therapy team, employed to act in
a supporting role under the direction of a professionally-qualified SLT.
Support practitioners need to maintain a clear sense of their
personal scope of practice and competence. This includes
knowing when it is appropriate to seek advice or training in
order to maintain or extend their competence.
At present, speech and language therapy support practitioners are
not subject to regulation, although this is likely to change during the
next few years.
For information on support practitioner competencies see:
G NHS KSF
G RCSLT support practitioner core clinical competencies (2002).
This looks at competency levels for a newly appointed support
practitioner, established support practitioner and advanced support

practitioner. It contains a useful exploration of the terms support,
supervision and direction, as well as identifying what support
practitioners are not expected to do. Available at: www.rcslt.org
Manager competence
Managers need to maintain a clear sense of their personal
scope of practice and competence. They have a
responsibility to ensure they develop and sustain their
management and leadership skills and to seek advice as
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appropriate.
They should ensure that staff are provided with an opportunity to
do likewise.
The RCSLT information pack for new speech and language
therapy managers includes a model of competencies for speech
and language therapy managers, available at: www.rcslt.org
The model covers the following areas:
G organisation
G leadership
G operational management
G resource management
G health and safety
G collaborative/partnership working
G influencing policies
G people management
G clinical effectiveness
G patient and public involvement.
5.3.5 Learning organisation

The delivery of high quality healthcare services is integral to
clinical governance. In order to adhere to the clinical governance
agenda, organisations, (eg trusts, local education authorities,
voluntary organisations, etc) need to demonstrate they are
learning organisations. Learning organisations have
responsibilities as illustrated in the following examples.
The management board of the organisation is responsible for:
G promoting clinical governance as integral to its work
G promoting a supportive learning culture
G ensuring adequate resources are available to deliver the clinical
governance agenda

G the overall accountability for clinical governance.
Managers are responsible for:
G supporting individuals (appraisal, service development,
supervision, direction, leadership) to provide evidence-informed care
G ensuring accountability arrangements and systems are in place
within their services
G promoting a culture that supports improvement and learning.
Individual practitioners are responsible for:
G ensuring the provision of high quality services
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G being evidence-aware
G professional accountability and self regulation
G commitment to appraisal and CPD
G accessing learning opportunities
G input to appraisal process
G clinical audit and risk management
G sharing good practice.
Information and guidance on clinical governance is available on the
NHS Clinical Governance Support Team’s website at:
www.cgsupport.nhs.uk
Service standard 17: The service supports the monitoring of
clinical practice through managerial and clinical supervision,
staff development review and personal development plans.
Learning culture
Service standard 18: The service has an up-to-date policy for
dealing with staff concerns about clinical care, including a
confidential procedure for staff to follow.
Staff should be aware of their responsibility to report concerns and
action should be taken to investigate any concerns.
Service standard 19: As appropriate, service managers are
involved in influencing and defining the objectives of the wider
organisation.
Service standard 20: All staff have the opportunity to
participate in the planning, decision making and formulating
of policies which affect service provision.
Involvement may occur for example through staff meetings,
membership of committees or individual responsibilities.
It is essential that managers ask staff for their views and listen to
and take on board their comments. The NHS undertakes staff

surveys on an annual basis. However service specific surveys may
be necessary to obtain more detailed information.
Service standard 21: The service has up-to-date
administrative policies that relate to speech and language
therapy working practices and are written by, or in
consultation with, a registered SLT.
Service standard 22: The RCSLT’s professional standards and
guidelines inform the development of policy and practice.
In support of this, copies of the RCSLT standards and guidelines
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should be readily available in each clinical setting.
5.3.6 Evidence-based practice: research utilisation

The evidence base for intervention has grown considerably over
recent years and continues to do so, although there is a need for
much more research in some areas. Research and evaluation play
an essential role in ensuring quality in healthcare.
It is essential that professionals contribute to the development of
the evidence base in diverse ways including generating research
questions, critical reflective practice and evaluation.
Service standard 23: The service has a strategic and
systematic approach within each clinical team to establish an
evidence-based resource as the basis for provision of clinical
care, organisation of services and service development.
The RCSLT recognises that increasing the use of evidence-based
or evidence-informed practice requires changes at the level of the
individual practitioner and at the level of the organisation.
Individual practitioners need:
G a positive attitude towards research findings
G to know where to find the evidence
G access to people working in the same field, eg peers and
advisers, to help filter and analyse evidence
G access to specialist people and other resources
G baseline competencies in researching skills for using electronic
databases
G baseline competencies in critical appraisal of published research
G knowledge of levels of evidence
G knowledge of research designs, especially what design is
appropriate for which types of questions and what its limitations
are.

More information is available on the Critical Appraisal Skills
Programme website at: www.phru.nhs.uk/casp/casp.htm
G baseline competencies in measuring clinical practice, ie
designing, implementing and analysing clinical audits
G baseline competencies in implementing clinical change.
See also Chapter 9, Service Monitoring, Improvement, Evaluation
and Development section 9.1.4. Service Monitoring and
Improvement
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Services need to provide:
A research culture
G protected time in line with local organisational policy and active
management support
G active encouragement to staff to read relevant literature regularly
and to use library resources as part of professional duties. The
professional development plan (PDP) process is core to this
Learning and development opportunities

Opportunities for education and updating learning in the accessing
and use of:
G electronic library resources, especially subject-based researching
and the saving of search terms
G critical reading of research literature
G methodology and application of evidence-based practice (EBP).
Structure and systems

G a robust means of peer support/clinical supervision, in which
facilitators/supervisors are evidence-aware and encourage
appropriate discussion of evidence
G designated members of staff who are able to provide specific
support for EBP/audit/research
G active encouragement of “journal club” activities
G a system of ensuring SLTs are properly trained to evaluate
research
G a system for checking that therapists use evidence-based
information, (eg as part of CPD/annual appraisal interview and/or
other associated meetings. For example SLTs have their notes
audited and decision making is looked at as part of that process)

G a strategic and systematic approach within each clinical team to
establish an evidence-based resource as the basis for service
planning and to ensure efficient use of staff time, (eg to reduce
duplication of searching for research evidence, etc)
G designated people with responsibility to access and evaluate
research findings in relation to a particular clinical area and with
responsibility to skill up the rest of the clinical team
G collaborative networks with higher education institutions
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(HEIs)/research teams
G contacts for additional assistance with all the above when
required.
Resources
These can include:
G departmental library resources, having access to books, journals
and magazines, with remote access/borrowing particularly for
services in rural/sparsely populated areas and supported by the
facility to access to university/post-graduate medical or other
relevant tertiary library resources
G appropriate information and communications technology (ICT)
support and internet access so therapists can access clinical
guidelines, electronic libraries such as e-library (Scotland) and the
NHS’s National electronic Library for Health (NeLH) with
local/national subscriptions to relevant full-text journals.
5.3.7 Audit
Audit is a way of measuring and assuring service quality. Audit
results are used to support the processes of service improvement
and development.
Audit is covered more comprehensively in Chapter 9, Service
Monitoring, Improvement, Evaluation and Development; section
9.1.4.
Service standard 24: The service has a system to collect
information for service management purposes and to meet
contractual obligations. Information is collected on a
consistent and regular basis.
Service standard 25: The design of documents includes a
code to allow for audit trails and identification of source.

5.3.8 Clinical audit
Clinical audit can be defined as the systematic critical analysis of
the quality of healthcare, including the procedures used for
diagnosis and treatment, the use of resources and the resulting
outcome and quality of life for the individual (DH,1989).
The purpose of clinical audit is to improve the quality of care.
Clinical audit identifies opportunities for improvement in individual
care and the mechanisms for realising them. This is done through
reviewing the provision of healthcare to identify deficiencies or
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weaknesses.
The audit cycle includes the following steps:
G observing current practice
G setting standards of care
G comparing practice to standards and implementing change.
This is a continuous process. It has been suggested that audit is
similar to research, the main difference is that whilst research aims
to influence clinical practice in its totality, audit aims to influence
activity on a local level.
Clinical audit can facilitate the change in culture towards evidence-
based practice through clinical guidelines. Standards of care in
service delivery can be developed using evidence as their base and
may become part of the process of adapting guidelines to local use.
Clinical audit can also be used to measure the outcomes of care
including individual satisfaction.
Many NHS trusts have their own clinical audit departments that are
coordinating activities locally. The main purpose of clinical audit
remains the improvement of individual care and health outcomes
and the effective translation of research into evidence-based
practice.
5.3.9 Continuing Professional Development (CPD)

CPD has been defined as a range of learning activities through
which professionals maintain and develop throughout their career
to ensure that they retain their capacity to practise safely
effectively and legally within their evolving scope of practice (HPC,
2004).
HPC and CPD

In July 2005, the Health Professions Council (HPC) put in place rules

and standards that require therapists to undertake CPD as part of
their re-registration.
The standards specify that a registrant must:
G maintain a continuous, up-to-date and accurate record of their
CPD activities
G demonstrate that their CPD activities are a mixture of learning
activities related to current or future practice
G seek to ensure that their CPD benefits the service user
G present a written profile containing evidence of their CPD on
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request.
See the HPC’s website for more information at: www.hpc.uk.org
CPD is not yet a requirement for support practitioners as it is for
SLTs, but the RCSLT encourages support practitioners to undertake
CPD and believes that a reflective approach is as appropriate to
them as to qualified therapists.
In July 2009, the HPC will begin an audit of SLTs’ CPD records. This
will require therapists selected for audit to submit information on the
preceding two years of CPD activity (2007-2009). This audit cycle
will repeat thereafter on a two yearly cycle.
RCSLT and CPD

The RCSLT has set standards on CPD which mirror those of the
HPC, in addition to setting a standard on minimum number of hours
required (see below).
The RCSLT provides the systems and tools to enable members to
comply with the both the RCSLT and HPC requirements on CPD.
A CPD toolkit will be available to support members in undertaking
CPD and keeping records of their CPD.
See: www.rcslt.org/cpd/toolkit
The RCSLT also provides an online system of record keeping. This
allows members to record information for different purposes more
efficiently and is linked with the HPC and the KSF developmental
review. The online system includes a diary or “log” of activities, a
record of reflections and will allow members to generate reports on
their CPD.
The CPD framework takes an outcomes-based approach to CPD in
line with developments in the wider CPD context. Members are
required to write reflective commentaries on the impact of their
learning on practice in addition to keeping records of the activities.

Personal learning portfolios
Service standard 26: All staff maintain personal learning
portfolios and reflect on learning gained through practice, both
individually and in teams.
Included in the folio is a personal development plan (PDP).
Personal development plans (PDP)
Every practitioner (including support practitioners) should have a
PDP. The PDP should identify areas of development and how these
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developments could be met. The PDP should be reviewed and
updated on an annual basis in parallel with the appraisal process.
Service standard 27: All staff have access to a personal
development review at least once every twelve months.
Managers should ensure that clinicians have the appropriate
competence to undertake the roles and responsibilities of the post
they are appointed to. Practitioners are responsible for ensuring they
work within their level of competence; they contribute to identifying
their development needs and actively seek learning opportunities.
The responsibility for engaging in ongoing appropriate CPD should
be shared by practitioners and managers.
Providing opportunities for CPD
Service standard 28: The service has an up-to-date staff
training and development policy.
This will usually include requirements for practitioners to undertake a
range of training that may include health and safety (fire, infection
control, moving and handling, dealing with violence, etc),
safeguarding children, and the protection of vulnerable adults.
Information about educational/training opportunities should be made
available to staff and there should be a system for applying for training.
The needs of those working part time and on short-term contracts,
as well as those of practitioners returning to the profession, should
be taken into account in local policies.
Records should be maintained for all training undertaken, and
benefits evaluated and opportunities and funds for training should be
equitably managed.
Minimum time commitment to CPD
The minimum required personal commitment for full-time
practitioners to their continuing CPD activities covering specific areas

of clinical interest, and in line with the business objectives of the
organisation, is the equivalent of 30 hours per year (pro-rata for part-
time staff). This is in addition to mandatory training.
All staff should have access to CPD opportunities complemented by
access to appropriate supervision mechanisms.
Range of CPD learning activity

The range of activity that can be undertaken is extensive and includes:
work-based learning; professional activity; formal training and
Chapter 5
education and self-directed learning.
Work-based learning
G learning by doing
G case studies
G reflective practice
G clinical audit
G coaching from others
G discussion with colleagues
G peer review
G gaining and learning from experience
G involvement in wider work of the employers, eg representative on a
committee
G shadowing
G secondments
G job rotation
G journal club
G in-service training
G supervision of staff or students
G visit to others’ departments and reporting back
G role expansion
G critical incident analysis
G completion of self assessment questionnaires
G project work/management
G action learning set.
Professional activity
G involvement in a professional body
G involvement in a Specific Interest Group (SIG)
G lecturing/teaching

G mentoring
G examiner
G tutor
G branch meetings
G organising journal clubs and other specialist groups
G maintaining and/or developing specialist skills
G expert witness
G member of other professional bodies/groups
G presentation at conferences
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G organiser of accredited courses
G research supervision
G national assessor.
Formal training and education
G courses
G further education
G undertaking research
G attendance at conferences
G submission of articles/papers
G seminars
G distance learning
G courses accredited by the professional body
G planning or running a course.
Self-directed learning
G reading journals or articles
G review of books/articles
G updating knowledge via the Internet or the media
G progress files
Other CPD
G public service
G voluntary work
G courses.
KSF and CPD
NHS employers are now asking therapists to show evidence of their
CPD for KSF appraisal purposes. Much of the activity, and the
records that go with them for KSF, will be the same as those required
for the HPC and the RCSLT.

5.3.10 NHS Knowledge and Skills Framework (KSF)
The KSF is a broad generic framework that describes the
application of knowledge and skills within the workplace in order to
deliver quality NHS services. The KSF is about the application of
knowledge and skills and not about the specific knowledge and
skills that individuals need to possess.
It provides a single, consistent, comprehensive and explicit
framework on which to base review and development for all staff.
The key purposes of the KSF are:
Chapter 5
G To facilitate the development of services so that they better meet

the needs of users and the public through investing in the
development of all members of staff.
G To support the effective learning and development of individuals
and teams.
G To support the development of individuals in the post they are
employed in so they can be effective at work. Managers and staff
should be clear about what is required within a post and managers
should enable staff to develop within their post.
G To promote equality for and diversity of all staff. Every member of
staff should be using the same framework, having the same
opportunities for learning and development open to them and having
the same structured approach to learning, development and review.
G To form the basis of the development review process. This is an
ongoing cycle of review, planning, development and evaluation for all
staff in the NHS which links organisational and individual development
needs.
G To inform pay progression within pay bands. In order to progress
within pay bands an individual will be required to demonstrate the
application of knowledge and skills to meet the demands of the post
as described in their KSF outline. This evidence will be presented
during the individual performance review process.
For further information on the KSF, visit:
www.dh.gov.uk/publicationsandstatistics/publications
5.4 Resources and Resource Management
Service standard 29: The service has sufficient and appropriate
resources to support the principal functions of the service.
This includes:
G Pay and non-pay budgets (for example, in relation to training and

development and purchasing of equipment).
G Accommodation that complies with RCSLT guidance (see section
5.4.1).
G Staffing establishment is adequate to meet the contracted needs
of the service. This includes an appropriate skill mix.
G Equipment.
Service standard 30: The financial resources of the service are
planned, managed and controlled.
In support of this, there is:
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G a clear statement of budgetary responsibility for each section head
and line manager
G a clear system of budget allocation and monitoring.
5.4.1 Accommodation
Speech and language therapy is provided in a range of settings in
line with the following principle:
Wherever possible and appropriate to an individual’s
needs/choices, and as indicated by the evidence, services will
be provided in settings that will most readily facilitate individual
assessment and intervention.
This may involve working within dedicated accommodation or within
a wide range of other settings.
Dedicated accommodation for speech and language therapy

(available within a range of contexts)
Although for many individuals, an everyday environment where
communication occurs naturally is the best context for assessment and
intervention, the controlled environment of dedicated speech and
language therapy accommodation provides the most appropriate context:
G for objective assessment procedures, eg nasometry
G where objective assessment equipment is not portable
G for aspects of assessment and intervention with a young child
G where videoing is integral to the intervention, eg developing
parent/child interaction
G where privacy is paramount, eg discussing personal and sensitive
information
G for small group intervention activities
G when intervention is focused on aspects of skill building prior to
daily life application

G for audio recording and audio training activities
G for running parent groups or support groups for carers
G valve changing (this needs to take place within a hospital setting
with access to medical staff in case of emergency).
For more information see the Department of Health guidelines
Essence of Care: Patient-focused benchmarking for healthcare
practitioners, 2003, available at: www.dh.gov.uk
Therapy areas
Chapter 5
General functional and design requirements:

G Accommodation should comply with health and safety
requirements.
G Therapy rooms should have a good standard of daylight and
artificial light.
G Therapy rooms should have good ventilation.
G Therapy rooms should have adequate space to allow for a variety
of activities.
G The temperature in therapy rooms should be well regulated.
G Carpets in therapy rooms should be clean, stain-resistant and
securely fixed. Where carpet is used, this should be suitable for
children and speech and language therapy staff to engage in therapy
activities on the floor.
G For certain individual groups, high quality washable flooring is
more appropriate than carpet.
G Rooms should be situated away from the disruptive influence of
noisy external activities.
For more information see the NHS estates specification, available at:
www.dh.gov.uk
Accommodation for therapy with individuals

One room, or space within a multi-professional work area, as
appropriate, should be available for each whole-time equivalent SLT.
Allowances may also need to be made for students and assistants.
The room should be large enough to accommodate the SLT,
individual (possibly in a wheelchair), carer and observer and the
minimum size should be 15 square metres.
The room must be quiet with sufficiently low background noise to
make it suitable for recording and sound-sensitive equipment. It may

be necessary for it to be sound-attenuated.
There should be:
G A table and sufficient number of chairs, of a size and design
suitable for the particular individual group. Sharp corners and edges
of furniture should be protected.
G A wash basin and, in the case of working with individuals with
head and neck cancer, the room should have a second, stainless
steel basin for the cleaning of equipment.
G Where there is no wash basin, an alcohol-based cleanser or
Chapter 5
disposable wipes should be available.
G A lockable storage space for equipment, or the room itself should
be lockable and secure.
G As appropriate, a full-length mirror attached to the wall, with a
curtain to cover the mirror when not in use
G A sufficient number of accessible power points. In children’s
clinics, these should have protected sockets.
G A telephone point.
G A good light source to allow the individual and clinician to readily
see each other’s faces and, as appropriate, to support changing or
maintenance of valves.
G As appropriate, security systems should be in place for urgent
summoning of assistance and risk management.
An observation room with viewing and audio-visual recording
facilities is helpful in support of:
G student training
G Multidisciplinary Team (MDT) training
G parent/child observation, assessment and intervention
G videoing.
Accommodation for group therapy

As appropriate, there should be regular and reliable access to a
room suitable for group work. 39 square metres is deemed to be the
minimum size for such a room.
The room should be sufficiently large to accommodate up to eight
individuals plus an SLT and two assistants. Specific needs should be
taken into consideration, eg space for wheelchairs, play area, etc.
Tables and chairs suitable for the needs of individuals should be
available and accessible. An observation room is helpful as well, as
described above.

Access to therapy accommodation
The Disability Discrimination Act (2005) places a duty on public
bodies to carry out their functions with due regard to promoting
equality for people with disabilities
Further information is available at: www.drc.org.uk
Ideally, outpatient clinics should:
G have good access to speech and language therapy
departments by public or hospital transport
G have an external entrance with an easy approach for vehicles
Chapter 5
G have adequate parking facilities for individuals and staff

G be located in an appropriate part of the hospital/clinic/school
according to individual groups, etc. with reasonable access for
individuals attending other departments
G have convenient external and internal access for individuals
with wheelchairs/pushchairs/walking aids
G be signposted clearly and appropriately
G be well signposted using the written word and an agreed set of
symbols
G have easy access to toilets, including a facility for people with
disabilities and baby changing facilities.
Where appropriate to the context, (eg within a hospital or
community clinic setting) staffed reception facilities and a waiting
area will need to be provided.
Reception facilities and waiting area for speech and language
therapy provision
Suitable reception facilities should be available. There should be
a suitable waiting area near the therapy rooms, large enough and
with sufficient comfortable chairs to accommodate the number of
people likely to be waiting at any one time. The waiting area
should be more than just a corridor.
The therapy room and waiting area should be sufficiently
separated so that noise from the waiting area does not disturb
intervention and privacy is maintained in the therapy room.
Appropriate toys and materials should be available for children.
Whatever settings speech and language therapy staff are
required to work into, each member of staff requires a
designated office base and access to a range of resources which
will support therapy.

Speech and language therapy staff office base
An office area where current case records can be stored and
general administrative work can be carried out will be required. In a
small department, the office area and therapy room may be
combined.
There should be:
G a desk space or workstation for each therapist using the
accommodation
G a sufficient lockable filing space to accommodate current and
Chapter 5
review case records, administrative information, forms, etc
G a notice board in the department
G privacy to make phone calls when confidentiality is an issue
G ready access to IT facilities including the Internet, the
NHSonline.net research databases, email and a fax machine
G ready access to administrative resources, eg a range of stationery.
Arrangements should be made to store non-current case notes
securely for the required statutory period (up to 25 years duration for
children and eight years for adults).
Staff room
Therapists should have easy access to a room with facilities for
making drinks and preparing snacks and where they can take
regular breaks with colleagues.
Secretarial/recruitment
Reliable and regular qualified secretarial support should be
available to receive enquiries from individuals: to type, copy and
send out reports and letters within an agreed local time standard.
Staff need to be aware of the range of communication difficulties
they are likely to encounter and know how to respond
appropriately.
There needs to be a reliable method of taking messages and
contacting speech and language therapy staff quickly. This may
be by a receptionist, secretary, assistant, answer-phone or voice
mail. The speech and language therapy department may need to
look at recruiting bilingual staff who speak a community language,
if appropriate.
Administrative tasks should, where possible and appropriate, be
carried out by administration/secretarial personnel.

Accommodation when working across a range of contexts
Services will be provided in settings that will most readily facilitate
individual assessment and intervention. Sometimes this will mean
working with the individual within their home or other daily living
contexts (e.g. school, leisure facilities, shops, stroke clubs, nursing
homes, MDT clinics, day-centres).
Facilities for working need to be consistent with the nature of the
intervention and requirements will vary accordingly.
At times, a facility for withdrawal may be required to ensure the
Chapter 5
optimal attention, concentration and engagement of the individual.

The facility will need to provide some of the aspects that dedicated
accommodation offers, including:
G quietness
G privacy
G natural light
G safety
G space according to need
G hand washing facilities to facilitate infection control
G storage space for equipment
G appropriately sized table and chairs.
Where these cannot be provided, it should be recognised that there
could be a trade off in terms of therapeutic effectiveness and
assessment results may be compromised.
5.4.2 Equipment
In support of administrative functions and the development of
individual resources, speech and language therapy staff should have
access to equipment such as:
G a laminator, shredder and photocopier
G a fax machine, answer-phone, and a method of contact when away
from base, for example a pager or mobile phone
G computer equipment with database system, Internet and email
access and symbol software
G a digital camera
G a range of stationery items, including appropriately headed
notepaper.
In support of assessment and intervention:
Hi-tech equipment
Speech and language therapy staff must have access to an

appropriate range of hi-tech equipment for their client group.
To enable accurate recording and analysis of communication skills,
this is likely to include:
G a tape recorder
G digital video equipment
G a microphone
G a tripod
G a range of communication aids to enable assessment and therapy
trials with individuals.
Chapter 5
Services should ensure that a budget is available to maintain and
update hi-tech equipment.
Computer equipment with Internet and email access

Speech and language therapy staff should have access to computer
equipment with Internet and email access at their main site of work
in order to source clinical information and evidence; to seek support
and to network with colleagues.
It is recommended that speech and language therapy staff also have
access to a laptop computer with a range of individual–group specific
assessment and therapeutic software.
In the context of clinicians attending outreach clinics, portable
printers may also be necessary in order to provide advice sheets and
assessment information to individuals and their families.
Assessment materials
Although it is recognised that informal assessment may most
appropriately take place in everyday environments where
communication occurs naturally, SLTs will often supplement these
observations by introducing stimulus materials to assess certain
aspects of function.
Assessment materials will include a range of formal and informal
assessments to gather quantitative and qualitative information, as
appropriate to the individual group.
Materials should be age-appropriate and non-discriminatory in
terms of culture, gender, linguistic or religious background of the
individual.
Assessments should reflect the regional variations of the languages
used by the individual.
Local adaptation to informal assessment material should be made

when appropriate, without compromising the assessment criteria.
The latest editions of any standardised test materials, perceptual and
instrumental assessments should be available.
Equipment for an oral examination should include:
G tongue depressors
G a pen torch
G a portable mirror
G protective gloves
G sterile wipes.
Chapter 5
Ready access to appropriate clinical specialist services is required

(eg videofluoroscopy, nasendoscopy, hearing assessment, FEES).
Therapy materials
Often the most appropriate therapy material will be provided through
access to everyday situations where communication opportunities
arise naturally, (eg having access to transport for individuals, a
telephone, local shops, leisure and social centres and negotiated
access to other therapy resources, [eg therapy kitchen, hydrotherapy
pool, physiotherapy gym]).
In addition, a range of published and individually prepared
therapeutic materials will be required as appropriate to the individual
group in order to work on specific aspects of function.
Core materials appropriate to each individual group should be
available to speech and language therapy staff to take to outreach
settings.
These items should be age appropriate and non-discriminatory in
terms of the individual’s culture, gender, linguistic or religious
background.
Toys and picture materials should reflect the cultural background of
the individual.
Service standard 31: Equipment used in therapy is non-
hazardous to the individual and conforms to health and safety
standards. This includes regular cleaning of equipment in
accordance with infection control guidance.
For certain individual groups, specialist equipment is required in
order to carry out appropriate functions. As these requirements are
likely to change over time, SLTs should advise managers on the
equipment and resource needs specific to the individual group.
In support of providing teaching and learning opportunities for

individuals/carers and colleagues, the service should ensure staff
have:
G access to appropriate research journals
G access to local and national guidelines and protocols
G access to the Internet
G access to an up-to-date library of relevant text books
G data projector and overhead projector
G flip chart stand and paper
G range of stationery, (eg overhead transparencies, discs, pens and
Chapter 5
post-its)
G anatomical models as appropriate
G a range of literature for individuals and carers.
Service standard 32: A range of relevant and up-to-date
literature is available to support the individual and/or carer in
understanding the nature and extent of any given swallowing or
communication disorder.
Individual self-help resources:
G Patient UK: www.patient.co.uk
G A-Z Health Guide from WebMD: Support Groups:
www.my.webmd.com/hw/cancer/shc12.asp
Service standard 33: The service has a written statement of
philosophy, core purpose and operational policy.
Service information for individuals, carers and colleagues should
include information on:
G values
G main aims (scope and principal functions)
G who is served
G referral procedure
G process followed on receipt of referral
G service contact details.
Where relevant, this statement should be consistent with the overall
objectives of the wider organisation (eg LEA, school, trust, primary
care trust).
See also section 1.1 Scope of Practice, in Chapter 1, Professional
Framework.
Service standard 34: All staff (including those in remote areas)
are aware of available resources and are able to access them as
appropriate.

5.4.3 Workload management
Services have a responsibility to ensure that:
G the public and referred individuals are protected from poor quality
services
G staff are not subject to stress through excessive workloads.
One way of fulfilling these responsibilities is through ensuring a
balance between service demands and staffing establishment.
Service standard 35: The service has a mechanism for ongoing
monitoring of staff workloads.
Chapter 5
The mechanism for monitoring might include:

G service review, including staffing levels
G sickness/absence review
G activity monitoring
G discussion with individuals as part of an individual performance
review process (IPR).
A service may wish to specify maximum contact targets for individual
members of staff.
What is workload?
Workload can be thought of in relation to three key dimensions:
G levels of demand or need
G ways of meeting demands and needs
G the staffing establishment (numbers and skill mix) required to meet
the demands/needs in particular ways.
Workload is usually expressed as the ratio of work to an individual
member of staff or to a team of staff.
However, defining workload is complicated because estimates of need
and ideas about the most effective ways of meeting those needs are
changing all the time, as a reflection of evolving professional practice.
As far as possible, workload should reflect:
G nationally agreed principles
G evidence-based models of working
G local needs
G professional needs
G priorities set in agreement with commissioners and stakeholders.
Estimating the level of demand/need

A consideration of the current demands based on an analysis of:
G local demographics and population needs

G the numbers on the caseload
G the numbers of referrals per month
G analysis of activity undertaken
G an estimate of the time taken for different levels and types of
intervention
G feedback from individuals
G individual needs, outcomes and benefits
G whether the service meets the priorities of commissioners and
stakeholders
Chapter 5
G whether professional standards, (eg waiting times) are being met
G risks being faced by individuals or groups of individuals as a result
of services as currently configured
G the full range of demands on staff time
G direct individual contact
G travel time
G report writing
G administrative tasks
G preparation of therapy resources
G attending meetings
G service development projects
G development of policies and procedures
G clinical governance
G CPD activities
G supervising and developing less experienced staff
G education of students
G training other professionals
G tier two services, for example, prevention/health promotion.
Consider future demands based on an analysis of:

G national and local strategies and initiatives
G modernisation projects
G demographic trends
G individual and public consultation.
Identifying current ways of meeting the demand/need

The RCSLT recommends that all people referred to a speech and
language therapy service should receive models of care that are
evidence-based, rather than models of care informed by resource
restrictions.

See the RCSLT Clinical Guidelines (2005), available at:
www.rcslt.org/resources and Chapters 6,7 and 8 on Service
Provision for more information.
In terms of profiling current ways of meeting demands, services
may:
G identify the models of service provision that are in use (eg,
consultative/advisory or direct/review or “whole school” approach/
individual children)
G identify how the demand for services is managed
Chapter 5
G specify waiting times

G develop prioritisation systems (eg which individuals have high/low
priority within resources available)
G identify where services are provided, (eg acute, community,
school-based, community contexts)
G identify the ways in which speech and language therapy services
work in partnership with other support agencies in terms of roles and
responsibilities
G identify how the skill mix is used in all parts of the service to
support meeting individual needs.
Benchmarking
Speech and language therapy services across the UK do not have
common and agreed systems of measuring and collating activity.
Services do not therefore hold the same data, which means that
benchmarking and comparison of services is problematic.
Models of working vary considerably according to:
G the number of potential individuals
G the range of service locations available
G the type and level of health, education, social service provision
and local demographics.
Estimating required staffing levels

Over the years various methodologies have been used to inform
staffing levels of speech and language therapy services. These have
included notional and actual caseload and workload analyses.
Population figures have long been viewed as an inadequate basis for
calculating staffing establishment. The demography of the local area,
together with information on epidemiology is of paramount
significance.

Staffing requirements, both in terms of numbers and skill mix, will
vary according to:
G the number of potential individuals
G the models of service provision employed
G the range of service locations available
G the type and level of other health, education, social service and
voluntary sector provision.
Staffing levels will:
G be negotiated locally
Chapter 5
G be based on an estimate of demand
G reflect the need to provide safe, accessible, effective and
equitable services
G reflect the full range of speech and language therapy roles and
responsibilities.
Staffing calculation formula

The formula for estimating the number of sessions available for an
individual’s contact per year, per whole-time member of staff, is:
5 day working week = 10 sessions
10 sessions @ 52 weeks = 520 sessions
minus 40 days annual leave/public holidays = 440
minus notional 5 days for sick leave = 430
minus 5 days for CPD = 420
Given these assumptions, 420 sessions per year are available per
whole-time staff member. This takes account of annual leave, other
leave and CPD.
Assuming 50 per cent contact time and 50 per cent non-contact time
and estimating that each member of staff will have three direct
contacts per contact-session, each extra full-time member of staff
will be able to provide 210 sessions and 630 one-to-one direct
individual contacts per year.
Workforce planning and staffing levels

In 2005, the RCSLT commissioned a project to support workforce
planning and the commissioning of speech and language therapy
across the UK. The outcome will be a set of RCSLT national
recommendations on workforce planning in 2006. Further
information can be obtained from the RCSLT website at:
www.rcslt.org

See also Chapter 9, Service Monitoring, Improvement, Evaluation
and Development.
Service prioritisation
The RCSLT recognises the right of every individual to have equal
access to the services provided by SLTs.
The RCSLT also recognises that most services operate within a
framework of insufficient resources in relation to demand and supports
the need to focus resources where they will be most effective.
Chapter 5
This will, at times, mean that some individuals do not receive a

therapeutic care service.
The RCSLT does not believe that the alternative strategy, ie
allocating a scarce resource across a greater number of individuals,
thereby diluting the service and resulting in clinical inefficiency, poor
outcomes and low staff morale, is appropriate.
Local population needs-assessment

When services are operating in a context of insufficient resources to
meet demand, it is recommended that an annual needs-assessment
of the service-wide population is carried out and linked to an analysis
of effectiveness, to ensure that resources continue to be allocated to
the most appropriate areas of service.
A re-evaluation of the services currently provided in terms of skill mix
is also recommended.
See Chapter 9 on Service audit, improvement, evaluation and
development.
The RCSLT considers it inappropriate to make relative judgements
regarding the effects of experiencing a potential, or actual
communication disorder or swallowing disorder, with or between any
particular group of individuals. The policy of prioritising one individual
group above another is therefore not supported.
Within any group of individuals, there will exist a continuum of need
and an optimum time to deliver therapy. The prioritisation of an
identified group of individuals for assessment by, for example, age,
disorder or location, does not allow for an efficient assessment and
profiling of overall need to be made.
Waiting for triage/screening assessment

The RCSLT, in accordance with the Patient’s Charter, recommends that

triage/screening assessment of referred individuals be undertaken.
Triage assessment allows individuals to have ready access to speech
and language therapy services without a lengthy wait and to gain
timely access to other facilities as appropriate. It also allows each
service to profile the unmet need within any waiting list for
therapeutic care. This information can then be used to put forward a
case for service development.
Duty of care will only apply once a referred individual is accepted for
in-depth assessment and therapeutic care.
Chapter 5
See Chapter 1, Professional Framework.
Speech and language therapy services must be aware of other
facilities within their locality that can support, enhance and assist with
the management of those with communication and swallowing
disorders. Knowledge of these local facilities should be borne in mind
when drawing up local policies related to triage assessment.
Waiting for diagnostic assessment and therapeutic care

Service standard 36: The urgency or priority of referrals is
determined in a systematic and equitable manner. Prioritisation
systems are evidence-based as far as possible and clearly
documented.
Prioritisation
The RCSLT recommends that a prioritisation policy should be
formulated which defines a range of criteria, upon which the decision
to fulfil a duty of care will be made on a case-by-case basis.
The range of criteria will normally include the following:
Risk
G immediate health risks if the individual is not seen
G in a mental health context, the risk of suicide and self harm
G risk of secondary sequelae if the individual is not seen.
Timing
G Optimal time for intervention to achieve maximum potential, eg
There is evidence that people with long-term neurological conditions
have improved health outcomes and better quality of life when they
are able to access prompt specialist expertise to obtain a diagnosis
and begin intervention (NSF Long-term Conditions, DH, 2005).
G Medical urgency, eg rapidly deteriorating condition.

G Time post trauma (if appropriate).
G Time post surgery, eg post cochlear implant.
G Time of transition, eg about to start secondary school.
Wellbeing
G Anxiety/distress/concern expressed by individual, carer or parent.
Impact
G Effect of difficulties upon an individual’s communicative or
Chapter 5
swallowing function in the current environment and context.

G Effect of difficulties on involvement in everyday activities/quality of
life.
G Effect of difficulties on other areas of the individual’s functioning
(e.g. learning or socialisation).
Predicted outcome in the current context

G Individual/carer’s ability to engage with therapy.
G Availability of speech and language therapy resources to provide
optimum intensity of intervention as evidenced in research.
G Availability of skilled support to help an individual maintain gains
made.
G The individual’s potential for change.
G Commitment and motivation of the individual or, in the case of
children, of their carers.
G Response to any previous speech and language therapy
intervention.
The key factor in relation to prioritising an individual for therapeutic
care is the judgement about the level of clinical risk.
However, no one single factor should be taken as an indicator of
priority rating, or alternatively as a reason not to prioritise an
individual for therapy.
Summary
In these ways, service prioritisation policies will take account of the
whole population requiring access to speech and language therapy
and will not discriminate against any one group or individual.
The RCSLT recommends that services develop proactive
policies and reviews of service in conjunction with their
employing authority and commissioners.

5.4.4 Managing staff vacancies
Whenever a vacancy occurs a risk assessment should be
undertaken to address the impact of the vacancy on the capacity
of the speech and language therapy service. All appropriate
stakeholders should be informed on the outcome of the risk
assessment. They should also be involved in producing the risk
assessment action plan to address the impact of the vacancy.
The action plan should be communicated to all concerned.
Chapter 5
5.5 Use of Information

Role of the SLT

Any SLT receiving a request for information under the aegis of
Freedom of Information Act (2000) should immediately inform
their manager. The request should be forwarded to the nominated
information governance officer/data protection controller for the
employing organisation, who will assess the request and ensure
compliance with the Freedom of Information Acts.
For further details, see the information relating to Acts of Law.
Full details regarding implementation of the Freedom of
Information Act is available at: www.foi.gov.uk
5.5.2 Data Protection Act 1998

The Data Protection Act (1998) provides individuals and
employees with right of access to personal data about
themselves, that is held either in computerised or manual form.
Most, if not all, NHS information concerning individuals, whether
held electronically or on paper, will fall within the scope of this
Act.
The Act imposes statutory restrictions on the use of personal
information, including health information. All NHS employees are
responsible for ensuring that they comply with the Data
Protection Act.
Independent therapists should include data protection information
in their practice literature and be registered data controllers.

The data protection principles
The following principles are embedded within the laws relating to
data protection:
G Personal data shall be processed fairly and lawfully.
G Personal data shall be obtained only for one or more specified and
lawful purposes, and shall not be further processed in any manner
incompatible with that purpose or those purposes.
G Personal data shall be adequate, relevant and not excessive in
relation to the purpose or purposes for which they are processed.
Chapter 5
G Personal data shall be accurate and, where necessary, kept up-to-

date.
G Personal data processed for any purpose shall not be kept for
longer than is necessary for that purpose.
G Personal data shall be processed in accordance with the rights of
individuals under this Act.
G Appropriate technical and organisational measures shall be taken
against unauthorised or unlawful processing of personal data and
against accidental loss or destruction of, or damage to, personal
data.
G Personal data shall not be transferred to a country or territory
outside the European Economic Area unless that country or territory
ensures an adequate level of protection for the rights and freedoms
of individuals in relation to the processing of personal data.
Responding to access requests

All requests for access to health records should be referred to the
speech and language therapy manager, who will process the request
according to the organisation’s policy and procedures.
A request for access must be made in writing, and no reason need
be given. Subject to any applicable exemption, the applicant must be
given a copy of the information and, where the data is not readily
intelligible, an explanation (eg of abbreviations or medical
terminology). A charge may be made for the application and copying
charges, but not for any explanation required.
There is a requirement to be satisfied that the applicant is either the
individual, or, if the applicant is applying on behalf of an individual,
that the person has been authorised to do so.
The service manager should determine whether any exemptions to
access rights apply following receipt of a request for access and

liaise closely with their organisation’s information governance officer
to ensure that requests for access to records are managed in line
with the requirements of the Act.
Employee data
The rights of access and data protection principles outlined above
apply equally to employees. All records in computerised or manual
form are subject to the same requirements for confidentiality,
accuracy, fairness, relevance and adequacy. All employees have an
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entitlement to:
G be informed whether personal data is processed (which includes
being held or stored)
G a description of the data held, the purposes for which it is
processed and to whom the data may be disclosed
G a copy of the information constituting the data
G information as to the source of the data.
Information sharing
A working group at the Department of Health is developing national
guidance to assist NHS bodies and local authorities on the principles
and practical issues involved in sharing patient records for service
delivery and of using such aggregated data for planning,
commissioning, managing and monitoring. In the interim there may
be locally developed policies and protocols in place for sharing
information. In the absence of these, speech and language therapy
managers should seek advice form their information governance
officer or from their organisation’s legal advisor.
For further information on the Data Protection Act (1998), see the
information relating to Acts of Law or see the Information
Commissioner’s website at: www.informationcommissioner.gov.uk
5.5.3 Record Keeping

What is a record?
A “record” is a document, which contains information (in any
medium) that has been created or gathered as a result of any aspect
of the work of NHS employees. This includes paper records, audio
and videotapes, as well as photographs.
Clinical records, including electronic ones such as the electronic

patient record (EPR), are routinely created and logged for each
individual when they first visit a clinician. With the development of
EPR there will be a need to identify every item which is patient-
related with the relevant NHS number to provide the necessary links
through all electronic records.
The best-practice principles of recording information are:
G legibility
G timeliness
G accuracy
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G completeness
G provision of an audit trail
Record keeping
Good record keeping ensures that:
G work can be undertaken with maximum efficiency without having to
waste time searching for information
G there is an audit-trail, that enables any record entry to be traced to
a named individual of a given date/time with the secure knowledge
that all alterations can be similarly traced
G those accessing the record can see what has been done, or not
done and why
G any decisions can be justified or reconsidered at a later date.
This is vitally important in cases such as:
G providing patient care
G clinical liability
G parliamentary accountability
G purchasing and contract or service agreement management
G financial accountability
G disputes or legal action.
Service standard 37: Written records are kept of each
individual’s care.
Service standard 38: The service has clear standards of record
keeping in line with Data Protection Act (1998) principles and
RCSLT guidance that are reviewed and audited on a regular (at
least annual) basis.
Each clinical record should contain:

G the name and identifying number of the individual on both sides of
each sheet

G important, relevant and complete information, including: referral
source and reason; correspondence; case history information; clear
aims; an entry for each contact (direct and indirect); reports, and
evaluations.
Entries within the records should be:

G written in black ink
G legible
G accurate
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G comprehensive
G contemporaneous
G dated
G signed
In addition, there should be no deliberately left blank pages or gaps.
If they do exist, they should be scored through, dated and signed.
There should be a method of identification for signatures, and there
should be a key available for any abbreviations used in the case
notes.
If necessary, information should be shared rather than copied in
order to reduce risks to confidentiality.
The role of the practitioner:

When creating a patient record, or making entries into an existing
patient record, it is the responsibility of the SLT or support
practitioner to:
G conform to RCSLT and local guidance
G routinely discuss the information they are recording with the
person to whom the record relates, or in the case of children, with
their parent/s, at the time of making the entry, wherever possible.
If the SLT makes an entry in the record which he/she has not shared
with the individual to whom it relates, the reason should be clearly
recorded.
Keeping records of an individual’s care within the context of

multidisciplinary or multi-agency working
There is no single multi-agency model for the way in which an
individual’s health record should be documented.
A review of existing standards related to record keeping was
undertaken by the NHS Health Records and Communication

Practice Standards (HR&CPS) Group. This survey involved scoping
the guidance from three regulatory bodies (Nursing and Midwifery
Council, the General Medical Council and the HPC), together with
guidance from a range of professional bodies.
The standards in common fall into four categories:
G confidentiality and disclosure
G communication of information
G process principles
G personal and professional knowledge and skills.
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For more information see the NHS Health Record and

Communication Practice Standards for Team-based Care (2004),
available at: www.connectingforhealth.nhs.uk/crdb/docs/
scrrdocument.doc
These standards do not address the content of a shared record of
care. This is currently the focus of the various groups who are
developing and implementing the electronic patient record strategies.
There is no single model for which details of care should be
contained within a shared record and within a uni-professional
record.
The following notions may be helpful in guiding team decision-
making about the content and level of detail to be included in shared
records within different working contexts:
G certain information is core to the individual and core to the work of
all the team
G shared documented information should have relevance to team
decision-making
G certain levels of detail are meaningful only to a given profession
and therefore belong within a uni-professional record of care.
Diaries
Diaries are used to record the daily activity of health professionals in
the course of their duties.
Diaries issued by the employing organisation are the property of that
organisation and they and their contents should be stored securely to
ensure the confidentiality of the information in them. Information
recorded about individuals in a diary forms part of the record of that
individual. A diary also meets the definition of a “record” in its own
right. All diaries with individual related information should be kept for
eight years.

Diaries may be audited by the employing organisation and should
reflect the work undertaken in the course of the working day. In
addition, information relating to the practitioner must also be recorded,
including:
G annual leave
G sick leave
G overtime
G meetings attended/cancelled
G conferences/courses attended
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G study leave
G supervision of students/assistants
G administration
G research activities
G court appearances
G rotas.
This list is not exhaustive.
The principles for good record keeping that apply to individual
records also apply to diaries.
Electronic patient records (EPR)

All four UK countries have a strategy for establishing EPRs within the
NHS over the next few years.
Healthcare records, appointment details, prescription information, and
up-to-date research into illnesses and intervention will be readily
available to all individuals and health professionals. EPR systems will
support individual choice and allow first hospital outpatient
appointments to be made at a time, date and place to suit the individual.
Although each country will make its own decision about the adoption
of standards and datasets in relation to EPRs, core patient data such
as name, address, NHS number, date of birth, plus basic details on
hospital visits and known reactions to drugs, is likely to be held on a
national database, with a signpost to the full local records.
The guiding principle for the development of quality health
information and information systems is that individual patient
information should be as accurate, up-to-date, easy to find and as
free from duplication and fragmentation as possible.
For further details see the following websites:
www.connectingforhealth.nhs.uk
www.ehealth.scot.nhs.uk

5.5.4 Records management
Records management is most effective when it is regarded as a
professional activity requiring specific expertise.
Records are a valuable resource because of the information they
contain. The information is only useable if it is correctly and legibly
recorded in the first place, is regularly updated and is easily
accessible when needed.
Information is essential to the delivery of high quality evidence-based
healthcare on a day-to-day basis and an effective records
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management system ensures that such information is properly

managed and is available:
G to support individual care and continuity of care
G to support day-to-day business, that underpins delivery of care
G to support evidence-based clinical practice
G to support sound administrative and managerial decision-making,
as part of the knowledge base for NHS services
G to meet legal requirements, including requests from individuals for
access to their records
G to assist medical and other audits
G to support improvements in clinical effectiveness, through research
G to support archival functions by taking account of the historical
importance of material and the needs of future research, whenever
and wherever there is a justified need for information and in whatever
media it is required.
Legal obligation and good practice
All NHS records are public records under the terms of the Public
Records Act, 1958. Chief executives and senior managers of all
NHS bodies are personally accountable for records management
within their organisation and have a duty to make arrangements for
the safe keeping of those records under the overall supervision of
the keeper of public records. The Department of Health is the liaison
point between them and the Public Record Office (PRO) whose
responsibility includes permanent preservation.
Other legal obligations exist in respect of particular classes of
records especially those containing personal information.
Confidentiality and data protection

All NHS bodies and those carrying out functions on behalf of the NHS have

a common law duty of confidentiality. Everyone working for, or with, the NHS
who records, handles, stores or otherwise comes across individual
information, has a personal common law duty of confidentiality to individuals
and to his or her employer. The duty of confidentiality continues even after
death of the individual or after an employee or contractor has left the NHS.
In general, any personal information given or received in confidence
for one purpose may not be used for a different purpose or passed to
anyone else without the consent of the provider of the information.
This duty of confidentiality is long established in common law.
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However, it is not an absolute duty and can be subject to an
overriding public interest.
Medical, historical and epidemiological research is based on
individual information, usually the information is anonymised so
those individuals cannot be identified. In such cases, the use of
information does not conflict with the duty of confidentiality.
Where identifiable information is used, in the absence of consent
(express or implied), it is necessary to consider whether any public
interest in the research outweighs the duty of confidentiality, having
regard to all the circumstances.
Ethical approval must be gained for any research using individual
records.
The Caldicott Committee recommends that NHS organisations
should be held accountable through clinical governance procedures
for continuously improving confidentiality and security procedures
governing access to, and storage of, clinical information.
Health information should be treated as confidential in accordance
with relevant legislation and RCSLT guidance.
Service standard 39: The service has a clear and up-to-date
policy on the confidentiality, use, security and disclosure of
health information.
The system for recording and storing individual information will
provide effective protection against loss, damage and misuse.
Each service should also:
G have guidance for staff
G ensure that staff are aware of their duty of confidentiality and its
implications
G provide opportunities for individuals to be seen in private
G ensure that individuals are made aware of and consent to uses of
personal information

G have inter-agency protocols for the sharing of information
G have IT records that are password protected
G be registered for data protection
G ensure that clinical records are stored in lockable cabinets.
Individual access to personal records

Standard 40: The service has a clear and up-to-date local policy
detailing the process through which individuals (or their
advocates) have access to their records in line with the Data
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Protection Act (1998).

Individuals have a right to access their own records. Practitioners
must respect individual’s rights to access their own information.
However, exceptions may apply where the practitioner judges that to
restrict or withhold information would cause serious harm to the
individual or others.
Principles of efficient storage

Clinical records should be retained and disposed of in accordance
with RCSLT guidance.
Records must always be kept securely and when a room containing
records is left unattended, it should be locked whenever possible. A
sensible balance should be achieved between the needs for security
and accessibility.
The principles of good record management practice apply equally to
records created manually and electronically.
Disposing of unwanted records

Service standard 41: The service has a clear and up-to-date policy
relating to the length of retention and the ultimate disposal of
clinical records, which complies with legislation and RCSLT
guidance.
relating to storage and disposal of audio and visual recordings.
Records should be suitably disposed of as soon as possible, subject
to national and local retention periods.
The length of the retention period depends upon the type of record
and its importance to the business of the NHS organisation. The
destruction of records is an irreversible act, whilst the cost of keeping
them can be high and ongoing.

Most NHS records, even administrative ones, contain sensitive or
confidential information. It is therefore vital that confidentiality is
safeguarded at every stage and that the method used to destroy
such records is fully effective and secures their complete illegibility.
The retention and disposal of records should be in accordance with
the requirements of Health Service Circular (HSC) For the Record
(1999). This recommends minimum periods for the retention of
records, both clinical and non-clinical.
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Key retention periods are as follows:
G Records relating to children and young people should be kept
until the individual is 25 years-old or 26, if the young person was 17
years-old at conclusion of intervention; or eight years after an
individual’s death, if the death occurred before they were 18 years-
old.
G Records relating to mentally disordered persons (within the
meaning of the Mental Health Act [1983]) should be kept for 20
years after no further intervention is considered necessary; or eight
years after the individual’s death, if individual died while still
receiving intervention.
G Records relating to other patient groups not covered above
should generally be kept for eight years after conclusion of
intervention.
G All diaries with patient-related information should be kept for eight
years.
Independent practitioners are not subject to the same constraints.
The Association of Speech and Language Therapists in
Independent Practice (ASLTIP) advises members to seek legal
opinion on how long to keep records. The practice decisions should
be shared with individuals within the practice literature.
Where possible a review of records in storage should occur on an
annual basis. A planned review of records will ensure that records
to be retained are both valid and current, available storage facilities
are effectively maintained and any unwanted records culled on a
planned basis.
Where paper-based documents are to be converted to and stored in
electronic form and their originals destroyed, the destruction must
be for proper motives, such as clearing storage space.
In the event of a challenge in litigation, this action will protect the

evidential value of electronic records and avoid misunderstandings of
the reasons for the conversion, including any potential suggestion
that paper-based records may have been destroyed deliberately to
obscure evidence.
Paper records should be disposed of in a manner that preserves
confidentiality by shredding, pulping or incineration.
5.6 Management of Risk

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5.6.1 Risk management

What is risk?
Risk is defined as the chance of something happening that will have
an impact on objectives. It is measured in terms of consequences
and likelihood.
risk = consequences x likelihood
Risk management
Risk Management is an organised and proactive approach of risk
identification, analysis, controls and evaluation. It aims to reduce the
risks to all persons in an organisation, and ensure limited potential
harm to an organisation’s business opportunities, physical
environment, financial assets or reputation. In doing so it will also
provide high quality, safe services to individuals and staff and an
effective service by eliminating or reducing unnecessary costs.
The no blame culture

“The single greatest impediment to error prevention is that we punish
people for making mistakes” (Leape, 2004).
We need an open and fair, no blame culture in order to report,
analyse, and learn from incidents and near misses.
Statutory and mandatory duties of NHS trusts

NHS trusts have a statutory responsibility to evaluate the risks to the
safety and health of workers they employ and anyone else who may
be affected by trustwork activities, such as individuals, visitors and
volunteers. NHS trusts must identify measures for compliance and
record the findings of these assessments (Management of Health
and Safety at Work Regulations, 1992).

All NHS trusts became individually liable for their actions with the
removal of Crown Immunity in 1991. This relates to directly
employed provider services.
Health Service Guidance (97) 17 requires all NHS trusts to include a
comprehensive controls assurance statement in their annual report.
This statement is to assure the public that NHS trusts are being
properly managed and that systems are in place to minimise all
risks.
All NHS trusts will have developed a local assurance framework,
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which will include a risk management process.
The risk management process

The management of risk is a continuous process, with
responsibilities for all employees/staff. The components of the
process are recognising, assessing/measuring, reviewing and
managing the identified risk and the learning. In NHS trusts this is
undertaken at all levels, trust wide, directorate, departments, teams
and sites, etc. All risks identified and assessed are reported through
defined structures, such as health and safety committees, and
clinical governance committees.
Risk management assessment

NHS trusts have developed generic risk assessment tools used for
assessing risks within trusts and which can be applied to clinical or
organisational risks.
The principles of risk assessment are to:
G identify the risk
G identify those at risk
G evaluate the risk
G identify a risk remedial action plan.
The risk assessment process can be applied to:
G incident reporting
G health and safety
G personal safety
G infection control
G complaints
G managing vacancies
G business planning
G service developments

G decision-making with individuals, see the section 1.9 Decision-
making in Chapter 1, Professional Framework.
The responsibility of the speech and language therapy manager

The speech and language therapy service manager is responsible
for ensuring that appropriate and effective risk management is in
place within their designated areas and scope of responsibility.
He/she needs to ensure that all staff are made aware of the risks
within their work environment and of their personal responsibilities
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and that they receive appropriate information, instruction and training

to enable them to work safely. These responsibilities extend to
anyone affected by the organisation’s operations, including sub-
contractors, members of the public and visitors, etc.
risk-management policy and guidelines.
When preparing specific departmental policies and guidelines the
speech and language therapy manager needs to ensure all necessary
risk assessments are carried out within their area, and they need to
liaise with appropriate advisers as necessary, eg health and safety
officer, infection control nurse, Caldicott guardian, medical devices
liaison officer, estates personnel, human resources personnel, etc.
The speech and language therapy service manager is also
responsible for implementing and monitoring any identified and
appropriate risk management control measures with their designated
areas and scope of responsibility. In situations where significant risks
have been identified and where local control measures are
considered to be potentially inadequate, managers are responsible
for bringing these risks to the attention of the trust committee
responsible for risk management.
Independent practitioners should undertake risk assessment and
management in relation to themselves and their individuals, seeking
advice from colleagues as appropriate.
The responsibility of individual staff

All staff have responsibility in risk management and should report
incidents/accidents and near misses, in line with policies within their
organisations.
Staff should ensure safe clinical practice in diagnosis and
intervention and be aware of duty of care under health and safety

legislation, as well as duty of care as defined by the RCSLT. Staff
should be familiar with their organisation’s risk management strategy
and organisational or departmental clinical and health and safety
policies and procedures and comply with these.
Staff should neither intentionally nor recklessly interfere with, or
misuse, any equipment provided for the protection of safety and
health and undertake training on specific equipment prior to use.
Staff should be aware of emergency procedures/guidelines, eg
resuscitation, evacuation and fire policies and procedures for their
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area of work/location.
Incident reporting
The term “incident” refers to any clinical or non-clinical accidents,
unexpected events or near misses.
The objective in reporting incidents is to:
G improve and promote a healthy workplace
G improve and promote high quality clinical services
G avoid future similar occurrences.
The reporting of near misses provides valuable information to share
within a proactive risk management system.
Lines of responsibility and duties are defined within organisations’
policies and procedures on reporting and management of incidents.
Speech and language therapy managers responsibilities include:
G Rectifying a hazardous situation as appropriate to their level of skill
and responsibility.
G When appropriate, removing equipment from their service.
G Ensuring that the subject of the incident receives appropriate
medical attention, reassurance, advice/or information.
G Determining whether investigation is required.
G If appropriate or/required, undertaking investigations.
G Taking all practical steps to ensure to address the conditions
responsible for the incident to prevent a recurrence.
G Support and encourage staff in reflective practice and learning.
Investigation
Speech and language therapy managers need to use a structured
process for identifying the basic factors, reasons and causes for
conditions that result in mishaps. Once identified the conditions can
be corrected and future mishaps prevented.

Objectivity and uniformity are increased by following a structured
root cause process through which the analyst identifies root causes
matched to a specific set of questions. This method of investigation
is known as root cause analysis. Further information on this
technique can be found on the National Patient Safety Agency
(NPSA) and the Department for Health’s websites.
5.6.2 Complaints
Complaints and compliments are a way of obtaining feedback from
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service users and are a source of useful information about the

quality of service provided. Complaints offer a positive way to
improve services and avoid similar situations.
local policy and procedures for handling complaints.
The policy will include details of:
G how to respond to verbal and written complaints
G timescale for response
G requirements for record keeping
G how records of complaints are kept and monitored
G evidence of review and action planning related to complaints
G how individuals are informed of the policy and how to complain
G how front-line staff are trained in dealing with complaints.
Independent practitioners should inform individuals within their
practice literature of the process for handling complaints, including
the role and contact details for ASLTIP.
Principles underpinning effective complaints management

Complaints should be resolved as quickly as possible, particularly
through an informal response by front-line staff, or subsequent
investigation and conciliation through staff who are empowered to
deal with complaints as they arise, in an open and non-defensive
way.
Many people in receipt of health services find it difficult to express
their concerns, criticisms and complaints and worry that this may
affect the intervention and care of themselves or those who they
care for. It is therefore essential that procedures ensure people are
enabled to communicate their complaints, by being assured they are
being listened to with respect and concern, and that the response is
swift, impartial and fair.

The role of the speech and language therapy manager in
complaints management
In the interest of maintaining a high quality service, the speech and
language therapy manager has a duty to investigate, or facilitate the
investigation of any complaint or concerns expressed by individuals,
families or other users of their service.
The role of the speech and language therapy manager is to hold
overall responsibility for operation of complaints procedures within
their specific service areas. This involves ensuring that all staff are
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fully conversant with, and follow the complaints procedure, that
satisfactory arrangements are in place for handling complaints,
particularly by front-line staff, and supervising the investigation of
complaints within their service.
The role of the Health Service Ombudsman in complaints

management
In the NHS, with effect from 1 April 1996, the Health Service
Ombudsman has the role to investigate complaints, which involve
actions taken wholly or partly as a result of the exercise of clinical
judgement, as well as complaints about services provided or not
provided, about maladministration, and the way complaints have
been handled.
The role of ASLTIP in relation to complaints about
independent practitioners
Complaints about services received at the hands of an independent
practitioner may be made to the Association of Speech and
Language Therapists in Independent Practice (ASLTIP).
Training in relation to complaints management

Training is the key to ensuring that complaints procedures are
effective and operates smoothly. Speech and language therapy staff
at all levels should be made aware of complaints procedures and the
roles they play in it.
5.6.3 Clinical Negligence Scheme for Trusts (CNST)

The Clinical Negligence Scheme for Trusts (CNST) was established
in 1994 by the NHS Executive to provide a means for trusts to fund
the cost of clinical negligence litigation.

The NHS Litigation Authority (NHSLA) administers the scheme,
which provides indemnity to NHS trusts and primary care trusts in
respect of clinical negligence claims arising out of adverse
incidents occurring after 1 April 1995. Trusts pay a contribution to
the scheme based on a range of criteria.
It is a requirement of membership of the scheme that all trusts
are assessed against the CNST risk management standards
within two years of their last assessment and within 12 months for
Level zero trusts, new or recently merged trusts.
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There are seven standards identified by CNST, against which a

trust’s performance is measured. Further information is available
on the NHSLA website at: www.nhsla.com
5.6.4 Health and safety at work

The Health and Safety at Work Act (1974) requires employers
and employees to fulfil a number of requirements, including
being aware of their responsibilities for health and safety at
work.
Each employing agency will have a health and safety policy
statement outlining the levels of responsibility within its own
management structures.
policy related to health and safety of staff and individuals.
There should be a system in place to identify, analyse, prioritise
and manage risks to health and safety.
Areas covered by policy should include:
G fire safety and prevention
G first aid facilities
G incident reporting and recording
G access for all staff to confidential occupational health services
G control of infection
G control of substances hazardous to health (COSHH)
G arrangements for maintenance of equipment
G manual handling
G electrical and technical equipment
G violence towards staff
G slips, trips and falls
G stress at work
G lone working

G severe weather policy
G community visits.
There should be a named safety representative and a regular
auditing of risk management procedures to ensure effective
risk management.
Health and safety issues are a line management responsibility
alongside, and of equal importance to, responsibilities for the
provision of services and the management of resources.
Key health and safety responsibilities of the speech and
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language therapy manager may include:
G Encouraging a culture of safety awareness amongst speech and
language therapy staff, ensuring they are aware of and adhere to
health and safety policies.
G Ensuring there is speech and language therapy representation
on relevant health and safety committees.
G Securing appropriate health and safety training for speech and
language therapy staff, and maintaining a record of training
undertaken.
G Developing risk management policies to cover all areas of activity
for the service, and monitoring and reviewing the effectiveness of
these policies through an annual programme of risk assessment.
G Reviewing accidents/incidents occurring within the service and
ensuring appropriate actions are taken to minimise the risk of
recurrence.
G Consideration of all reports and advice from enforcing authorities
(eg the Health and Safety Executive, the Medical Devices Agency),
and taking appropriate action.
G Working with the health and safety advisor and where
appropriate staff side representative, (eg to arrange training).
For more information see the RCSLT Information Pack for New SLT
Managers, 2005.
SLTs working in NHS trusts, local authorities and the voluntary
sector will need to make reference to these organisations’ health
and safety policy, local policies, eg lone worker policy, fire policy,
policies on managing violence, aggression or abusive behaviour,
etc.
Practitioners should be aware of and act in accordance with
RCSLT guidance and local health and safety policy.

Training
Speech and language therapy managers should ensure that an
appropriate health and safety training strategy is in place for staff.
This will ensure that competencies are maintained for staff to
undertake risk assessment and manage potential risks in all areas of
their work. Some of this training will be covered through
organisations statutory training programmes, eg manual handling,
cardio pulmonary resuscitation, etc.
Chapter 5
5.6.5 Personal safety

Zero tolerance to violence
Staff have the right to work in an environment where they feel safe
and secure and where the risk of violence in whatever form is
minimised. The NHS Security Management Service (SMS) has a
remit to protect NHS staff and patients from physical and non-physical
assault and has developed a strategy which builds on the Zero
Tolerance Campaign, 1999 and supports services in meeting the
standards set out in the Improving Working Lives (IWL) programme.
Detailed guidance and good practice examples related to risk
assessment and prevention strategies can be found in Safer Working
in the Community, 1998, available at: www.dh.gov.uk/publications and
www.cfsms.nhs.uk and in A Safer Place to Work – protecting NHS staff
from violence and aggression, 2003, available at www.nao.org.uk/
publications
Legal responsibilities
Health service employers and managers are committed to caring for
the health and safety of all their staff. As with other employers, they
have duties with respect to the management of work-related violent
incidents, framed both by national and European health and safety
legislation and by their common law duty of care. A summary of the
requirements on employers, under health and safety legislation, is
contained in Safer Working in the Community (1998).
Managing the risk

Healthcare staff sometimes face a dilemma with regard to the risk
from violence. They have a duty of care to the individuals on their
caseload, often within a continuing relationship, and that care can

only be withdrawn in exceptional circumstances. Additionally, some
may feel that coping with a certain amount of aggression is “part of
the job”.
However, professional codes of conduct do not require healthcare
professionals to put themselves or their colleagues at risk for the
sake of individuals.
Part of the purpose of risk management by employers is to develop
safeguards, or alternative ways of delivering care, such that
healthcare staff do not feel that they have to jeopardise their own
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safety in order to provide care for individuals.
Organisations’ responsibilities
Trusts and similar organisations exist as part of a community and it is
important that the services they provide are sympathetic to the needs
of that community. According to best practice, it is crucial that
consideration is given to the environment and social groupings within
which an organisation operates. This is critical to the practicality,
effectiveness and success of risk management systems.
Guidelines for personal safety

These guidelines are intended to remind SLTs that care must be
taken in respect of personal safety at work. Some aspects of the
SLT’s work can make the practitioner more vulnerable than others,
due to the nature or location of the work.
Managers are responsible for producing guidelines in accordance
with local policies on personal safety for staff at work on-site as well
as off-site. Managers should ensure that all staff are aware of such
policies and also appreciate their vulnerability, particularly in relation
to community visits and out-of-hours work.
Safety in designated work settings

When interviewing an individual and/or carer alone, staff should
make known their whereabouts to their manager or nominated
person.
If a staff member is unavoidably working alone in a designated work
location, it is her/his responsibility to ensure personal safety and
security. This may include locking the entrance door and having a
“Please ring the bell” or “Please knock” sign or by working in a room
with a telephone.

Staff are urged to record planned contacts in an open diary in a
separate office. Records in the diary should state the time and duration
of the appointment, the names of the individuals to be seen and the
specific room to be used if not the practitioner’s own personal office.
All staff should be alert to security issues and use alarm/security
systems as appropriate.
Safety in community settings

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Planning contacts
Staff must not knowingly place themselves in a hazardous situation.
Staff should plan visits according to area or risk. When this is not
possible and visits need to be made in “at risk” areas, staff are urged
to use their discretion and take the following precautions:
G go with a colleague, if possible
G walk in well-lit populated areas, avoiding short cuts through
subways, parks or waste ground
G carry a mobile telephone (if available) or a personal alarm and
maintain these in working order
G when driving, keep all car doors locked. Do not leave handbags on
the passenger seat. Lock personal items, briefcases and folders, etc
in the boot and/or place out of sight. Avoid parking in dark secluded
areas
G do not wear excessive jewellery or carry unnecessary amounts of
money or valuables such as credit cards or cheque books
G staff who are not car owners are advised to use a transport
service when making home visits, and to ensure that the return
journey is arranged prior to the visit. The driver should be instructed
to knock at the front door rather than wait on the road outside
G do not accept lifts from strangers.
Known individuals
If there is evidence prior to contact that the individual or carer is
extremely disturbed and/or the available information indicates that
there may be concerns about the person’s hostility or aggression, a
risk assessment should be undertaken and measures put in place to
minimise risk to staff.
This should include seeing the individual with another member of
staff present.

In some situations the risks identified may indicate that the individual
should be seen in a setting other than their home.
It is recommended that a record of the completed contact is
submitted.
During visits
Staff have the right to decide not to enter a home if the situation is
not as anticipated and they feel that their personal safety may be at
risk. They may need to explain to the individual how the situation
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needs to be different and that they will make alternative
arrangements to see the individual. They should then inform their line
manager of their action.
In a situation where actual threatening behaviour or sexual
harassment is occurring, the member of staff should always err on
the side of caution in her/his response and leave immediately.
Staff should remain vigilant to potential threat, eg signs of agitation
and use of abusive language, and remain calm and firm.
See the section below on the management of potentially violent
behaviour.
Staff should plan an exit strategy and choose to sit in the chair
nearest the door from the start of the visit.
Domestic pets may also be a hazard. Consider requesting that they
are removed from the room when visiting.
Should staff be delayed for any reason, they should notify their base
or line manager/colleague. If further time is required with the
individual than was originally planned staff should either:
G ring their base, colleague or visit sheet holder and confirm this
G terminate the interview at the pre-arranged time, and arrange a
further appointment with the individual.
If a serious incident occurs staff should call the police/ambulance.
Staff are advised to inform the manager or a nominated person at
the end of the visit and to report any incidents in accordance with
their employer’s accident/incident reporting procedure.
Guidelines for the management of violent or potentially

violent behaviour
During the course of a working day, staff may be faced with a
potentially violent situation. Staff whose work regularly requires them
to come into contact with potentially violent individuals should

undergo appropriate training.
Three different types of tactic are helpful:
Avoidance
If someone appears to be becoming angry and aggressive, use any
means to avoid confrontation. For example, if an individual has
become very angry because he/she does not want to do something
and may become violent, staff should back down or leave the room,
if this seems the most appropriate course of action. This allows the
member of staff time to consult with others and try to understand
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why the individual has reacted in a violent or aggressive manner.

Distraction
Distraction can also be helpful, but it is important not to be
patronising when adopting this strategy. For example, if an individual
is reacting very aggressively to being told he/she cannot have
something, it may be useful to offer to make him/her a cup of tea or
coffee before attempting to discuss the problem further.
Defusing
Defusing strategies can help in averting a confrontation. For
example, disclosing personal experiences of anger can be helpful if
an individual is becoming angry or aggressive.
Whatever approach is appropriate:
G It is important to behave calmly, to use a firm, non-threatening and
unhesitating manner, communicating self-control and confidence.
G Be conscious of your own body language and tone of voice. How
you say something can be more important than what you say.
G Listening, talking and explaining must be the first approach and, if
used properly, can often avert an incident.
G Help the individual to be aware that you are trying to solve the
immediate problem and be truthful about this.
G Approach the individual slowly, speaking to them calmly. Do not
surprise them, for example, by approaching from behind. Be sensitive
to the individual’s personal space and do not encroach on it. Beware
of “cornering” the individual and blocking their exit as you approach.
Useful websites:
Department of Health www.dh.gov.uk
Home Office www.homeoffice.gov.uk
Criminal Justice System www.cjsonline.gov.uk
Crown Prosecution Service www.cps.gov.uk
The Suzy Lamplugh Trust www.suzylamplugh.org

5.6.6 Infection control
Healthcare associated infection has recently become the focus of
more intensified control measures in the NHS.
Infection is a common but sometimes avoidable complication of any
healthcare intervention. It has major implications, not only in terms of
cost to an organisation, but also in cost to an individual in lost wages,
pain, discomfort, side effects of intervention, etc. The ultimate price
that the individual might pay is in loss of life.
Bacteria are everywhere and millions live on and in our bodies.
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These bacteria usually live in harmony with us and perform many
useful functions, such as protection from infection and assisting in
digestion. These are known as normal flora.
During times when our natural defences are lowered through illness,
age or perhaps surgery or invasive devices, these organisms may
access, and cause infections in areas of the body where they would
not usually be found. This is endogenous infection.
Not all infections are caused by the individual’s own resident bacteria
(normal flora). Transient bacteria are organisms that are easily picked
up from other people or the environment. They are very loosely
attached to the skin and can easily be spread from individual to
individual.
Bacteria and viruses cannot transport themselves and the most
common way has been found to be on the hands of the care worker,
visitor or family, or on equipment that has been inadequately
decontaminated. This is exogenous infection.
These organisms, although easily picked up on the hands, can just
as easily be washed off.
Bacteria need certain life support systems to survive and multiply, ie
food, warmth and moisture. Removal of one of these life support
systems will result in either the inability of the organism to multiply,
(giving the body a chance to overcome the invasion), or the death of
the organism. Good handwashing and environmental cleaning
removes all or some of the life support mechanisms and therefore
reduces the risk of cross infection substantially.
SLTs need to be aware of standard infection control precautions to
protect themselves and minimise the risk of cross infection.
SLTs should perform a risk assessment on the task that they are
about to undertake, ie does this procedure pose a risk to their
individual or to themselves. Following this, the member of staff can

put into place the appropriate standard infection control precautions
which, if carried out correctly, will also serve to protect the next
individual to be treated.
Standard infection control precautions include:

G handwashing
G the use of personal protective clothing
G safe handling and disposal of waste
G safe handling and disposal of sharps and management of
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sharps/exposure injuries
G dealing with blood and blood stained body fluid spills
G safe handling of linen
G decontamination of equipment, including cleaning of toys and
therapy material
G personal health and hygiene.
Notifiable diseases
SLTs need to be informed of those diseases that require notification
under the Public Health (Control of Disease) Act (1984).
A ‘notifiable disease’ is legally defined as one of the five diseases
referred to in Section 10 of the Act. In addition, food poisoning is
made notifiable in Section 11 of the Act.
There are a further 24 diseases which have to be notified by the
doctor who has diagnosed them. The term ‘notifiable disease’ is
commonly used for all 30 diseases.
Should an SLT come in contact with an individual suffering or
suspected to be suffering from a notifiable disease, the SLT must
ensure that this is appropriately reported and seek the guidance of a
general practitioner or occupational health department.
Diseases that have acquired a high profile, such as Hepatitis B and
HIV and AIDS, also require vigilance both to protect the individual
and the SLT.
It is the responsibility of managers to ensure that local policies and
procedures regarding control of infection are adhered to and that
staff are aware of these policies.
Guidance on infection control in specific diseases
Employing organisations will have guidelines and policies in place to
enable SLTs to practice safely, and minimise risk to themselves and

individuals. These guidelines and policies are continually updated, in
line with new developments in infection control, and extended to
include threat from newly emerging diseases/infections. Typically,
guidelines and policies are provided for:
G HIV
G CJD
G MRSA
G Prion disease
G AIDS
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G Other common infectious diseases, eg rubella, chicken pox, mumps
SLTs should undertake relevant training in infection control on a
regular basis, and ensure that they update their knowledge in line
with policies and procedures.
Further information can be obtained from the Department of Health’s
website, go to the health and social care topics section at:
www.dh.gov.uk/PolicyAndGuidance
5.7 Public and Patient Involvement (PPI)

There is a strong and widely held view that involving individuals in
decisions about healthcare at both personal and strategic levels is
fundamentally important to the improvement of health and social
care services, as well as being a basic right (NHS, 2002).
The NHS Plan (2000) states that “patients are the most important
people in the NHS. The aim of the plan is to redesign services
around the needs of patients, and to involve patients and carers at
every level of healthcare. This will enhance accountability to patients
and the public, and secure national improvements in patients’
experience.”
Within the NHS a number of new bodies have been established and
initiatives developed to support patient and public involvement at a
national and local level. These include:
G the National Commission for Patient and Public Involvement in
Health (CPPIH)
G the Local Independent and Advocacy Services (ICAS)
G Patients’ forums
G the Patient advice and liaison services within NHS Trusts (PALS)
G the Expert Patient Programme
G INVOLVE (engagement in research).

Service standard 46: The service involves service users in the
evaluation and development of services.
The aim of involvement of public, patients and carers in the
planning and provision of services is to achieve the following
benefits:
G better quality services that are more responsive to the needs of
individuals, leading to better outcomes of care and improvements
in health and wellbeing
G policy and planning decisions that are more focused on the
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individual
G improved communication between organisations and the
communities they serve
G greater ownership of local health services, and a stronger
understanding of why and how they need to change and develop.
The NHS Modernisation Agency publication Improvement Leaders’
Guide: Involving Patients and Carers 2002, provides a useful
overview of PPI, and also describes some approaches that have
been used to involve individuals in improving care. More information
is available at: www.modern.nhs.uk/improvementguides/ reading
The approaches described include:
G critical incident techniques
G focus groups
G individual shadowing
G individual diaries
G discovery interviews
G improving practice questionnaire and critical friends groups.
PPI strategy
NHS trusts have commonly developed their own local strategies,
setting out objectives and plans for engagement of parents, users,
carers, staff, the local authority and the voluntary sector.
National Institute for Health and Clinical Excellence –

individual carer involvement
The National Institute for Health and Clinical Excellence (NICE) has
established the NICE Individual Involvement Unit which provides
information support and training to individuals and carers (both
organisations and individuals) that have an interest in NICE
guidance.

The NICE offers opportunities for individual and carer involvement at
a number of levels, including national individual/carer organisation,
including two lay members on all NICE committees and providing
guidance in a format for individuals and public. More information is
available at: www.nice.org.uk
SLTs’ role in PPI:
G To determine the concerns, interests and priorities of people in
relation to their communication and/or eating and drinking and how
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these have been addressed.
G To enable individuals and families to address issues that affect
their communication and eating and drinking.
G To involve individuals in decision-making processes surrounding
their own care.
G To promote self-management, especially in relation to long-term
conditions. This includes:
G Enabling individuals and families to identify the factors that affect
G Enabling individuals and families to identify options for optimising
G Enabling individuals and families to put their informed choices into
action.
G Reviewing with individuals and families the effectiveness of addressing
issues that affect their communication and eating and drinking.
5.8 Press and the Media

policy for dealing with media enquiries.
SLTs employed by the NHS should be aware that, unless they are
authorised to do so, speaking to the press or the media may
contravene their contract of employment and could result in
disciplinary action by the employing authority.
The RCSLT plays a major role in dealing with the media on behalf of
the speech and language therapy profession.
One of the RCSLT’s strategic communication aims is to increase
awareness of the educational, medical, emotional and social effects
of communication and swallowing difficulties, and the role of speech
and language therapy with the public, government, other professions
and the media.

For more information see the RCSLT Strategic Plan available at:
www.rcslt.org/about/strategicplan
The RCSLT has developed a Communications Strategy that identifies
target audiences and the key messages for each of these audiences.
From this, the RCSLT communications team has developed an annual
action plan for engaging the media. This is reviewed twice a year and
adapted according to requirements.
The RCSLT deals with the media on a regular basis either reactively,
providing comment on issues raised or by facilitating contact between
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specialist SLTs and journalists or proactively, by sending out media

releases detailing the RCSLT viewpoint.
The RCSLT communications team is available to help any SLTs who
have to deal with the media. This includes help with media responses,
including writing press releases, or doing radio or TV interviews.
5.9 Partnership Working

5.9.1 The interface between speech and language therapy
agencies
The RCSLT produced the document Working in Harmony, following a
policy review forum in 2000. This was updated in November 2005
and is available at: www.rcslt.org/resources/professional_standards/
documents
The document sets out general principles and guidance to facilitate
cooperation between SLTs wherever they are employed to ensure a
consistently high standard of informed care for all individuals. It is
recognised that SLTs may be employed within the NHS, by LEAs,
charities and the voluntary sector, or as independent practitioners.
The general principles and guidance set out in Working in Harmony
are as follows:
Choice for individuals

G Individuals are entitled to seek speech and language therapy from
an NHS provider and also to seek it from an independent provider..
However, they are not entitled to seek a service from more than one
NHS provider.
If an individual chooses to receive therapy both from the NHS and
from an independent service, it is in the individual’s best interest for
the SLTs to collaborate and, with client or parental permission, make

assessment results available to each other. The aim is for the
therapists to agree on a complementary approach.
G It is recommended good practice to advise any potential client of
the availability of speech and language therapy intervention within
the NHS to avoid situations where a member of the public may be
unaware of the existence of statutory provision.
Beyond this, independent practitioners should avoid involvement in
discussions relating to the levels and merits of local provision.
Similarly NHS speech and language therapists should not
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recommend individual independent SLTs, but may suggest reference
sources such as business and telephone directories, or to contact
the ASLTIP.
If an SLT is seeing an individual as part of their role within the NHS,
they should not see the individual privately at the same time.
Collaborative working
The role of ongoing communication between all SLTs is to:
G facilitate the therapeutic process
G resolve potential conflicting professional issues
G provide appropriate knowledge of local and national speech and
language therapy service provision
G allay the individual’s anxiety
G develop mutual trust.
Good working practices between SLTs will allow complementary
intervention to be developed. After discussion and joint planning, it
may be appropriate for one SLT to take the lead role in managing an
individual’s care.
In order to provide continuity of care, all SLTs should have the
opportunity to contribute to planning meetings or case conferences
concerning an individual.
It is not ethical for an independent practitioner to undertake
assessments, provide therapy or give advice to NHS or LEA
colleagues without knowledge of the individual’s current speech and
language therapy management within the NHS.
In these circumstances, it is recommended that the SLT and the
NHS or equivalent speech and language therapy manager meet
together with the individual or their representatives to resolve
potential conflicts and agree future speech and language therapy
provision.

Should SLTs wish to follow different or perhaps conflicting approaches,
this should be discussed with the individual. The individual should be
invited to decide which approach they wish to pursue. Individuals should
be made aware that they are free to return to the second practitioner
following the completion of the chosen therapy.
Individuals seeking second opinions

Individuals may seek a second opinion at any time.
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Where an individual seeks a confidential second opinion from an

independent practitioner, they should be informed that recommended
good practice is to notify the NHS department/s. The possibility of
test score invalidation and any negative effects of possible conflicting
approaches should be explained.
The SLT may request that the individual signs an insertion to their
records agreeing or requesting that the consultation remains
confidential to the practice.
Setting up in independent practice

SLTs who leave NHS employment to set up in independent practice
may work with individuals seen formerly in the NHS. However, these
individuals should be aware that they could continue to access their
NHS service. In these circumstances, independent practitioners
should ensure that any recent reports or background information
included in NHS case notes remain with, and are the property of, the
NHS. Copies of recent reports should be provided by the relevant
speech and language therapy department at the request of the client
or their family.
Any independent work should not bring an individual therapist into
conflict with their NHS employer. SLTs should not use NHS time or
personnel to advertise or develop their private practice, and any NHS
equipment or assessment materials utilised must be agreed with
their NHS manager.
Further information is available at: www.helpwithtalking.com
5.9.2 SLTs and support practitioners in partnership

Speech and language therapy assistants and bilingual co-
practitioners are highly valued and integral members of the speech
and language therapy team, often employed directly to act in a

supporting role under the direction of a professionally qualified SLT.
SLTs also work in partnership with support practitioners who are
employed by other agencies (for example, support practitioners in
schools).
When working in partnership with support practitioners to
provide care for an individual, SLTs should:
G share information, knowledge and skills to an appropriate level
G ensure adequate support and supervision of support practitioners,
delegating to them only such duties as fall within their competence
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G facilitate support practitioner development and education as
appropriate.
When working in partnership with SLTs, support practitioners
should:
G maintain a clear sense of their personal scope of practice and
competence
G indicate to the SLT when delegated tasks are beyond their
personal scope of practice
G seek further advice or training in order to maintain or extend their
competence.
For more information see:
Delegation of Activities to Support Workers, 2006
RCSLT Standards for Working with Speech and Language Therapy
Support Practitioners, 2003
RCSLT Competency Framework for Support Practitioners, 2002
All available at: www.rcslt.org
5.9.3 SLTs and students in partnership

Pre-registration education is now regulated by the HPC and
certified by the RCSLT. The RCSLT works with higher education
institutions (HEIs) to ensure that their programmes meet the needs
of the profession.
The RCSLT has developed standards for practice-based
learning, the National Standards for Practice-based Learning
(SPLs).
These aim to be an explicit articulation of the standards associated
with all aspects of practice-based learning, involving all partners in
the process: the HEI, the placement provider, the individual
placement educator and the student.

The standards are intended to ensure that the patient/individual is
the central focus of the student’s learning experience and that
practice-based learning should foster a culture of reflective practice.
They allow for different educational philosophies, but include a
statement of the overarching values, beliefs and attitudes
underpinning practice-based learning.
The RCSLT uses the following terms, in respect of the partners in
pre-registration education:
HEI refers to the higher education institution where the speech and
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language therapy pre-registration course is located.

Placement provider refers to the speech and language therapy
service, that is providing the practice-based opportunity.
Placement educator refers to the individual SLT who is acting as
the educator on the placement. In a small service, the placement
provider and the placement educator could be the same person.
RCSLT values, beliefs, and attitudes about practice-based

learning
G A core value is mutual respect for all partners. Central to this is a
priority at all times for the wellbeing of the individual and compliance
with the ethical codes around confidentiality and consent.
G Students are perceived, treated and respected as part of a
collegiate partnership between HEI, placement providers and the
individual placement educator. It is recognised that students bring
value to the learning partnership.
G It is appreciated that students will have an individual style and
pace of learning and will participate in a range of learning
opportunities with their placement educators, in order to develop
appropriately across all key areas of competence.
G Students are constructively supported by the HEI, placement
providers and individual placement educators in the development of
professional autonomy, professional and personal skills.
G Students will move through the curriculum developing more self
direction and autonomy as they gain experience The placement
educator plays a central role in facilitating the student’s learning
opportunities. Part of the placement educator’s role is to help the
student access and apply relevant theoretical knowledge for
practice. The placement educator will be appropriately prepared
and supported by the HEI for taking on this role, and for effectively

managing the placement educator/student relationship.
Practice-based learning, in the form of placements, forms a
central part of pre-registration education. The benefits to all
partners in adhering to the SPLs are as follows:
Benefits to HEIs
G Universities will be enabled to identify and monitor the quality of
speech and language therapy placements.
G Universities will be enabled to secure funding and resources for:
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G placement coordinators and administrators
G continued tutor support for placement learning
G support/study days for placement educators
G maintenance of essential links with other speech and language
therapy courses and with other health professionals
G The design of pre-registration courses, that currently have
practice-based education at their core, will be facilitated. Because
the standards relate to competencies and Quality Assurance
Agency (QAA) benchmarks, they will be a valuable source of
reference to HEI staff writing practice-based education
programmes, to ensure that students’ practice-based education
prepares them for the profession.
Benefits to placement providers and placement educators

G The shared responsibility of each of the participants in the
placement learning process is detailed.
G They provide a framework for new placement educators and the
reassurance of working within best practice guidelines.
G They will be an important resource used by speech and
language therapy departments, within their trusts, in order to elicit
support for placement education, within a recruitment and retention
context.
G They will maintain quality, whilst striving for quantity, as all
departments are looking at varying models of placement education
to increase throughput.
G They will ensure that the speech and language therapy
department is accounting for any possible safety risks within the
service.
G All departments will be measured alongside similar services in
respect of achievable goals for placement-based learning.

Benefits to students
Practice-based learning, whilst providing crucial learning
opportunities and helping apply theory to practice, can be stressful
for students. The SPLs will assist in providing safe, supportive
environments in which to observe and practise clinical and
professional skills. They seek to ensure that:
G students know how to prepare effectively for practice-based learning
G their university provides clear documentation to support that
preparation
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G students know what they can expect from their placement educators
G progress towards practice-based and personal objectives is
monitored.
The provision of clinical placements is therefore a crucial element in
the preparation of competent clinicians and the future of the
profession.
The RCSLT’s key responsibilities are to set out a framework for the
provision of practice-based learning, as reflected in the SPLs, and
to acknowledge and promote the importance of services providing
student placements for the benefit of the whole profession.
One central area is the sourcing and selection of placements:
G Local policies and procedures will be agreed between the HEI
and the placement provider with respect to time scales and
methods of communication, including alerting the placement
providers in appropriate time as to the likely number of placements
that will be sought during each academic year. Also, the timing for
completion of documentation will be made available by the HEI.
G Sourcing, selecting and allocating placements are normally the
responsibility of the HEI, devolved to the placement coordinator.
This involves establishing networks and liasing with placement
providers and students.
G HEIs will seek input from local placement providers when
designing placements in order to maximise capacity.
Speech and language therapy managers have a responsibility
to encourage, facilitate and provide practice-based placements for
speech and language therapy students.
Specific responsibilities include:
G managing practice-based placements within the service,
including keeping statistics of the placements offered and
provided

G promoting the importance of placements
G ensuring the role of SLTs as placement educators is reflected in
job descriptions
G developing explicit links with at least one higher education
institute and pre-registration course commissioning body
G committing the service to a minimum number of student
placements over a period of time
G identifying a member of staff to take responsibility for practice-
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based placements
G working in partnership with the HEI to ensure that placement
educators are supported
G ensuring the regional managers group includes representatives
from local HEIs
G making student issues a standing item on the agenda at staff
meetings
G providing students with an induction to the service
G promoting speech and language therapy as a career.
policy on the management of SLT student practice-based
learning in the service.
SLTs
The RCSLT expects SLTs to take on the responsibility for assuring
the future of the profession and the provision of services by
providing practice-based placements.
After two years of post-qualification experience, an SLT should
commit to taking students. In situations when ongoing support is
available from either their own service or the HEI, SLTs may take
students after one year.
Students help to develop a therapist’s reflective practice. Such
activity continues to be recognised by the RCSLT as contributing to
an SLT’s CPD and may be recorded as part of the annual CPD
requirement.
Independent therapists should be recognised as a source for the
provision of placements for students. HEIs and local NHS services
should therefore be prepared to offer both development
opportunities and ongoing support to independent practitioners in
their role as clinical supervisors.

Quality of practice-based learning
It is expected that all partners will comply with the SPLs, so that the
students can experience placements that are of an acceptable
quality. There is a self audit tool, developed from the SPLs, for all
partners, available at www.rcslt.org. Examples of good practice,
matched to the sections of the SPLs are also available on the
RCSLT website.
5.9.4 Professional representation to the wider organisation

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Standard 49: Where the service head is not an SLT, there is a

system of professional representation to the service manager
on matters relating to clinical issues.
5.9.5 Multi-agency team working

Although there will be times when an SLT operates in a uni-
disciplinary way to achieve satisfactory outcomes with the service
user, most speech and language therapy will be carried out as part of
a multidisciplinary team and increasingly, those disciplines will be
employed by different agencies. This is the case whether the service
user is a targeted at-risk group or a referred individual.
The importance of team working and the difficulty of isolating the
impact of one therapy from a rehabilitation or educational
programme is recognised (Wade, 2005).
The members of any given multi-agency team will vary according to
the local working context and particular circumstances.
Figure 1 provides an idea of the range of people who may be part of
the team in given contexts. Not all those listed will be actively
involved at any one time and the constitution of the team will vary
over time according to changing individual needs.
Levels of multi-agency working in practice
Models of multi-agency partnership working have been reviewed
and several levels of operation identified (Sloper, 2004):
G Strategic level working including joint planning, decision making,
commissioning and purchasing.
G Consultation and training including professionals from one agency
providing consultation and training to practitioners from another agency.
G Placement schemes whereby posts are created to span the
organisational divide between agencies.

Figure 1: Multi-agency team working
Educational context
teaching staff, SENCos, assistants, dinner supervisors, learning mentors, LEA
staff, support teachers, educational psychologists, paediatricians, audiologists,
orthoptists, CAMHS workers, clinical psychologists, GPs, health visitors,
psychotherapists, interpreters
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medical staff,
nurses, OTs,
physiotherapists,
dentists,
orthodontists, dental
nurses, support police, child
Medical context
workers, key protection workers,
Legal context
workers, youth justice
Individual, workers,
pharmacists,
dieticians, cooks,
family interpreters, clinical
psychologists, and carers psychologists,
radiologists, GPs, solicitors, legal
voice teachers, case managers
singing teachers,
psychiatrists,
interpreters,
nursing home staff,
care staff
social workers, home care organisers, community support staff including

nurses, dieticians, health visitors, crèche and child carers, volunteer workers,
pre-school and play group staff, audiologists, social workers, child and family
psychiatry support workers, voluntary agencies, specialist speech and
language therapy services, fostering and housing staff, OTs, physiotherapists,
clinical psychologists, portage workers, Sure Start workers, interpreters,
bilingual support workers, health advocates, family centre staff, home teachers,
educational psychologists, under-5s counsellors, behaviour support workers,
child protection staff, child development centre teams, psychotherapists, play
therapists, vocational agencies, disability employment agencies, community
mental health teams, day centre staff, voluntary employment agencies
Social and community context

G Centre-based service delivery when one coordinator pulls together
services delivered by different agencies.
G Multidisciplinary or multi-agency teams where professionals from
different agencies work together as a team on a daily basis.
G Case or care management where an identified lead has the
responsibility for ensuring a coordinated service to families.
The aims of working within a multi-agency team (including the
referred individual and, where appropriate, parents and/or
carers):
Chapter 5
G To provide information about the nature of the

communication/eating difficulty to team members, gaining additional
information from them on these and related difficulties.
G To offer speech and language therapy intervention based on a
holistic awareness of the individual’s needs and other aspects of care.
G To work collaboratively with the team in planning and implementing
individual-centred goals and clinical care.
References
Department of Health. Essence of Care: Patient-focused
benchmarking for health care practitioners, 2003. www.dh.gov.uk
Department of Health. HSC 199/053: For the record – managing
records in NHS Trusts and health authorities, 1999. www.dh.gov.uk
Department of Health. HSG (97)17: Corporate governance in the
NHS controls assurance statements, 1997. www.dh.gov.uk
Department of Health. Improvement Leaders’ Guide: Involving
patients and carers – General improvement skills, 2002.
www.wise.nhs.uk
Department of Health. NHS Health Record and Communicating
Practice Standards for Team-based Care, 2004.
www.connectingforhealth.nhs.uk
Department for Health. NSF Long-term Conditions, 2005.
www.dh.gov.uk
Department of Health. Our healthier nation: a contract for health,
1998.
Department of Health. Prevention and health, everybody's business:
A reassessment of public and personal health, 1976.

Department for Health. Safer working in the community a guide for
NHS managers and staff on reducing the risks from violence and
aggression, 1998. www.dh.gov.uk
Department of Health. Working for Patients,1989. www.dh.gov.uk
Health Professions Council, 2004. www.hpc-uk.org
Delegation of Activities to Support Workers, 2006.
Leape, L. Making healthcare safe: are we up to it in Journal of
Paediatric Surgery, 2004, Vol. 39:3.
Chapter 5
RCSLT. Competency Framework for Support Practitioners, 2002.
RCSLT. Information Pack for New SLT Managers, 2005.
www.rcslt.org
RCSLT. Newly-qualified Practitioners Competency Framework to
guide Transition to full RCSLT Membership, 2005. www.rcslt.org
RCSLT. Returners Pack, 2005. www.rcslt.org
RCSLT. Standards for Working with Speech and Language Therapy
Support Practitioners, 2003.
RCSLT. Starting your career as an SLT: An essential guide, 2004.
www.rcslt.org
RCSLT. Working in Harmony, 2005. www.rcslt.org
Sloper, P. Facilitators and barriers for coordinated multi-agency
services in Child: Care in Health and Development, 2004:30; pp571-
580.
Taylor-Goh, S. RCSLT Clinical Guidelines. RCSLT, 2005.
www.rcslt.org
Wade, D. Randomised clinical trials in clinical rehabilitation in Journal
of Clinical Rehabilitation, 2005:19; pp133-136.
Acts of Parliament
Health and Safety at Work Act 1974
Management of Health and Safety at Work Regulations 1992
Public Health (Control of Diseases) Act 1984
Public Records Act 1958
Service Organisation 181

Chapter 5

Chapter 6
Service Provision:
Part 1
Care Pathway
6.1 Levels of Service Provision

6.2 Level 2 Services: Targeting the Needs
of At-risk Groups
6.2.1 Health promotion
6.2.2 Promoting participation
6.2.3 Developing speech and language
therapy services to meet needs
6.2.4 Enabling timely and appropriate
access to speech and language therapy
Level 3 services: responding to referrals
6.2.5 Guidance on the preparation and
provision of general advice
6.3 Level 3 Services: Targeting the Needs
of Referred Individuals
6.3.1 Care pathways
6.3.2 Acceptance of referrals
6.3.3 Initial assessment phase
6.3.4 Management phase
6.3.5 Review phase
6.3.6 Discharge/transition/transfer phase

Introduction to Service Provision
The purpose of any given speech and language therapy service is to
provide evidence-based services that anticipate and respond to the
needs of individuals or at-risk groups who may experience speech,
language, communication or swallowing difficulties.
Services work in partnership with these individuals and their families
and with other professions and agencies to reduce the impact of
these often isolating difficulties on people’s wellbeing and their ability
Chapter 6
to participate in daily life.

See chapter 1, section 1.1 Scope of Practice and chapter 5, section
5.1 Definition of Health.
6.1 Levels of Service Provision

The notion of service levels (or tiers) is being used across health,
social and educational domains.
See figure 1: Tiered model of UK health, social and educational
services (right).
The tiered framework allows for ready consideration of:
G complexity of need (increasing from Level 1 through to Level 4)
G types of support provided in relation to need (eg for speech and
language therapy services, intervention will vary from general advice
at Level 1 to highly specialised and individualised advice at Level 4)
G numbers of individuals being targeted at different levels (eg whole
populations at Level 1 through to small numbers of individuals at Level 4)
G costs (increasing costs per head from Level 1 through to Level 4).
The model also contains the notions of:
a) self-managed care which reflects the concept of health as the
responsibility of the individual, as well as of society or government.
This has been increasingly emphasised in government strategy
documents from as far back as Prevention and health, everybody’s
business: A reassessment of public and personal health (1976).
b) a journey or pathway that individuals take, accessing services at
different levels according to needs that will naturally vary over time.
6.2 Level 2 Services: Targeting the Needs of

At-risk Groups (see Figure 2)
6.2.1 Health promotion
Many speech, language, communication and swallowing difficulties

Figure 1: Tiered model of UK health and social
services
Direction of movement to
access or withdraw from
different levels of service
Level 1
Universal services, eg GP
Chapter 6
Level 2
Services targeting vulnerable,
Self- at-risk groups, eg Sure Start
managed
care Level 3
Individuals Specialist services for referred
accessing individuals, eg speech and
services as language therapy
appropriate
Level 4
Highly specialised
services for referred
individuals
Figure 2: Level 2 Services

6.2.2 Promoting
6.2.1 Health participation
promotion
6.2.4
Enabling
timely and
appropriate
6.2.3 Developing access to
services to meet Level 3
needs services
Service Provision: Part 1 Care Pathway 6.2 185
arise from:
G Medical conditions such as stroke, cancer or a progressive
neurological disorder like multiple sclerosis.
G Conditions such as syndromes, eg Down syndrome; cleft palate.
G Developmental delays and disorders.
G Physical impairment.
G Learning disability.
Therefore many speech, language and communication difficulties are
not preventable in a primary sense. However, all speech, language,
Chapter 6
communication and swallowing difficulties can be exacerbated or

ameliorated by certain lifestyle choices and factors within the
environment, including the responses of others to the individual. These
issues are dealt with by a range of strategies, including health
promotion and working with others on developing inclusive practice.
Key aims of speech and language therapy health promotion

services
G As appropriate, to promote awareness of the process of speech,
language and communication development in children.
G To promote awareness of potential risks and risk indicators related
to speech, language, communication and/or swallowing difficulties
within given populations.
G To make health information accessible and support health self-
advocacy through individuals understanding and communicating their
own health needs.
G To prevent the development or exacerbation of speech, language
and communication difficulties.
Standards and guidance related to promoting awareness of

potential risks and risk indicators for a given population
Written information regarding the potential risks and risk indicators for
a given population will be made available to potential referring agents.
SLTs may choose to present this information in the form of
workshops targeting at-risk individuals and/or other referring agents
within a given population.
SLTs may work to influence policies related to given populations at a
local and national level, highlighting the potential risks related to
speech, language, communication and/or swallowing difficulties and
the role of speech and language therapy services.

Standards and guidance related to the prevention of speech,
language and communication difficulties
Therapists may collaborate with others, including voluntary sector
agencies and multidisciplinary teams to develop health promotion
materials suitable for the needs of the targeted at-risk group.
Examples of at-risk groups are:
G teachers and lecturers at risk of developing voice disorders
G pre-schoolers in areas of high economic deprivation
SLTs may run awareness raising workshops for at-risk individuals
Chapter 6
and, in the case of children, their carers.
SLTs may work in a number of different ways within the team that are
targeting the needs of at-risk populations.
Methods may include:
G joint-working with other professionals
G training others in the use of appropriate preventative strategies
Standards and guidance related to preventing the exacerbation

of speech, language, communication and swallowing difficulties
This guidance will apply to the whole population of individuals with
recognised difficulties, as all speech, language, communication and
swallowing difficulties can be exacerbated by certain lifestyle choices
and factors within the environment, including the responses of others
to the individual.
SLTs may work in a variety of ways to influence others in the use of
appropriate preventative work and strategies. This may include:
G influencing the development of agency-wide or inter-agency
policies and strategies
G providing training workshops for others in the use of appropriate
curriculum/work content and environmental or interaction strategies
6.2.2 Promoting participation

Key aims of promoting participation:
G To promote the participation of individuals with speech, language,
communication and swallowing difficulties in a full range of life
activities.
G To work in partnership with relevant others to support the
development of effective communication in given population groups.
G To provide training to those working with people with
communication difficulties to maximise inclusion.

G To contribute to raising public awareness of communication/eating
and drinking difficulties.
G To promote the participation of the individual with communication/
eating and drinking difficulties in a full range of life activities through
working in an advocacy role with services/groups.
G To develop the capacity of services/groups to manage or provide
services to specified groups of individuals with communication
and/or eating and drinking difficulties. This may involve strategic
partnership working with local or national voluntary agencies.
Chapter 6
G In the case of the pre-school population, to promote the

participation of parents and carers in a full range of life activities with
their children.
Guidance related to promoting participation

SLTs may work in a number of different ways within teams or agencies
that must include the needs of individuals with recognised difficulties.
Examples of working contexts are:
G schools
G further education services
G medical services
G youth justice
G advice services
Methods may include:
G joint-working with other professionals
G training others in the use of appropriate preventative work and
strategies
G influencing agency-wide and inter-agency policies and strategies
G advising on communication-support materials appropriate to a
given context, eg use of graphic symbols, signing, voice output
communication aids
G advising kitchen staff on presentation of food in a range of
consistencies
6.2.3 Developing speech and language therapy services to

meet needs
Key aims of developing services to meet needs:

G To ensure that speech and language therapy services are

providing a range of secondary and tertiary level services to
appropriately meet local speech, language, communication and
swallowing needs.
G To inform the process of identifying local health, education and
social needs.
G To highlight to commissioners the needs and impact of potential
communication and eating/drinking difficulties:
G within care groups
G within care pathways
Chapter 6
G within wider population groups
Principles underpinning the development of speech and

Services need to be planned taking into account national policies and
guidelines, current evidence-based practice, research findings and
expert opinion, as well as user consultation within the local context.
In planning services, speech and language therapy service
managers should take account of the relevant key points in
multidisciplinary care pathways where speech and language therapy
services are essential or beneficial.
Standards and guidance related to developing services to

meet needs
SLTs have a lead role to play in the:
G Commissioning of services for people with communication/
swallowing disorders. For example, advising on appropriate
resources to meet identified client group need, including appropriate
skill mix.
G Formulation and implementation of across-agency policies
pertaining to swallowing/communication disorders.
Speech and language therapy managers will be responsible for
reviewing the range, appropriateness and effectiveness of speech
and language therapy services in relation to local need.
Speech and language therapy managers will be responsible for
alerting service commissioners where current service arrangements
are not meeting local need.
This will include an assessment of risk to individuals and to the
employing organisation.

Service Standard 50: Where there are gaps or shortfalls against
standards in the service, there is clear evidence that the service
is taking steps to develop and improve the service.
Service standard 51: The service has a strategy in relation to
health inequalities and is able to demonstrate actions taken to
reduce these inequalities.
See Chapter 9, Service Monitoring, Improvement, Evaluation and
Development.
Chapter 6
6.2.4 Enabling timely and appropriate access to speech and

language therapy Level 3 services: responding to referrals
Key aims of enabling access to Level 3 services:

G To enable appropriate and timely access to speech and language
therapy Level 3 services as the clinical need arises.
G To work with other professionals/agencies in the identification of
risk/need via the single shared assessment process.
G To provide information about speech and language therapy
services.
G To enable easy access to speech and language therapy through
ensuring appropriate referral mechanisms are in place.
G To enable equal access to the service for all groups regardless of
ethnicity, age, social class, disability, language or location.
Principles underpinning the enabling of access to Level 3

services
Access to speech and language therapy Level 3 services is
equitable, non-discriminatory and based on clinical need.
Standards and guidance around referral to speech and

This may include transfer from specialist regional units.
Service Standard 52: There are clear and up-to-date written
policies on admission to and discharge from Level 3 services.
G Referral procedures will ensure that all individuals have access to
the service, irrespective of age, language, gender, race, presenting
communication difficulty or location.
G In the case of specialist cleft palate services, access to local

services may be possible even when the parents have chosen a cleft
centre other than their local one.
G Written information regarding the scope of tertiary services to a
given client group is made available to potential referring agents,
including other agencies and targeted groups within the general
public.
G This includes information on the referral procedure and the re-
referral of individuals who have been previously discharged by the
service.
Chapter 6
G Standard local response times to referrals will be specified.
G Information should be available in a range of formats to address
people’s communication needs.
G SLTs may discuss the appropriateness of a referral to speech and
language therapy with individuals considering self-referral or with
professionals considering referring on an individual for assessment.
G Speech and language therapy services will need to use a range of
methods to help individuals engage with services and provide for
timely access.
G Responsibility for the acceptance of referrals to Level 3 services
remains with a fully registered SLT.
G An open referral system will operate in many parts of a speech
and language therapy service. Where this is the case, referrals will
be accepted from any source, including self-referral.
Specialist services for particular client groups may apply locally-
agreed referral criteria or referral procedures, taking into account the
following RCSLT recommendations:
Adults with learning disability: referrals are made through the
community learning disability team (CLDT), although SLTs may
receive and bring referrals to the team.
Child development centres: referrals are usually made in writing by
the individual’s GP.
Cleft palate: referrals are accepted from the time of birth notification.
Dysphagia: referrals are made in writing by any member of the
multidisciplinary team or by the individual’s GP. Professionals
involved will usually have received some training in dysphagia
identification from the SLTs. A written medical referral is no
longer requisite.
Head and neck: referrals are made by the medical/nursing team as
a part of a tumour staging and management plan.

I CAN nurseries: referrals are made to this tertiary service by an SLT.
Voice disorder: referrals are made by an ENT surgeon or specialist
voice therapist following laryngeal examination.
Referral to speech and language therapy requires the consent of the
individual or, in the case of children, the consent of a parent/guardian.
Exceptions to this may occur where:
G the individual is deemed to lack the capacity to consent
G the individual is an inpatient under section 3 of the Mental Health
Act, 1983
Chapter 6
Triage: assessing the appropriateness of referrals
Purpose of triage:
G To establish the appropriateness of referral to a particular speech
and language therapy service in terms of meeting admission/
acceptance criteria, eg age, medical condition, scope of service
provision.
G To allow consideration of factors that may increase or reduce the
effectiveness of therapy intervention at that point.
G To identify meaningful management aims.
G To identify the individuals’ views on need, urgency, timing and
expectation.
G To provide the individual/carer with information on the scope and
aims of the service in order to aid their decision making about a choice
to proceed with the referral.
G To reduce the anxiety which may arise from a long wait for a first
appointment with a therapist by offering a first appointment within
standard response times.
G To allow for a timely referral onto another professional, if this is
indicated.
G To avoid the development of lengthy waiting lists at the point of entry
to speech and language therapy services.
G To provide timely information regarding levels of need of referred
individuals that may then be used to inform service organisation and
delivery.
G To allow the therapist to judge the relative priority of the individual’s
need in relation to the needs of others requiring intervention.
G To identify need for referral to a different and more appropriate
service.

Service standard 53: The service has links with voluntary
organisations, vocational/employment agencies, and local
support groups, to complement the work of the service
Principles of triage:
G Triage does not replace the initial assessment stage, but
complements it.
G By using triage as a caseload management strategy, therapists
can retain an overview of the needs of the caseload as a whole in
Chapter 6
order to plan for most effective use of limited resources.
Standards and guidance around triage:

G It is recommended that an experienced therapist is best placed to
carry out triage. This is because the task requires the complex
synthesis of information in a short period (often 30 minutes), taking
full account of the individual’s/carer’s views in making a decision
about the appropriateness of referral.
G Referral agents should be informed that a triage system is in use
so that they can inform individuals/carers at the time of initial
discussion with the individual.
G Referrals received will be examined by an experienced therapist
prior to any appointment being arranged to judge whether a triage
appointment is appropriate. A decision may be made to proceed with
acceptance of the referral and an in-depth assessment based solely
on the information given.
G The referral will be acknowledged by the individual/carer.
Timing of triage:
G Triage appointments are arranged as soon as possible after the
receipt of referral, within local standard response times.
G Wherever possible, individuals/carers will be asked to make their
own appointment on a day, time and setting that is convenient for them.
G The triage appointment will be shorter than an assessment
session because it does not include formal testing as a matter of
routine.
Form of triage:
G The purpose of the appointment is explained to the individual/carer.
G The therapist will discuss the background to the individual’s

difficulty and gain an understanding of the individual’s/carer’s
concerns and wishes in planning for intervention.
G This discussion will include detail of individual’s/carer’s
observations and the pattern of change.
G Within paediatric triage, clinical settings are most valuable
when there are facilities for viewing interaction between parents
and child using a two-way mirror and sound link. Observation of
interaction is key to understanding the child’s presentation and
the nature of the parent’s concerns. Materials selected for parent
Chapter 6
and child to play with will be culturally and age appropriate.

G As appropriate, triage may be combined successfully with
hearing tests in the same location.
On completion of the triage appointment:
G The results of the triage appointment will be reported to the
referral agent by letter including details of the next step and
timescales.
G If an individual does not attend, the referral agent will be
informed and may be requested to encourage the
individual/family to contact the service to initiate the appointment.
6.2.5 Guidance on the provision of general advice

G All advice should be evidence or consensus based.
G Advice is based on general strategies to facilitate speech,
language and communication development. It should not be
targeted at specific individuals nor based on a skills profile
generated from assessment.
G If more specific advice is required, the therapist should
encourage the individual or responsible adult to consent to
referral so they can be registered with the speech and language
therapy service. Information or advice given is then recorded in
the usual way as part of speech and language therapy
intervention.
G If individuals or families express or demonstrate reluctance to
be registered with a speech and language therapy service
because of perceived stigma or other reasons, the SLT has a
responsibility to support their understanding of what registration
means. This may include:
G the SLT’s ability to give specific targeted advice

G that records are confidential and that information in most instances
will only be revealed to others with their express consent
G they will receive a copy of all correspondence
G if they wish, they may have access to read what is recorded in their
file (in most instances)
Strengthening accountability for general speech and

language therapy advice
The RCSLT recommends that:
Chapter 6
G Clinical teams have a standard presentation or a set of key
evidence-based statements around which a presentation can be
structured. This may include a series of pre-prepared responses to
frequently asked questions (FAQs).
G The presentation and/or fact sheets are approved by a local clinical
governance committee.
G A policy states the requirement of staff to adhere to the pre-
agreed information in all appropriate situations.
G Anonymised notes are recorded, containing a minimum data set of
date, time, location, numbers attending, approximate age of
individual/s at whom the advice is aimed and the nature of the advice
given.
G Anonymised records are peer reviewed every four months for:
G adherence to standardised guidance
G appropriateness of advice given
G Additional information highlighted by regular audit is added to the
standardised package.
For further details, see the RCSLT paper on Accountability for
Professional Advice Given to Non-registered Patients, 2005.
6.3 Level 3 Services: Targeting the Needs of

Referred Individuals
6.3.1 Care pathways

G Care pathways set out the anticipated course of care towards
positive outcomes for an individual within a designated care group,
for example, individuals with progressive neurological disorders or
school-aged children with a speech, language or communication
disorder.
Service Provision: Part 1 Care Pathway 6.2/6.3 195

G Care pathways are important because they help to reduce
unnecessary variations in individual care and outcomes. They also
support the development of care partnerships and, through
increased transparency around service provision, empower
individuals and, where appropriate, their carers, to be involved in the
choices around care.
Service standard 54: At a local level, there should be clear care
pathway for each speech and language therapy care group that
reflects and anticipates the needs of referred individuals, many
Chapter 6
of whom have enduring, complex and multiple health and social

needs.
Service standard 55: Where specialist services are not available
within the immediate service or local district, there is a pathway
and clear procedures for individuals to access these outwith the
service.
G Speech and language therapy care pathways will reflect and be
integrated into local and national guidelines/pathways developed for
specific groups, such as stroke, traumatic brain injury, Parkinson’s
disease, multiple sclerosis, cancer care, pre-school population.
This will enable speech and language therapy, wherever appropriate,
to be part of a multi-agency seamless service that is able to respond
to the needs of the individual.
G Where specific national guidelines have not been developed or
remain a matter of debate (eg facial palsy), care process maps and
practices are derived from general principles of best practice and
adapted from existing pathways (see below).
G Although there are circumstances when the SLT is the sole person
working with a client, pathways will generally reflect team working
and the multi-, trans- and inter-disciplinary processes involved. At the
same time there will be maps of care process that are specific to
speech and language therapy involvement that feed into the team.
G Variations in the way an individual experiences their route along a
care pathway in terms of timing, intensity, aims and content occur as
clinical freedom is exercised to meet the needs of the individual.
These variations are shaped by factors such as the choices
exercised by the individual; the levels of actual and anticipated risk;
rate and type of development; patterns of change in overall medical
condition; the impact of this on individuals and their response/s to it;
changes in life circumstances and in demands.

G The overall care pathway in speech and language therapy is
referral: diagnostic assessment; followed by formulation of, and
negotiation of, short- and long-term goals with all parties involved;
episodes of speech and language therapy intervention with ongoing
monitoring of progress towards goals; reassessment at key
junctures; planned and measurable discharge or transition to self-
management/other form of care and clearly stated, workable onward
and sideways referral criteria.
The key elements of a Level 3 care pathway are set out in figure 3 on
Chapter 6
page 198.
6.3.2 Acceptance of referrals

Procedures for responding to referrals will follow local policy
appropriate to the nature of the specific client group.
Any prioritisation of accepted referrals should be determined in a
systematic and equitable manner.
Factors will vary according to context but include:
G assessment of risk
G importance of timing, particularly in relation to risk reduction,
health needs and surgery
And as appropriate the:
G need to ensure access to other services
G need to ensure appropriate school placement
G timescales of other agencies
See 5.4.3 Workload management.
Figure 4 on page 199 outlines recommended referral-response
times. However, services may wish to set local standards within these
limits according to local needs. Services should ensure that these
local standards do not fall outside national standards as set, for
example, within England in the National Service Frameworks.
Individuals will be informed within two weeks of receipt of the
referral, if the date for a first appointment is likely to be outside
the standard response time.
Where appropriate, and with the consent of the individual, the SLT
may establish with the referring agent if a medical diagnosis and
prognosis exists and whether the client/carer is aware of this.
Wherever possible and appropriate, and with the consent of the
individual, referrals will be discussed with the team and relevant other
professionals known to be involved with the client.

Figure 3: Key elements of a Level 3 care pathway
Referral
or referral enquiry
Level 2 triage/
screening
Chapter 6
Acceptance of
referral
Diagnostic in-depth
assessment
Management
Level 4
Specialist
provision/
specialist
Review service
Discharge/transition
towards self-
management, towards
specialist provision or
towards other speech
and language therapy
team
Transfer to another Transfer out of speech

speech and language and language therapy
therapy team service, for example,
to specialist provision
Self-management

Figure 4: Recommended response times from
receipt of referral
Within 2
Individuals who are at For example, neonates with
working
extremely high risk of diagnosis of oral motor
days dysfunction; individuals
choking/inhalation of food/
inadequate nutritional intake newly diagnosed with head
and neck cancer; individuals
in acute post-stroke or trauma
care; individuals with a
Chapter 6
progressive neuro condition
who experience sudden
deterioration
Individuals who are

at risk of choking/
inhalation of food/
inadequate nutritional intake For example, individuals
experiencing eating and
drinking difficulties in the
context of long-term
conditions, eg ALD, prog
neuro, cerebral palsy
Within 10
working
days
Individuals who are at high
psychosocial risk due to
newly acquired For example, individuals in
communication difficulties acute care or specialist units
or deteriorating or individuals with prog
communication skills neuro conditions: head and
neck cancer
Individuals who are at For example, children with

psychosocial/educational Within 13
developmental delay;
risk due to speech, language, weeks
individuals with dysfluency
communication difficulties or voice difficulties

The individual, or in the case of children, their parents, should be
informed about what will happen during their first appointment/
contact with the speech and language therapy service.
The information provided to the individual will also include the policy
regarding failure to attend and its implications.
6.3.3 Initial assessment phase

Purpose of initial assessment:
Chapter 6
G Where triage has not been used, to decide on the appropriateness

of individual referral.
G To identify and collect the requisite range of relevant information
through appropriate formal and informal methods including
discussion with client/carer and consultation with colleagues. The
following may be appropriate as part of this process:
G referral to other professionals for advice
G involvement of bilingual SLTAs and interpreters
G To identify any immediate risks the individual is facing.
G To identify how the individual’s involvement in everyday activities is
being compromised.
G To identify capacity for change, both by the individual and within
the environment.
G To make a clinical judgement about the need for speech and
language therapy service involvement.
G To make clinical prioritisation judgements regarding the client’s
needs.
G To judge and advise where, when and what form speech and
language therapy involvement should take.
G To identify whether further evaluation of the individual’s presentation
and environment, possibly by a specialist therapist, may be helpful.
G To provide information about the individual’s difficulties and
possible speech and language therapy care options to the individual
/carer/team/referral agent as appropriate.
G To anticipate and manage possible problems.
G To inform individual of potential problems as appropriate.
G To provide information/advice to promote development and prevent
exacerbation of any difficulties as appropriate.
G To diagnose whether a speech/language/communication disorder
exists in the individual’s first language.

G To assess the exact nature of any swallowing disorder that exists.
G To provide a baseline of skills, together with current and predicted
needs against which the effects of intervention can be measured.
G To open discussion with individual/carer about ultimate goals and
discharge criteria which will be reconsidered and may then be modified
throughout episodes of intervention.
G To agree with individual, or in the case of children, their parents, the
profile of needs; how they can be met and the role of speech and
language therapy within this.
Chapter 6
G Initial assessment may have very specific objectives for certain client
groups, eg in the case of specialist cleft palate services:
G to diagnose the existence of a cleft-related
speech/language/communication/swallowing disorder
G to discuss whether surgical intervention is appropriate
G to make recommendations regarding the appropriate timing for
surgical intervention to the surgeon
G to advise the local speech and language therapy service on the
appropriate type and timing of speech and language therapy
intervention
G to provide information and resources for the local speech and
language therapy service
G to support, advise and affirm parents in the care of their child with
cleft-related difficulties
Principles underpinning assessment:

G Assessment is informed by the best available evidence and
underpinned by client consent.
G Factors related to aetiology, medical needs, time of onset and
personal/family context should be taken into account when considering
the likely prognosis for an individual.
G Health benefits will be maximised when assessment and
intervention include the full and informed involvement of carers.
G Differential diagnosis of speech and/or language disability is
informed by assessment in all the languages a client hears and/or
speaks.
Standards and guidance around initial assessment stage

A comprehensive assessment will be undertaken with the consent of
the individual and/or carer.

As far as possible and appropriate, the purpose of initial assessment
will be explained to the individual before assessment begins. In the
case of children, an explanation will be given to the child’s
parent/guardian.
Timing of assessment
An initial assessment may take place over several sessions.
Post-operative assessment will be carried out only when the
individual is sufficiently medically stable. In the interim, monitoring of
Chapter 6
the situation may take place through liaison.
Involvement of others in the assessment

As far as is possible and appropriate, the purpose of initial
assessment will be explained to the individual before assessment
begins.
In the case of children, an explanation will be given to the child’s
parent/guardian.
Unless the individual does not require the involvement of others, at
least one other person who knows the client well will be involved in
the assessment process.
Where English is an additional language, an interpreter or bilingual
co-worker should be involved in the process as appropriate.
In the case of children, it may be advisable to see the parents on a
separate occasion in order to allow for a full and open discussion of
all factors. Wherever possible, it is preferable for both parents to
attend.
Assessment will include a consideration of the individual’s
expectations and, where appropriate, the carer’s expectations of
therapy.
Initial assessment may involve joint/multi/inter-disciplinary
assessment with other professionals, which may be through a joint
visit or by meetings/liaison.
Where available and relevant to speech/language/communication,
the findings of other professionals will be included within the
assessment process.
Form of the assessment

Assessment will include a full case history and consideration of
functional skills and communication needs within daily life.

Assessment should include an evaluation of the factors in the
individual’s environment that support or may be perceived as barriers
to the individual’s functioning. A trial of intervention may help to
establish the potential for change.
Assessment should take account of the range of contexts within
which the client normally functions and may function in the future.
To assist in the gathering of information related to assessment, the
SLT should have open access to:
G inpatient medical notes when working in that context
Chapter 6
G educational notes when working in that context
Assessment may include the use of standardised tests, criterion
referenced measures, informal assessments and qualitative methods
including observations and discussion as appropriate.
Materials will be chosen for their linguistic, cultural and age-
appropriateness. The latest editions of any standardised test
materials should be used.
Appropriate speech/language and communication assessment
material in the required languages should be used where available.
As language assessments do not readily translate from one
language to another due to cultural bias and linguistic differences,
these should not be used unless fully validated and standardised.
Where possible and relevant, the initial assessment should be
repeatable to allow for a re-assessment at a later date.
On completion of the assessment

The assessment records will be stored, depending on context, either
in the SLT’s case notes with a record in the multidisciplinary team,
educational or medical notes, or single recording and storage may
occur.
A written report/summary stating findings, recommendations and
agreed action will be forwarded to the referral agent and other
relevant professionals.
In concordance with the DH guidance on sharing information with
individuals and, in the case of children, parents/carers will be asked if
they wish to receive correspondence relating to their care.
Reports/letters should then be provided in an appropriate and
accessible form and in accordance with their wishes.
As deemed appropriate, individuals/carers will be made aware of any
key pieces of evidence-based appraised literature and websites

pertaining to their diagnosed condition.
As deemed appropriate, individuals/carers will be made aware of any
national/local support organisations appropriate to their diagnosed
condition.
Individuals/carers will be provided with information about how to
contact the speech and language therapy service should
queries/concerns arise.
Advice should be sought from a specialist SLT or specialist centre
when a highly expert perspective or investigation is required, either
Chapter 6
because the limits of the therapist’s competence have been reached

or because of the nature of the individual’s needs and difficulties.
G When it is considered that assistive technology is of potential
benefit to enhance the communication, educational, social and
vocational opportunities of the individual.
G When a child presents with a velopharyngeal disorder.
G When an objective assessment is required, eg videofluoroscopy or
nasendoscopy.
Referral to other professionals or agencies may be deemed
appropriate and should be done with the knowledge and agreement
of the individual/carer.
G When it is felt that an individual would benefit from an intensive
and focused period of multidisciplinary rehabilitation.
G When an assessment by another professional would add to the
understanding of the individual’s difficulties and needs, eg referring a
child to an educational psychologist
G Where there is a fundamental disagreement between the SLT and
individual or parents/carers in relation to needs, priorities, and ways
of addressing needs, individuals should be informed of their right to a
second opinion from within the service.
6.3.4 Management phase
Purpose of management
To implement an appropriate, timely and integrated approach to the
management of the individual’s difficulties involving the individual, the
family, other professionals and key people in the individual’s

environment. Intervention may be in English, in another language,
bilingual or carried out through an interpreting service.
A judgement of what is appropriate will be based on individual
circumstances, evidence-based guidance where available and
professional consensus opinion on what is appropriate for particular
conditions and settings.
SLTs should be aware of any national service pathways that apply to
their care group and how this might impact on an individual’s care
plan.
Chapter 6
Principles underpinning management of referred individuals:
G Intervention is informed by the best available evidence and
underpinned by the consent of the individual and/or carer.
G Speech and language therapy works to encourage individual
autonomy and to discourage dependency on the therapist thereby
enabling individuals to take an active role in managing their condition
wherever possible.
G Speech and language therapy works to reduce the health,
educational and psychosocial risks faced by the individual.
G Speech and language therapy works to promote individual access
to and participation in everyday life activities.
G Person-centred intervention is based on an holistic understanding
of the individual and all aspects of their life.
G Intervention should be based on individual need and should take
account of available evidence and consensus guidance on effective
practice. Intervention should promote individual safety and that of
carers and staff.
G An intervention plan is likely to include work to change or maintain
the individual’s functional ability as well as work to address the
impact of their condition when participating in community life.
Speech and language therapy intervention aims to be efficient as
well as effective.
G Continuity of care is an important aspect of effective practice.
Intervention will take full account of the individual’s preferred
language, culture, lifestyle and environment, including the role that
carers can play.
G Whenever appropriate, intervention should be provided as part of
a multi-agency team. Where there is a choice, intervention should be
provided in the most conducive setting for optimising effectiveness.

G The most effective approach for working with individuals involves
integrated and coordinated working across community and acute
settings (see the Department of Health’s NSF for children, young
people and maternity services, 2004)
G The service complies with RCSLT guidance on working
relationships between independent and public sectors. See the
document Working in Harmony, available at: www.rcslt.org
G Intervention should be matched to the needs, strengths and
capacities of each individual and modified as these change over time.
Chapter 6
G Communication and eating/drinking are fundamental rights,

meaning that SLTs should ensure that such disorders do not
preclude opportunities for self-determination, fulfilment and
participation in community life.
G Intervention aims to make communication and eating/drinking as
positive an experience as possible.
G Speech and language therapy values and incorporates all means
of communication within intervention planning.
Standards and guidance around management phase

Planning options
A management plan should be established in conjunction with the
individual and/or key people in the client’s life whenever possible and
appropriate.
Physical and/or sensory impairment should not restrict consideration
of AAC systems given the advances in technology, however in some
cases such disability may be a significant barrier.
An individual, their family and the team should be provided with all
relevant and necessary information pertaining to the rationale behind
the intervention programmes in order to make informed decisions
regarding their care.
Written consent should be obtained when intervention involves:
G heightened levels of risk (for example, invasive procedures)
G participating in teaching or research projects
G photographic or audio-visual recordings of the individual
G where a client is unable to give consent, this should be sought
from legally authorised parties
All written and spoken information should be clear and accessible to
the recipients.

To include carers whose preferred language is not English, the
services of an appropriately bilingual therapist or SLT co-worker may
be required. Where this is not possible, interpreting and translation
services should be used. This will require time in the session for
briefing and de-briefing the interpreter.
Where the care is provided as part of a multi-professional approach,
management plans may also be multidisciplinary.
Where many professionals are involved with an individual, one
named person will take the role of coordinating the assessment and
Chapter 6
management amongst a large and sometimes geographically
fragmented group. In this situation, speech and language therapy
should be provided in conjunction with the key support person.
If appropriate and agreed with the individual, the speech and
language therapy management plan will be shared with members of
the multi-professional team.
The management plan will take account of the individual’s
environment and priorities and, in the case of children, the priorities
of the carer and will be made available to the client within two
weeks of the completion of the assessment process.
Setting aims as part of the management process

Aims should derive from a consideration of the individual’s needs
and wishes as well as the therapist’s opinion based on
comprehensive assessment and reference to the evidence base.
Therapists will advise on what is likely to be achievable in the short
and long-term taking all the relevant factors into account. This may
involve:
G resolving a particular aspect of communicative/swallowing function
G achieving optimal improvement of function (as estimated by taking
all factors into account)
G maintaining optimal function, for example, through the use of
compensatory strategies
G enabling increased independence through making changes within
the individual’s environment
G avoiding the development of secondary difficulties
In support of this the therapist may, with the individual, plan to work
on one or more of the following aims, to:
G enable the individual/carer to access relevant systems/services/
learning environment

G optimise participation in educational, social, work and recreational
activities as appropriate
G inform others about the nature of the impairment and the process
of intervention
G advise and assist the individual/others in the use of facilitative
strategies
G help maximise the individual’s communication/eating and drinking
skill development
G recommend an appropriate augmentative communication system
Chapter 6
as appropriate and enable its use

G train others in the use of supportive strategies or teaching tasks
G provide information for individual/carer on the possibility of further
difficulties
G advise on ways of preventing the development of further difficulties
G advise on risk reduction
G support the individual/carer in coping optimally with the present
condition
G help the individual/carer come to terms with difficulties
G implement an agreed programme of therapy/intervention, whether
directly or indirectly through training and advising other agents to conduct a
specific programme (which an SLT will monitor and adjust as necessary)
G continue to discuss ultimate goal and discharge criteria
Where appropriate, for example, in the context of a deteriorating
condition, the following aims may apply:
G to work with and through others in support of the individual in order
to maintain stability and prevent deterioration for as long as possible
G to advise on risk reduction
G to provide the individual with strategies to maintain stability
G to support the individual and carers in coping with a sudden or a
slowly deteriorating condition
G to provide physical, psychological and social support as part of the team
Setting goals as part of the management process

The individual management plan should involve establishing
clearly defined goals of intervention.
The plan will include goals that are:
G centred on the needs and wishes of the individual
G relevant
G agreed with the individual wherever possible

G specific
G achievable
G measurable
G time limited
G recorded in the notes
G reviewed at an agreed time
Where the individual’s condition is changing, goals will take account
of the rate of change.
Factors within the individual’s environment which influence
Chapter 6
communication and/or swallowing may be the focus of intervention.
Outcomes of intervention
The SLT will decide how outcomes for the individual will be
ascertained and should make sure baseline measures are detailed.
Timing of intervention
A time frame for the plan should be specified.
Ways of working with the individual

Models of delivery include:
G individual input: direct or indirect, (ie working with and through
others)
G group therapy
G review appointments for advice, support and monitoring. This may
be in the context of specialist clinics or support groups
G joint sessions with other professionals/workers
G carer education and training
G consultation/liaison services
G carer support groups
G workshops and training sessions for people who may then act as
agents of change
Intervention involves giving advice, making recommendations,
leading therapy activities, as well as providing support and education
for the individual, their family, carers and the multidisciplinary team.
Carers may be the legitimate focus of intervention.
Review and discharge procedures should be discussed as part of
the management plan
The agreed plan of action should be made clear within the case
notes, dated and signed.

Continuity of management
As appropriate, and with the consent of the individual, the SLT will
ensure that any other agency involved with the individual is kept
informed of speech and language therapy involvement.
Wherever possible, care should continue until it has been established
that optimal recovery or function has been achieved.
Care is often episodic in nature. Where there are several episodes in
a care pathway, particular attention should be paid to ensure that the
individual and parents feel clear about the process.
Chapter 6
6.3.5 Review phase

Purpose of review
G To allow time for independent management of difficulties as
appropriate.
G To allow for key support role to be taken by others.
G To allow for consolidation of skill development.
G To allow natural course of development to occur.
G To allow for other, medical or social, priorities to be addressed by
others.
G To wait for optimum time for intervention.
Standards and guidance related to review phase
Although continuous monitoring is an integral part of intervention, a
formal review may take place at any point in the therapeutic process
and be used to:
G gauge the outcomes of intervention
G gauge the appropriateness and effectiveness of intervention
G monitor the pattern of progress
G consider the need for further investigations or, in some cases,
instrumental assessments
G terminate intervention
G determine the need for further intervention in response to changes
in the client’s ability/circumstances/personal goals
G determine the next step
G agree a different focus for therapy
G agree a different pattern of intervention
G decide on timing of review/reassessment periods for maintenance
of gains

G re-evaluate assistive devices as appropriate
G provide further support and information to individuals and
carers as appropriate
G provide a second opinion
When an individual is undergoing a period of self-managing
their condition, the individual or an identified key worker/carer,
may be given the responsibility to ask for a review
appointment.
Review of intervention may include repeat assessments to
Chapter 6
evaluate progress. A review time frame should be agreed
when initiating this process.
In the case of specialist cleft services, formal reassessments
are required for audit records at five, 10 and 15 years of age.
At key times during the period of intervention, the SLT will
ensure that any other agency involved with the individual is
kept informed about management and progress made, with
consent from the individual/carer.
6.3.6 Discharge/transition/transfer phase
Purpose of transition phase towards discharge/transfer:
G To agree a point of closure with individual/carer. NB This
may be a team decision and should be part of a unified,
person-centred, care planning approach.
G To support the individual through the process of ending
therapy.
G To carry out local discharge procedure, including providing
information about referral back into the service.
G To communicate results of episodes of care to relevant
others.
G To inform individual/carer of routes for re-referral should it
be necessary and of further support agencies and services.
G In the context of transfer from a specialist speech and
language therapy provision to a local speech and language
therapy service, to provide information regarding individual
and care received and specialist advice as required.
G To help individuals feel empowered to self-manage any
needs that no longer require ongoing intervention.
G To evaluate the degree to which the aims and goals have
been met and explore reasons for variance.

Standards and guidance related to discharge phase/
transition towards self-management/transfer to a specialist
provision
G Discharge will be at the discretion of the SLT after full consultation
and agreement with the patient/client and carer.
G Discharge may be initiated by the SLT or at the request of the
individual or, where appropriate, the carer.
G SLT initiated discharge may be for a number of reasons. These
may include:
Chapter 6
G aims of intervention have been achieved

G communication and/or swallowing issues are no longer a priority
G the individual has reached a point where they are able to self-
manage their condition
G the individual will be transferring to specialist care
G individual non-compliance
G intervention not indicated at the present time
G the individual has failed to attend appointments and will therefore
be discharged in accordance with local policy and, in the case of
children, with due respect to child protection implications
G Where discharge is initiated by the SLT, the reasons for this will be
explained fully to the individual and the carer.
G Where discharge is initiated by the individual/carer, the SLT must
explain any risks resulting from this course of action, together with
information about the re-referral route to speech and language therapy.
G When the individual receives input from a multi-professional team,
discharge procedures will take into consideration those agreed by the
team.
G As appropriate, and with the agreement of the individual/carer, the
SLT will consult with other professionals involved with the individual
prior to discharge.
G The decision and reason to discharge will be recorded in the notes.
G Where appropriate, carers and staff should be familiar with
strategies for continuing the emphasis on maximising communication
in the client’s environment after discharge.
G A report will be completed at the point of discharge/transition and
included in the case notes. This may include:
G details of initial communication status, including any
communication disorder diagnosis
G medical and social details

G medication
G summary intervention including aims, goals and objectives
G principles of supporting communication
G items needing to be reviewed including AAC, hearing aids
G progress since assessment, including any influencing factors, such
as medication or temperament
G reason for discharge
G guidance on re-referral
G any arrangements for crisis support
Chapter 6
G recommendations for other services taking over intervention/
providing support
G a clause indicating that the individual may be contacted in the
future for service evaluation purposes
G A discharge report should be sent to the individual or, in the case
of children, to the carers within three weeks of the point of
discharge/transition.
G With the knowledge of the individual or, in the case of children,
with the knowledge of the carers, copies of the discharge report
should be sent to relevant others including the individual’s GP.
G It may be appropriate for this to be a uni-professional SLT report or
to be a report from the team.
G The individual should be made aware of relevant national
societies, voluntary organisations and local groups for support of
ongoing needs.
G For some client groups, individuals and carers need to understand
that re-referral may be necessary during major life transitions.
G Duty of care to the individual is terminated through completion of
the discharge procedure or, in the case of an individual being
transferred to another service, the duty of care will rest with the new
service.
References
Department of Health. NSF for children, young people and maternity
services, 2004. www.dh.gov.uk
Department of Health. Prevention and health, everybody’s business:
A reassessment of public and personal health, 1976. www.dh.gov.uk
RCSLT. Accountability for Professional Advice Given to Non-
registered Patients, 2005.

RCSLT. Working in Harmony, 2005. www.rcslt.org
Acts of Parliament
Mental Health Act, 1983
Chapter 6

Chapter 7
Service Provision: Part 2
Working Contexts,
Tasks, Techniques and
Strategies
7.1 Guidance related to Working Contexts
7.1.1 Integrated teams
7.1.2 Community
7.1.3 Primary and secondary healthcare
environments
7.1.4 Specialist health services
7.1.5 Education
7.1.6 Independent practice
7.2 Guidance related to Specific Speech
and Language Therapy Tasks, Techniques
and Strategies
7.2.1 Augmentative and alternative
communication
7.2.2 Counselling
7.2.3 Writing legal statements relating to
court inquiries
7.2.4 Writing medico-legal reports
7.2.5 Appearing in court as a witness
7.2.6 Writing professional advice on
children with speech, language and
communication difficulties
7.2.7 Writing reports on referred
individuals
References

7.1 Guidance related to Working Contexts
The following working contexts have been identified as key for SLTs:
Integrated teams.
Community: Level 2 services, eg Sure Start; Level 3 services,
eg homes, work, leisure and day opportunities.
Primary and secondary healthcare environments,
eg community clinics; GP practices; acute hospitals; outpatient
departments.
Chapter 7
Specialist healthcare settings, eg secure units; rehabilitation

centres; hospices; forensic services, mental health services; autism
spectrum disorder units/services; child development centres.
Education, eg pre-school facilities; schools; colleges of further
education; adult education.
Independent practice.
7.1.1 Integrated teams

In line with government strategy, many SLTs now work in multi-
agency teams, which may include health, education and local
authority staff.
Integrated teams may be multidisciplinary or inter-disciplinary and
may be line-managed by non-health staff. This may have a
significant impact on models of caseload management and
prioritisation.
It is recognised that integrated and coordinated working across
community and acute settings is the most effective approach to
supporting individuals with health needs (DH, 2004; 2005). This is
supported by integrated team working, where liaison, joint
working/visits, sharing information, joint planning and understanding
of others’ roles ensure an holistic approach is adopted.
Input should occur in the most natural and comfortable setting for
the individual. This may be the home environment or educational/day
opportunities, leisure and work environments accessed by the
individual on a regular basis. Alternatively, hospital or specialist
centres may be the most appropriate context for support.
SLTs should familiarise themselves with environmental policies and
procedures when working across a range of community and acute
settings. In particular they should familiarise themselves with
strategies of risk management and health and safety procedures.

The context for SLT working continues to change in line with
government policy. Therapists need to keep up to date with these
changes and understand the likely impact on working practice.
7.1.2 Community
Level 2 community services (for targeted at-risk groups)
Speech, language, communication and swallowing difficulties can be
exacerbated or ameliorated by certain lifestyle choices and factors
Chapter 7
within the environment, including the responses of others to the
individual. These issues are dealt with by a range of strategies,
including health promotion and working with others on developing
supportive and inclusive practice.
For example, pre-schoolers in areas of high economic deprivation
are at risk of speech, language and communication difficulties that
will impact on their social development and learning in school.
Speech and language therapy services form part of the government
‘Sure Start’ programme and are provided primarily through working
in local activities set up to meet the health and social needs of
families in a given geographical area.
For further information see Chapter 6, Level 2 services.
Level 3 community services (for referred individuals)

Level 3 community services are those offered to individuals in their
own homes, whether this is the family home, a residential/group
home, supported living accommodation or a nursing home, and
other community settings for example, work, leisure activities, shops,
etc.
Services may be provided by one team but link in with other
agencies, in order to provide an overall management approach.
These services include:
Specialist community neuro teams providing rehabilitation
and support in the home and local environment (provided by
specialist community neuro-rehabilitation teams).
Outreach from specialist centres.
Generic community teams providing rehabilitation and support to
people with many different conditions in the home or local
environment (DH, 2001b; 2005).
Through offering services to people in their own environments
Service Provision: Part 2 Working Contexts, Tasks, Techniques and Strategies 7.1 217
community input can be directed at specific problems in context and
as identified by the individual and carer. Thus addressing the
restrictions they experience in daily living, maintaining their optimum
independence and enabling social participation. This is supported by
the recommendations in the NSF both for long-term conditions and
specifically for stroke individuals (DH, 2005, 2001).
Input is often individual led and incorporates approaches to facilitate
maintenance of independence and function, quality of life and
participation in life roles.
Chapter 7
Joint visiting/working may be appropriate to ensure individuals

receive holistic care and multidisciplinary input, for example, a
physiotherapist and SLT assessing positioning and swallowing
management. This may also cross service boundaries, for example,
social services and voluntary organisations.
The GP and all disciplines involved with the individuals, for example,
social worker, district nurse, allied health professionals (AHPs) should
be kept informed of the plan for intervention.
SLTs must be aware of and comply with organisational guidance
related to:
risk assessment
risk management including personal safety strategies
cultural considerations and respect for the individual’s home
environment
dealing with challenging behaviour
medical emergencies, eg if an individual suffers an epileptic
fit
visiting at appropriate and convenient times
child and adult protection
For further information see 5.6 Management of Risk, with particular
reference to 5.6.5 Personal safety.
Supported living/group homes

A service provided to individuals living in homes of their own or in
group homes with the support of care staff. A range of therapeutic
services may be provided to the individuals.
SLTs should recognise that this location of service delivery is first
and foremost the individual’s home.
Training of and liaison with all levels of staff is a priority.

Day opportunities
Day opportunities refer to any daytime occupations that are engaged
in by an individual. For the SLT it will involve input into a wide range of
community settings which are accessed by the individual either
independently or with support, (eg leisure centres, work places, day
services).
The focus of the SLT input is to enable staff to work effectively with
people with communication and/or eating and drinking needs.
Speech and language therapy will be affected by the purpose and
Chapter 7
organisational culture of the service provider but is likely to be
consultation and training based, time limited and negotiated around
mutually agreed outcomes for either the communication environment
or for individuals.
Intermediate care
Intermediate care links with the services described above but
provides the opportunity for speech and language therapists to work
across acute and community settings.
Introduced in the NHS Plan, 2000b, intermediate care services are
designed to provide a new range of services to build a bridge
between hospital and home. The policy was developed to promote
the independence of older people through a range of services to be
delivered in partnership between primary and secondary healthcare,
local government services, social care and the independent sector
(DH, 2001a).
Intermediate care services should (DH, 2001b):
Target people who would otherwise face unnecessarily prolonged
hospital stays or inappropriate admission to acute patient care, long-
term residential care or continuing NHS inpatient care.
Be provided on the basis of a comprehensive assessment
resulting in a structured individual care plan that involves active
therapy, treatment or opportunity for recovery.
Have a planned outcome of maximising independence and
typically enabling the individual to resume living at home.
Be time limited, normally no longer than six weeks and frequently
as little as one to two weeks or less.
Involve cross professional working with a single assessment
framework, single professional records and shared protocols.
Service models include:
Rapid response – to prevent avoidable acute admissions.
Hospital at home – intensive support in the individual’s own home.
Residential rehabilitation – short stay, short-term rehabilitation in
residential setting care home/community hospital.
Supported discharge – short-term period of nursing/therapy
package in the individual’s own home.
Day rehabilitation – short-term programme in day hospital/day centre.
More information is available on the following websites:
Department of Health www.dh.gov.uk
Chapter 7
The King’s Fund www.kingsfund.org.uk

The Change Agent Team www.changeagentteam.org.uk
7.1.3 Primary and secondary healthcare environments

Many SLTs work within or interface with aspects of primary and
secondary healthcare.
Example 1: Acute hospitals

Speech and language therapy services may be provided in a hospital
setting to both inpatients and outpatients. Outreach services may
also be provided in association with primary healthcare and
education teams.
The SLT based in a hospital has the responsibility of representing the
needs of individuals with communication/swallowing problems to the
multidisciplinary team. This will involve liaising effectively with all the
professionals involved, both on-site and off-site during the acute
episode of care, including facilitating and coordinating transition of
care to the next stage of intervention.
Example 2: Community clinics

A service delivered from a community clinic/health centre to the local
population, where the speech and language needs of the individual
can be met most efficiently and effectively by services provided in
local settings.
As attendance at a community clinic/health centre is a routine part of
the well-person’s lifestyle, it is essential that the SLT working in such
a location actively seeks out the other professionals who are relevant
to the individual at the time of the speech and language therapy
referral.

The establishment and maintenance of these relationships are
paramount to the holistic multidisciplinary approach to the individual’s
needs. By definition, the individual attending clinic is part of the
community ‘at large’ and therefore there is no finite list of
professionals with whom the SLT will liaise.
It is incumbent upon the SLT, as part of the assessment procedure,
to identify other professionals with whom formal/informal contact
must be made. Contact may be made in writing, by phone or by face-
to-face contact and is facilitated by attendance at primary healthcare
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team meetings, liaison committees, etc.
Example 3: Hospices
A residential and/or day care unit where individuals may go for
periods of care/support and/or respite care. Individuals may choose
to be in a hospice during the palliative care stage of their illness.
SLTs will manage communication and swallowing problems
regardless of aetiology and whether the problems are transient,
persistent or progressive.
SLTs will focus on rehabilitative and supportive care for the individual
and their family, aiming to achieve optimum quality of life. This will be
done in the context of close collaboration with other members of the
team. Decisions regarding management and quality of life will all be
taken in partnership with others, bearing in mind the rapidly changing
circumstances and the fact that these individuals may be facing end-
of-life issues.
Example 4: Services to critical care

Critical care refers to the level of care given to a group of individuals
who are deemed to be critically ill.
The division into high dependency and intensive care services based
on beds, is now replaced by a classification (Intensive Care Society,
2002) that focuses on the level of care that individual’s need,
regardless of location (DH, 2000a).
Level 0
Individuals whose needs can be met through normal ward care in an
acute hospital.
Level 1
Individuals at risk of their condition deteriorating, or those recently
relocated from higher levels of care whose needs can be met on an
acute ward with additional advice and support from the critical care
team.
Level 2
Individuals requiring detailed observation or intervention including
support for a single failing organ system or postoperative care, and
those ‘stepping down’ from higher levels of care.
Level 3
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Individuals requiring advanced respiratory support alone or basic

respiratory support together with support of at least two organ
systems. This level includes all complex individuals requiring support
for multi-organ failure.
Many individuals who are critically ill have requirements for the
support for their neurological, respiratory and digestive systems, all
of which can impact on their ability to communicate and swallow
independently. Presence of technologies to prolong life/enable
clinical management of the individuals with critical illness such as
mechanical ventilation, tracheostomy tubes, naso-gastric tubes and
naso-pharyngeal airways as these may also impact on
communication and oro-pharyngeal swallowing abilities.
For more information on the role of speech and language therapy,
see section 8.10 on Critical Care.
Example 5: Services to palliative care

Palliative care is an approach that improves the quality of life of
individuals and their families facing the problems associated with
life-threatening illness, through prevention and relief of suffering by
means of early identification and impeccable assessment and
treatment of pain and other problems, physical, psychosocial and
spiritual (WHO, 2006).
For more information on the role of speech and language therapy,
see section 8.17 on Palliative Care.
7.1.4. Specialist health services

Specialist health services are dedicated healthcare services to a
particular individual group with defined specialist health needs and
approaches to treatment.
SLTs need to be effective at working as part of the specialist

healthcare team, whilst maintaining a broad perspective. The SLT
may be working as a lone SLT practitioner. Regular SLT liaison and
support networks should be sought to prevent professional isolation.
Example 1: Child development centre

A specialist multidisciplinary assessment and diagnostic centre for
children and their carers.
This assessment results in the evolution of an individual centred
plan of care to meet the child’s identified needs. The centre may
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provide an assessment or assessment and intervention service.
Due to the multidisciplinary nature of child development centres, the
SLT will work in close collaboration with all team members by
attending team meetings and case conferences.
The SLT may act as a key worker for particular children with whom
she/he is centrally involved.
Example 2: Rehabilitation centre

A centre that exists to provide intensive therapeutic rehabilitation to
a designated individual group. The rehabilitation centre may be a
local provision or a regional specialist centre.
Services are offered to enable individuals to reach their potential
and therefore maximise their long-term functioning. The therapeutic
services are provided within an inter-disciplinary framework.
In most instances, the individuals are medically stable and may be
at any stage in their recovery.
Example 3: Specialist outpatient centre

Specialist outpatient referral centres provide services to individuals
where a further opinion has been requested by the individual, carer,
SLT or other professionals.
The SLT at a specialist centre will need to consider what additional
value speech and language therapy within the centre offers
compared to that provided in local or other settings.
Only if an individual is considered to be able to make greater
progress within a specialist centre and funding has been agreed,
should therapy be offered within that location. If intervention is to be
offered in a local setting, the local service must ensure that
recommendations made can be effectively implemented and the
specialist centre informed of the position.
When the individual is discharged from the specialist centre it is likely
that intervention may be continued at a local location. The SLT at the
specialist centre will need to liaise with the local SLT to ensure
continuing care and to ensure that the individual/carer is informed
about and prepared for any changes in the models of care.
However, it may be that shared care, with ongoing support from a
specialist tertiary centre, may be the most effective way of providing
support for the individual.
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7.1.5 Education
Education includes all contexts that provide educational opportunities
and courses, including children’s centres and extended schools.
Whilst taking account of individual need, educational contexts are
primarily curriculum focused. Therapists need to provide integrated
and inclusive services that promote access to learning opportunities
and the development of functional social relationships.
Example 1: Pre-school facilities

A day provision that is exclusively for pre-school children. Facilities
may include social service/health service day nurseries, educational
day nurseries, neighbourhood centres, opportunity playgroups and
state and independent day nurseries.
Pre-school facilities may vary greatly according to working
philosophy, ratio of staff to children, turn-over of staff, qualifications
and training of staff.
The linguistic diversity of the provision will also vary, as will the length
of stay and type of placement for each child. As a result, the SLT will
need to familiarise her/himself with the particular context.
The SLT will need to liaise with the key worker for the child and the
head of the service to negotiate an appropriate model of working.
Ongoing liaison with all members of the team for the child will be
important in maintaining integrated support services.
Example 2: Mainstream schools

A service delivered within a mainstream school to children who need
support for and development of their communication skills.
Speech and language therapy in a mainstream school is a specialist
service and not simply a speech and language therapy ‘clinic’ located
in a school.

Services should be provided in such a way as to enable education
staff to incorporate the aims of speech and language therapy in the
planning of an individual educational programme within the context
of the broad curriculum.
Intervention will include facilitating access to the National
Curriculum/the 5-14 Curriculum and supporting staff to make
environmental changes to support inclusion. This is most effective
through collaborative working strategies including joint assessment,
planning and working, as well as through training workshops,
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provided as part of the school in-service training (INSET)
programme.
Example 3: Special schools and resourced provision
A speech and language therapy service provided to a special
educational establishment or resourced provision for children with
statements of special educational needs/additional support needs.
The children’s primary educational needs may be the result of a
specific speech and language disorder or may be the result of
general learning and/or physical difficulties.
The service is usually based within the school and operates at
different levels:
Level 1: Working with the whole school body to identify and
implement school improvement objectives related to meeting the
needs of children’s speech, language, communication and/or
swallowing needs.
This will usually involve being a member of task-groups; participating
in, or leading, in-service training sessions.
Level 2: Supporting individual members of staff or staff groups to
make environmental changes to optimise the inclusion of all children
within class activities. This will usually involve joint-planning, co-
working and training sessions and will take account of the highly
developed expertise of staff working in these settings.
Level 3: Collaborating with staff and parents to review the progress
of individual children; to advise and to provide intervention as
appropriate. This will usually involve joint goal setting, agreeing
strategies and planning for how speech and language therapy targets
can be integrated into the child’s daily life activities in school and at
home. Certain children may need regular and continuing help from
an SLT, either individually or in a group. In other cases, it may be
appropriate for staff at the child’s school to deliver a regular and
discrete programme of intervention under the guidance of an SLT.
Intervention includes supporting the development of children’s
functional communication; facilitating children’s access to the school
curriculum and supporting staff in their use of inclusive strategies.
Effective practice will be facilitated by the SLT being seen as part of
the school team and, where possible, attending staff and parent
meetings.
For further information see chapter 8 on Working with Specific Client
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Groups.
7.1.6 Independent practice

A growing number of SLTs are self-employed or work as part of an
independent group practice. The RCSLT advocates that all
therapists who practise independently are members of the
Association of Speech and Language Therapists in Independent
Practice (ASLTIP).
Members of ASLTIP are certified members of the RCSLT and are
registered with the HPC. Membership of ASLTIP represents a
commitment to agreed standards of professional conduct and
performance within independent practice.
Regular SLT liaison and support networks should be sought to
prevent professional isolation.
See section 5.3.3.on Supervision and Supporting Staff and 5.3.9 on
CPD.
An independent practitioner should have at least two years’ recent
post-qualification clinical experience before practising independently.
Therapists running large independent practices may employ newly
qualified therapists.
For further guidance on recommended procedures see 5.3.4 on
Competence and the NQP.
If an SLT has had a break from professional practice of over two
years and wishes to practise independently, she/he should satisfy
the requirements of the HPC and the RCSLT. SLTs who have not
practised professionally for more than two years should apply to
become a returner member of the RCSLT. This status is held for a
year prior to transfer to the full membership list.
The RCSLT’s Returners Pack is available at: www.rcslt.org
See also the 5.3.4 section on Competence and returners to practice.

Ethics of independent practice
Practitioners should observe the courtesy of contacting all
established independent practitioners within an area when intending
to establish a new independent practice.
An SLT, on leaving a group practice, should not canvass individuals
who were referred to that practice to move with them.
For further guidance on setting up in independent practice, refer to
the ASLTIP website: www.helpwithtalking.com
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Independent practice management
Practitioners should take steps to protect themselves from suspicion
of unethical conduct by careful consideration of their activities. SLTs
who have any current NHS involvement with a particular individual
may not undertake the private management of that case.
Independent practitioners should also pay serious consideration to
the following:
clinical record keeping
practitioners should register under the Data Protection Act (1998)
emergency procedures
premises and equipment
legal and business protection, contracts
advertising and marketing
See 5.5.3 on Record keeping and 5.6 on Management of Risk.
The practice should define its scope and objectives, and make this
clear in any literature describing the practice. Account should be
taken of the responsibility of practitioners to offer assessment and
management only in areas where adequate clinical experience has
been gained.
The practice should publish terms and conditions of therapy and
scale of charges. Details should include information on any
additional charges for the provision of reports and mileage charges
for home visits. This information should be made available to
prospective and actual individuals before the initial consultation, so
there is full awareness of expectations for fee settlement and what
constitutes a therapy session, in terms of duration and content.
After initial assessment, individuals should be given, where possible,
a cost and time estimate for therapy.
Practitioners should ensure that accurate accounts and receipts are
kept of all individual and practice transactions, and that those records
necessary for annual financial audit are in place.
The practice or practitioner should consider implementing a quality
assurance programme. This provides a systematic way of
evaluating the quality of services provided and offers an opportunity
to address identified weaknesses. Practices are advised to
undertake regular internal audits to include examination of
administrative and clinical procedures.
This may involve the practitioner requesting a liaison agreement with
a senior NHS therapist to discuss service and professional issues.
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ASLTIP strongly advises that members actively seek this type of

arrangement to promote cooperation between service providers.
These recommendations should not interfere with the independent
practitioner’s right to provide services that may differ in style and
organisation from those provided by NHS employed counterparts.
For further information on service audit, see Chapter 9 Service
Monitoring, Improvement, Evaluation and Development.
Interface with members of the team, including other SLTs

SLTs in independent practice should be aware of the need to liaise
fully with other professionals who may also be working with the
individual.
See 5.9 Partnership Working and 5.9.1 Interface between speech
and language therapy agencies and the RCSLT Working in Harmony
document, available at: www.rcslt.org
Communication with the individual’s medical practitioner should be
maintained at appropriate stages of the intervention. The therapist
should send a communication stating that an initial consultation has
taken place and outline the planned course of action arising from
this. A note of discharge should follow when applicable.
Independent practitioners should advise the appropriate speech
and language therapy service of the names of any individuals being
seen, although due consideration must be taken of individual
circumstances. In certain instances, for example where an
individual seeks a confidential second opinion, the practitioner
should make discretionary decisions in order to act in their
individual’s best interests. Serious and due consideration of the
possibility of test score invalidation and any deleterious effects of
possible dual involvement should be borne in mind in such
circumstances.

In summary, recommended good practice is notification to health
service departments. In discretionary circumstances the procedure
may be circumvented. In these instances the therapist may consider
requiring the individual to sign an insertion to their records agreeing
or requesting that the consultation remains confidential to the
practice.
It is recommended good practice to advise individuals of the
availability of speech and language therapy within the health service,
to avoid situations where a member of the public may be unaware of
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the existence of statutory provision. Beyond this, independent
practitioners should avoid involvement in discussions relating to the
levels and merits of local provision.
Where it is considered in the individual’s best interests to receive
professional help from two practitioners, one must undertake the lead
role in the coordination of case management. This responsibility
should be delegated after discussion, and steps should be taken to
clarify with the individual the nature of the arrangement that has
been reached.
Written permission to circulate reports should be obtained from the
individual. Practitioners may decide to recommend the sharing of
information in a covering letter, but leave the responsibility to do so
with the individual.
7.2 Guidance related to Specific Speech and

Language Therapy Tasks, Techniques and
Strategies
7.2.1 Augmentative and alternative communication

Communication may be defined as the transmission and
reception of meaning between one individual and another, or
between an individual and a group – where ‘meaning’ is taken to
include social and affective intentions and reactions, as well as
propositional content. The mode or medium of the exchange
(speech, non-verbal signals, symbols, signs, writing, electronic
code, etc) does not alter this definition of the central essence of
communication.
Augmentative and alternative communication (AAC) refers to
methods of communicating which supplement or replace speech and
Service Provision: Part 2 Working Contexts, Tasks, Techniques and Strategies 7.1/7.2 229
handwriting. The term refers to a function, not to any specific
communication systems or methods. In practice, augmentations
and alternatives to speech often overlap and go together, but it
should be recognised that they are not interchangeable terms.
AAC is a means by which an individual can supplement or
replace spoken communication. Communication may range from
any movement or behaviour which is observed and interpreted by
another person as meaningful, to the use of a code agreed upon
between people where items have specific meanings, ie a
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language.
AAC encompasses various types of communication, both aided
and unaided systems. Unaided communication refers to the use of
systems involving the user’s body, such as body movements, facial
expressions, gestures, signing, eye-pointing and vocalisations.
Aided systems refers to the use of additional resources and/or
equipment, such as objects, photographs, symbols and voice-
output communication aids (VOCAs).
AAC includes four strands:
i) Communication medium – how the meaning of the message is
being transmitted. This might be via aided or unaided systems.
ii) A means of access to the communication medium, through
hand/eye pointing, a keyboard, joystick, switches for direct
selection/switch accessing.
iii) A system of representing meanings, ideas and concepts, eg
signs (British Sign Language, Signalong, Makaton Vocabulary, etc)
and/or symbols (Picture Communication Symbols, Widgit Rebus,
Makaton Vocabulary, Blissymbols, traditional orthography, etc).
iv) Strategies for interacting, eg initiating conversations,
maintaining a conversation by turn-taking and using questions,
repair strategies when communication breaks down.
Use of AAC in relation to client groups

The use of AAC is not exclusive to one client group, but is a
strategy that can be used by individuals with significant
communication difficulties, irrespective of the aetiology.
It is not possible to provide figures for the numbers of individuals
who require AAC as they do not come from any one identifiable
individual group.
However, the most common congenital conditions likely to require

this type of support are cerebral palsy, autism, learning difficulties and
developmental apraxia of speech (Mirenda & Mathy-Laikko, 1989).
To obtain an idea of the incidence and prevalence for conditions that
may require individuals to have access to AAC/total communication,
see the following sections on specific client groups described in
chapter 8:
8.1 Acquired Motor Speech Disorders
8.2 Adult Learning Disability
8.3 Aphasia
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8.4 Autism Spectrum Disorder
8.6 Brain Injury
8.7 Cerebral Palsy
8.10 Critical Care
8.11 Deafness
8.12 Dysfluency
8.15 Head and Neck Cancer
8.17 Palliative Care
8.18 Pre-school Children
8.19 Progressive Neurological Disorders
8.20 School-aged Children
8.21 Specific Language Impairment
8.22 Specific Speech Impairment
Some individuals who require AAC/total communication will use AAC
and total communication throughout their lives; others will only need
to use some of these tools for a limited time as their underlying
condition and skills change, improve or develop. There is no
research to provide figures.
Prevalence of use of AAC

The following points give a general idea of the number of people
requiring access to AAC/total communication at some point in their
lives.
There have been several studies carried out in America (Beukelman
& Ansel, 1995; Blackstone & Painter, 1985; Matas et al, 1995)
including one that identified 0.4% of the population as having AAC
needs.
In reviewing the research from America and the UK, it can be
concluded that there is an estimated range of 0.3-1.4% of the total
population who require the use of AAC systems.
AAC within the school population
A 1990 estimate of 0.2-0.6% of the total school population requiring
the use of AAC (Blackstone, 1990) has been considered to be a
conservative figure by today’s expectations, considering advancing
technology. However, this estimation is in line with the figures
presented below:
A survey of the special schools and mainstream schools in 11
London boroughs, estimated that the prevalence of the need for AAC
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systems was in excess of 10% of all statemented children (0.3% of

the total school population) – (Norwich & Grove, 1997).
This is supported by 2003 Department for Education and Skills
(DfES) figures, which indicate that at least 0.2 % of children have a
long-term communication difficulty.
Risk issues
Individuals requiring AAC may be at risk of the following, if the
introduction of AAC is delayed. Reduced opportunities for:
social interaction
control of one’s environment
development/restoration of language skills
initiating communication
learning
developing of life skills
participating in education/employment
This may result in:
lack of/loss of identity
depression
passivity
reduced learning opportunities
increased isolation
increased risk of harm/abuse
failure to develop skills to full potential, resulting in many lost life
opportunities
If the SLT does not work as part of a multi/inter-disciplinary team
and/or has minimal knowledge of AAC/total communication,
individuals are at risk of the following:
provision of an inappropriate communication system
inappropriate use of a communication system

inappropriate access system
unsafe and/or ineffective mounting of VOCA
This may:
restrict language development/restoration
restrict opportunities for interaction and communication
prevent effective control of one’s environment
prevent/restrict participation in education
possibly lead to physical damage due to poor positioning/access
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Failure to develop skills commensurate with abilities, can lead to
reduced opportunities for:
social interaction
effective control of one’s environment
developing language skills
initiating communication
learning
development of life skills
participation in education/employment
This may result in:
loss of identity
depression
passivity
increased isolation
increased risk of harm/abuse
failure to develop skills to full potential resulting in many lost life
opportunities
SLT responsibilities in relation to AAC equipment:

Safety checks: are essential to ensure that the equipment is well
maintained and any problems are resolved before the problem
becomes more severe.
Decontamination: equipment must be kept clean and
decontaminated. There should be guidance for each piece of
equipment and appropriate wipes available.
Care pathway
Further details of the AAC care pathway, outlined below and
developed by the South Birmingham PCT, can be accessed at:
www.wmrc.nhs.uk/act/AAC_pathdocs.html
AAC needs identified
Multidisciplinary team
Branch A
Tertiary level Coordinator
Branch B
communication Other agencies
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technology
centre
AAC introduced
Review and exit
Key sources of additional information and support on AAC:

ACE Centre Advisory Trust www.ace-centre.org.uk
The CALL Centre www.callcentre.education.ed.ac.uk
Communicability www.communicability.smartchange.org
7.2.2 Counselling
What is counselling?
Counselling may be thought of as the process through which an
individual is assisted to make a decision from the many choices
available in an understanding and confidential atmosphere.
Individuals are encouraged to express their thoughts and feelings in
order to understand their feelings and to clarify their situation so that
they can come to terms with a difficulty more objectively and with a
reduction in anxiety and tension.
Counselling has developed as a branch of psychological clinical
practice, offering a range of therapeutic communication skills, and
also has its own knowledge base and body of human science
research. It is therefore a profession in its own right.
Regulatory bodies for counsellors:

British Association of Counselling and Psychotherapy
www.bacp.co.uk

UK Council for Psychotherapy www.psychotherapy.org.uk
British Confederation of Psychotherapists www.bcp.org.uk
Counselling skills within speech and language therapy

Use of counselling skills (as opposed to being a counsellor) relates
to where there is intentional use of specific interpersonal skills that
reflect the values of counselling, and when the practitioner’s primary
role (for example, SLT or support practitioner) is enhanced without
being changed.
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Thus the individual perceives the practitioner as acting within their
primary professional or/caring role, which is not that of being a
counsellor.
Counselling is part of the SLT’s repertoire of clinical skills. The extent
to which a counselling approach is adopted will depend on the needs
of the particular individual in the therapeutic process.
It may be appropriate for the SLT to use counselling skills to address
emotional issues brought up by individuals, providing the issues are
related to the communication disorder.
Standards and guidance in relation to use of counselling skills

All SLTs should have undertaken basic training in counselling,
listening and communication skills.
Counselling should be part of a holistic approach to intervention for a
communication disorder.
All SLTs should have access to support and clinical supervision.
See 5.3.3 Staff supervision and support.
Where counselling skills are used as a main therapeutic approach, it
is vital that:
the focus of therapy is explained and agreed with the individual at
the outset of the contract
the SLT has undertaken a postgraduate counselling skills course
the SLT has enhanced access to clinical supervision and
support
SLTs using counselling skills as a primary therapeutic intervention
must ensure that their manager is fully aware of their practice and
that this is reflected in their job description.
If advanced postgraduate counselling skills are essential for the job,
then the grade as well as the job description should reflect this
responsibility.
SLTs considering an advanced counselling training should have an
experience of personal therapy themselves and also an opportunity
to role play an individual via experiential learning.
SLTs should not pass on information gained during counselling to
colleagues without the individual’s permission.
If the SLT feels uncomfortable in a counselling role, supervision may
either clarify the need to refer the individual on, or eliminate the need.
The SLT may have the appropriate skills but lack confidence.
All SLTs should be aware of the limits of their competence in the
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counsellor role, and should refer on if necessary.

The SLT needs to be sensitive to the fact that suggesting the
individual needs to be referred on can give the impression that the
individual’s problem is too big for either the SLT or the individual to
cope with.
SLTs should inform individuals of the number of sessions they can
have, and they should prepare individuals for their last session, rather
than it be presented suddenly. It may be advisable to recommend
that the individual can return for an SLT review after a course of
counselling.
SLTs may need to consider whether it is the individual who has
difficulty leaving therapy or the SLT’s own difficulty about letting go of
an individual.
Some agencies for referring individuals on to:

GP
child and adolescent mental health service
psychology or psychiatry department
some voluntary bodies employ counsellors, but their training may
vary
7.2.3 Writing legal statements relating to court inquiries

What is a statement?
A statement is an accurate account of a person or professional’s
involvement with an individual adult, child or family for a professional
reason during the course of undertaking their duties.
Who might request a statement?

the employing authority

a solicitor
a social worker
a guardian ad litem (an officer appointed by the court to represent
the interests of the child)
others
Principles:
The statement should be truthful, accurate and factual.
The facts should, to the best knowledge of the therapist, be
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verifiable.
The statement should be made from the records.
Standards and guidance related to providing a statement

Before making a statement, the professional should first establish
the employing authority’s policy for professionals making a
statement. This will usually include contacting a line manager in the
first instance.
When writing a statement, the following format should be followed:
date of statement
name, professional address and qualifications, position and
employing authority
name, address and relationship of family and member/s about
whom the statement is written
the sequence of events in chronological order, eg sub-headings
with dates of each contact and an explanation of what took place or
was observed. A record of any clinical measurement/treatment
should be included
in chronological order, any other communication or attempted
communication, eg telephone calls, visits, failed appointments,
contact with other agencies/disciplines
The above should be in short paragraphs to facilitate reading.
Advice should be taken from the legal officer retained by the
authority.
7.2.4 Writing medico-legal reports

What is a medico-legal report?
A medico-legal report is a written professional assessment of a
given individual’s strengths, needs and situation.
It will contain professional judgements supported by evidence and
expertise.
Standards and guidance related to medico-legal reports
Preliminary steps:
Gain clarity about who is asking for the report and why.
Ensure the instructions received are clear. Seek any necessary
clarification.
Check that there is no conflict of interest. If so, this must be
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declared.
If asked to be an expert witness, therapists must not take on a
case if they have insufficient expertise in the area in question.
Request further reports or information as required.
Ensure that the time scales can be complied with.
Confirm acceptance of instructions, or otherwise, within five
working days.
Inform the solicitor of contractual terms, (ie fees and payment
method and timing). As appropriate, this will need to be discussed
with any manager.
Clarify who is to arrange the assessment appointment with the
individual.
Inform the solicitor once a date is set.
Process related to preparation of report and preparation for court
appearance:
Read instructions/documentations carefully.
Have all necessary documentation available at the assessment.
Allow time for seeking out additional information, (eg contacting an
RCSLT adviser or finding out about local availability of therapy
services).
Be prepared to attend meetings, sometimes at short notice.
Report format
The report should:
contain a statement detailing the substance of instructions
contain a declaration that duties have been understood and
complied with
provide a ‘range of opinion’
be a statement of truth

be objective
be professionally set out
use numbered paragraphs with headings
refer, on a separate page, to all the documents that have been
seen
contain a separate summary and recommendation
be signed and dated
Therapists may need to include an estimate of short and long-term
therapy requirements.
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Process once the report has been prepared:
Check the report carefully before submission.
Submit the report, plus any requisite copies, to the solicitor.
Submit an invoice as appropriate.
Be prepared to enter the witness box, give evidence and be cross-
examined.
7.2.5 Appearing in court as a witness
SLTs who anticipate any involvement with regard to the making of
statements, medico-legal reports or appearing in court should seek
help from their employing authority’s legal department.
Before giving evidence, the witness is required to swear an oath or to
affirm that the evidence that she/he will give is the truth. Questions
will be asked on the basis of the written statement which the
professional will have been asked to make prior to appearing in court.
Professionals will not have a copy of their statement while giving
evidence.
In some cases, the statement will have been written months earlier.
Under these circumstances, a witness may wish to refresh her/his
memory by referring to contemporaneous records.
It is necessary to obtain permission from the employing authority to
take the records to court. Under normal circumstances, permission is
given as the witness summons or the subpoena may stipulate that
the practitioner attend court with the relevant records.
A witness should not attempt to give evidence from memory in the
absence of a record in an attempt to be helpful.
A witness who has no relevant records available but who has
received a witness summons or subpoena should attend court.
Refusal to attend could be seen as contempt of court.
If it is necessary to refer to contemporaneous records or notes
whilst giving evidence, a witness must ask leave of the judge or
magistrate. If there are no objections, the witness may refresh
her/his memory.
It is important to note that if the records or notes are referred to in
court, they become part of the evidence in the case and may be
examined by the other solicitors and the judge/magistrate.
The professional can be cross-examined by the solicitor of the
defendant on matters contained in the records that may not have
been referred to orally.
Chapter 7
When giving evidence, technique is important. A witness is advised

to:
speak slowly and clearly, in a loud voice
address all answers to the judge
remember everyone is nervous in court
The SLT may be asked to explain any clinical terms used. The
evidence given by the SLT may be weighed against that of an expert
witness (independent therapist) or the SLT may be called as an
expert witness. In such instances, it is vital to be clear and specific
when giving evidence.
7.2.6. Writing professional advice on children with speech,

language and communication difficulties
Speech and language therapy advice for education
The context and processes for supporting children with special needs
or additional support needs are subject to review and change.
Members are advised to review the up-to-date guidance on the
relevant educational websites.
The government departments responsible for education in England,
Northern Ireland, Scotland and Wales, are as follows:
England: the Department for Education and Skills
www.dfes.gov.uk
Wales: the National Assembly for Wales Training and Education
Department (NATED) www.learning.wales.gov.uk
Northern Ireland: the Department of Education (DE)
www.deni.gov.uk
Scotland: the Scottish Executive Education Department (SEED)
www.scotland.gov.uk/About/Departments/ED
See also 3.2. Acts of Relevance to the profession.

Whatever the specific requirements placed on members through the
law and codes of practice, professional advice should be guided by
the following principles and report structure.
Duty of care
Members are reminded that they have a duty of care for any child
they are writing advice for. Advice should be written with the needs of
the child in mind, not the available resources.
Chapter 7
Principles underpinning the writing of advice:
Any models of intervention, facilities and resources recommended
should relate to the speech, language and communication needs of
the child and not to the speech and language therapy resources
available.
Advice should be full enough and clear enough to give other.
professionals, and particularly the child’s parents, an understanding
of the child’s needs.
Terminology used in reports should be unambiguous.
Where it is necessary to use professional terminology, it should be
defined.
SLTs should advise only within their sphere of expertise and where
necessary seek opinion from more experienced therapists.
Parents should be included as partners in the process of
identifying the support needs of the child.
All aspects of advice provided should be justifiable and supported
by evidence wherever appropriate.
The report detailing professional advice should set out:
Brief details of the level and type of SLT involvement to date.
An analysis of the child’s speech, language and communication
impairment including:
a positive statement about the child’s strengths
statements about the child’s difficulties that are supported by clear
evidence in the form of examples or standardised test scores as
appropriate an indication of the child’s rate of progress
language and communication levels in relation to other non-verbal
abilities, where this information is reliably known
where the child has experience of two or more languages, the first
language should be noted, whether or not an assessment has been
made in that language
A description of the impact, or predicted impact, of these difficulties on
the child’s social participation, learning and accessing the curriculum.
A broad description of the speech, language and communication
outcomes being sought for the child.
A description of the required resources and features of the
educational setting which will best help the child achieve the outcomes
being sought. This should include detail of:
facilities, (eg provision of a small quiet room for developing listening
skills)
Chapter 7
modifications, (eg information presented primarily through visual means,

including the use of symbols and signing)
resources, (eg provision of a hi-tech communication aid; symbol
software available in school)
staff knowledge and skills, (eg knowledge and experience of teaching
children with autism )
A description of the speech and language therapy provision
required to help the child achieve the desired outcomes:
SLT advice should specify the appropriate model of therapy
provision, (see section below on models of intervention)
Where a regular and discrete speech and language therapy programme
of intervention is required for the development of specified skills, therapists
should state how frequently and by whom the programme should be
carried out and monitored
Where a receiving educational establishment is not immediately able to
provide the appropriate environment to help the child achieve the desired
outcomes, additional speech and language therapy provision may be
required to work with school staff in the development of an appropriately
supportive and inclusive environment
Where an individualised programme of intervention will not be effective
without the requisite resources and features of the educational setting, this
should be stated
Models of intervention:
Supported inclusion of the child.
Supporting individual members of staff or staff groups to make
teaching-style changes or environmental changes to optimise the
inclusion of the child within class activities. This will usually involve
joint-planning, co-working and training sessions.
Child skill development through inclusive means

Supporting individual members of staff or staff groups to carry out
programmes of work with the whole class or small groups in order to
develop targeted language or communication skills
Child skill development through the integration of individualised
targets
Collaborating with parents and members of staff in order to integrate
individualised speech, language or communication targets into the
child’s daily life activities in school and at home
Child skill development through individualised programmes of work
Chapter 7
A regular and discrete programme of individualised intervention
aimed at developing specified speech, language and/or
communication skills. This may need to be provided directly by an
SLT or SLTA, or it may be appropriate for staff at the child’s school to
provide the programme under the guidance of an SLT.
For those children requiring regular and continuing speech and
language therapy input, this will usually be provided in the context of
an inclusive approach which seeks to support the child by
embedding targets and modifying aspects of the social and learning
environment.
In order to be effective and to have maximum impact on the child and
their family, speech and language therapy interventions are part of a
wider package of support and may change over time (RCSLT, 2006).
Involvement of parents in the process

Parents are an essential part of the multidisciplinary team, as the
‘experts’ on their own child. They should receive appropriate support
and guidance to enable them to play a full and appropriate part in
supporting their child, as part of the team.
Parents should be given details of any voluntary agencies
appropriate to their child’s needs, which can assist them with
understanding special educational needs procedures, information
and support.
Resourcing recommended levels of provision

As stated above under Principles, any models of intervention,
facilities and resources recommended should relate to the speech,
language and communication needs of the child and not to the
educational and/or the speech and language therapy resources
available.
Any mismatch between need and available resources should be
recorded and monitored as part of a regular service audit. This
information should be brought to the attention of the appropriate
authorities, eg local education authorities or commissioners for
children’s services, as part of an improvement and development
process.
Communication and liaison

Effective action on behalf of children with special educational needs/
Chapter 7
additional support needs will depend upon close cooperation

between various agencies with local authorities taking the lead (DH,
2005).
The importance of good communication with and between all
members of the child’s team cannot be overstated. Liaison with
colleagues will:
allow the therapist to share concerns about a child who may have
special educational needs
ensure weight is given to the therapist’s view about the child
enhance the effectiveness of provision
form the basis of a collaborative and integrated support plan for
the child
7.2.7 Writing reports on referred individuals

A report is a written account designed to convey information and
ideas for a specific purpose.
A report must be timely eg if the SLT is making an onward referral, a
report should accompany the referral.
Each report must have:
an introduction, identifying the purpose of the report
a middle section, which covers relevant information and actions
taken or planned
a final section, which includes a summary, conclusions and
recommendations
The report may be:
an initial report following an assessment
a closure report at the point of discharge or transfer
an interim report as and when necessary following acceptance of
a referral
Hallmarks of a good report include:

clarity (sentence structures are short; headings are provided;
jargon is avoided)
completeness (all relevant information is provided; the report is fit
for purpose; all recipients are listed)
accuracy (statements are truthful, accurate and factual; sources of
information are given)
consistency (the terminology and information is consistent and
cohesive)
logical progression (from past to present to future; content is well-
Chapter 7
structured)
conciseness (details are brief but incisive and intelligible)
Once the report has been prepared in line with the principles listed
above:
the information must be checked
the grammar and spelling must be checked
the report date must be checked
the report, or the SLT section of the multidisciplinary report, must
be signed
Duty of care
SLTs have a duty of care for the individual they are writing a report on
and may be called to account for what they have written. SLTs are
reminded that reports that are incomplete or inaccurate can mislead
and have unexpected and undesirable consequences for an individual.
See also Section 7.2.4 Writing medico-legal reports and Section
7.2.6 Writing professional advice on children.
References
Beukelman, D & Ansel, B. Research priorities in augmentative and
alternative communication in Augmentative and Alternative
Communication, 1995:11; pp131-134.
Blackstone, S. Populations and practices in AAC in Augmentative
Communication News, 1990:3(4); pp1-3.
Blackstone, SW & Painter, MJ. Speech problems in
multihandicapped children in JK Darby (Ed.), Speech and language
evaluation in neurology: Childhood disorders. Grune & Stratton,
1985; pp 219-242.
Department of Health. Comprehensive Critical Care, 2000a.
www.dh.org.uk
Department of Health. Health Service Circular, 2001. www.dh.gov.uk
Department for Health. The NHS Plan: a plan for investment, a plan
for reform, 2000b. www.dh.gov.uk
Department for Health. NSF for children, young people and maternity
services, 2004. www.dh.gov.uk
Department of Health. NSF for long-term conditions, 2005.
www.dh.gov.uk
Department of Health. Standard 3 in NSF for older people, 2001a.
www.dh.gov.uk
Chapter 7
Department of Health. Standard 5, Stroke in NSF for older people,

2001b. www.dh.gov.uk
Gascoigne, M. Supporting children with speech language and
communication needs within integrated children’s services – position
paper. RCSLT, 2006. www.rcslt.org
Glennan, S. and De Coste, D. A Handbook of AAC. Singular
Publishing, 1998.
Intensive Care Society Standards, 2002.
Matas, J, Mathy-Laikko, P, Beukelman, D & Legresley, K. Identifying
the non-speaking population: A demographic study in Augmentative
and Alternative Communication, 1995:1; pp17-31.
Mirenda, P & Mathy-Laikko, P. Augmentative and alternative
communication applications for persons with severe congenital
communication disorders: An introduction in Augmentative and
Alternative Communication, 1989:5; pp3-13.
Norwich, B and Grove, N. The Use of AAC systems in London
Schools. Institute of Education, 1997.
World Health Organisation (WHO), 2006.
www.who.int/cancer/palliative
Acts of Parliament
Every Child Matters Childcare Bill, 2005

Chapter 8
Service Provision:
Part 3
Working with Specific
Client Groups
8.2 Adult Learning Disability (ALD)
8.3 Aphasia
8.5. Bilingualism
8.6 Brain Injury
8.6.1 Children with Acquired Brain Injury
8.6.2 Adults with Traumatic Brain Injury
8.7 Cerebral Palsy
8.8 Cleft Palate and Velopharyngeal
Disorders
8.9 Craniofacial Conditions
8.10 Critical Care
8.11 Deafness
8.12 Dysfluency
8.13 Dyslexia
8.14 Dysphagia
8.14.1 Children with Dysphagia
8.14.2 Adults with Dysphagia
8.14.3 Adults with Learning Disability and
Dysphagia
8.16 Mental Health
8.16.1 Mental Health: Paediatric

8.16.2 Mental Health: Adult Dementia
8.23 Visual Impairment
8.23 Voice
Chapter 8
References
This information on services to specific client groups is designed to
support speech and language therapy services undertaking reviews
of service organisation and provision.
Each subsection follows the same basic format although the form
and emphasis varies somewhat:
G definition
G national guidance and sources of further support and information
G aetiology
G prevalence and incidence
G vulnerabilities of individuals: risk issues
G speech and language therapy value
G references
Therapists seeking detailed clinical guidance in relation to specific
client groups are advised to seek this level of detail within the
RCSLT Clinical Guidelines (2005), position papers and the
Reference Framework: Underpinning Competence to Practise
(2003), available on the RCSLT website at: www.rcslt.org

This information is designed to support speech and language
services undertaking reviews of service organisation and provision.
SLTs seeking detailed clinical guidance are referred to the RCSLT
Clinical Guidelines (2005), position papers and Reference
(2003), available on the RCSLT website: www.rcslt.org
Definition
‘Acquired motor speech disorders’ is a general label that covers

several distinct disruptions to speech arising from illness or injury to
the central or peripheral nervous system.
Speech changes resulting from problems of muscle function or the
nerve-muscle synaptic junction are also subsumed within the group
of disorders. Two broad classes of disorder fall under the label:
G Dysarthria, denoting a difficulty, due to neuromuscular changes,
in producing or sustaining the range, force, speed and coordination
of the movements needed to achieve appropriate breathing,
phonation, resonance and articulation for speech.
Chapter 8
G Apraxia of speech, representing a disruption to the selection,
programming and online control of the movements for speech.
There exist subtypes of neuromuscular disruption to speech, at least
at the impairment level, related to site of lesion, eg cerebellum, brain
stem, basal ganglia, upper motor neurone.
Speech changes associated with focal or generalised dystonias also
fall under the dysarthria label. There are also subtypes of disruption
to speech motor programming and online control.
Dysarthria and apraxia of speech may occur separately or
concurrently.
Cross-referencing with further chapter sections below is
recommended:
8.3. Aphasia
8.5. Bilingualism
8.6. Brain Injury
8.12. Dysfluency
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health
8.19. Progressive Neurological Disorders
8.24. Voice
7.2.1 AAC
National guidance and sources of further support and

information:
The following national guidance should underpin all service delivery
and developments:
G Scottish Intercollegiate Network Guideline on Management of
individuals with stroke: Rehabilitation, Prevention, Management of
Complications and Discharge Planning. SIGN 64, 2002. www.sign.ac.uk
8.1 Acquired Motor Speech Disorders 249

G Scottish Intercollegiate Network Guideline on Dysphagia. SIGN 78,
2004. www.sign.ac.uk
G Guidelines on Stroke (2nd edition), Royal College of Physicians, 2004
G National Service Framework for Long-term Conditions (NSF),
Department of Health (DH), 2005.
G Older People’s Services NSF, DH.
G RCSLT Clinical Guidelines section on Dysarthria, 2005.
www.rcslt.org/resources/
The following websites are a useful source of information on
Chapter 8
neurological conditions and links to relevant societies that will provide

support in the form of information and advice:
The Neurological Alliance:
www.neural.org.uk/pages/about/members.asp
National Academy of Neuropsychology
www.nanonline.org/nandistance/nanneuro/NeuroIll/index.html?
neuroIllmain
National Institute of Neurological Disorders and Stroke
www.ninds.nih.gov/disorders/disorder_index.htm
National Institute on Deafness and Other Communication Disorders
www.nidcd.nih.gov/health/voice/index.asp
National Spasmodic Dysphonia Association
www.dysphonia.org/(spasmodic dysphonia)
Glaxo Neurological Centre (hub for neurological disorders groups in
Great Britain)
www.glaxocentre.merseyside.org/index.html
Aetiology
Acquired motor speech disorders may arise in association with any
neurological changes that affect the planning or realisation of
movements required for speech.
The more common aetiologies seen are: stroke; traumatic brain injury;
progressive neurological disorders, (eg Parkinson’s disease and
atypical Parkinson’s syndromes, multiple sclerosis, motor neurone
disease, hereditary ataxias); nervous system infections; brain tumours;
focal dystonias; and isolated cranial nerve and spinal cord lesions.
Incidence and prevalence
Few reliable figures exist for the incidence and prevalence of
acquired motor speech disorders from any aetiology, though one

source cites them as being the most prevalent communication
disorder of all.
In stroke or brain injury more than 50% of people have been
described as having dysarthria or apraxia of speech, though this
figure clearly diminishes during the period of recovery.
In progressive neurological illness speech may be the first presenting
sign; at other times speech changes are a late manifestation. In
some neurological conditions speech disorders are an inevitable
consequence but in others, speech changes are a rare sequel (see
Chapter 8
section 8.19 Progressive Neurological Disorders).
Incidence and prevalence figures based on the screening of motor
speech performance have a further drawback as regards the true
number of speakers who may require services because of dysarthria
or apraxia of speech: speech impairment changes do not necessarily
predict impact on communication. Mild changes or changes
imperceptible to the listener may cause maximum disruption to the
life of one speaker and be a priority for change; severe impairment
may have little impact on another speaker and low priority for
intervention; for most aetiologies motor speech disorders exist as
part of a complex picture of disability.
Vulnerability: risk issues

SLTs must be fully aware of any risks that are specific to an
individual’s condition.
Cross refer to sections on Traumatic Brain Injury (8.6), Adult
Learning Disability (8.2), Progressive Neurological Disorders (8.19),
Head and Neck Cancer (8.15), and Dysphagia (8.14), in relation to
an individual’s health, psychosocial and emotional vulnerabilities.
Speech and language therapy value

Enabling an individual to achieve a mode of communication fitting to
their age, gender, social circumstances and desires, within the
limitations dictated by their neurological condition.
Principles
Aiming for optimum intelligibility may involve work at impairment level
on eg range, force, sustainability of movements, but intervention and
aims at this level are subordinate to effecting change in activity
limitation and participation restriction.
8.1 Acquired Motor Speech Disorders 251

Return to pre-morbid mode of communication, even in medical
conditions which can improve, may not be possible. In progressive
conditions speech and language therapy will not halt the inevitable
overall decline. Accordingly, a general principle is to aim for
compensated intelligibility by maximizing the communication potential
possible within the speaker’s current resources through strategic
manipulation of speech and non-speech variables.
Speech is only one medium of communication. It may be relevant to
supplement or supplant speech with other methods of
Chapter 8
communication. Refer to section on augmentative and alternative

communication (see section 7.2.1).
As communication always involves a listener as well as a speaker, it
is clear that speech and language therapy input supports listeners as
well as speakers.
Care pathway
As acquired motor speech disorders are almost invariably part of a
more complex picture of change, speech and language therapy care
pathways will reflect and be integrated into local and national
guidelines/pathways developed for specific groups, such as stroke,
traumatic brain injury, Parkinson’s disease, multiple sclerosis, cancer
care. Where specific guidelines have not been developed or remain a
matter of debate, (eg facial palsy), pathways and practices are
derived from general principles (see section 6.5.1.) and adapted from
existing pathways (see figure 1, pages 254-255).
It is unlikely that the SLT is the sole person working with an
individual, as care pathways involve multi-, trans- and inter-
disciplinary processes. At the same time there will be care pathways
specific to speech and language therapy involvement that feed into
the multidisciplinary team (MDT).
Accordingly, SLTs must be cognisant both of the national and
international guidelines on best practice for their area of work, as well
as local service agreements.
Development of care pathways for speech and language therapy
involvement is shaped by the evolving underlying medical picture and
the evolving real and perceived impact of changes on
communication for the individual as she/he and their carers learn of,
react to and adjust to, altered circumstances.
The elements of timing, intensity, aims and content of speech and

language therapy pathways of care for different groups are shaped
by: patterns of change in the overall medical condition; the impact of
this on individuals and their response/s to it; evidence for best practice
concerning timing, intensity, aims and content of intervention.
The overall pathway in speech and language therapy is diagnostic
assessment; followed by formulation of and negotiation of short and
long-term goals with all parties involved; episodes of speech and
language therapy intervention with ongoing monitoring of progress
towards goals; reassessment at key junctures; planned and
Chapter 8
measurable discharge; and clearly stated, workable onward and
sideways referral criteria.
The flow chart in figure 1 (pages 254-255) illustrates a sample model
pathway of care.
8.2 Adult Learning Disability (ALD)

therapy services undertaking reviews of service organisation and
provision. Therapists seeking detailed clinical guidance are referred
to the RCSLT Clinical Guidelines (2005), position papers and
Definition and aetiology

The World Health Organisation (WHO) define learning disability as
“a condition of arrested or incomplete development of the mind,
which is especially characterised by impairment of skills manifested
during the developmental period, skills which contribute to the overall
level of intelligence, ie cognitive, language, motor and social abilities”,
(1992).
More recently (2001), DH definitions have been based upon
functional descriptors and the level of support required by the
individual.
Learning disability includes the presence of:
G A significantly reduced ability to understand new or complex
information, to learn new skills (impaired intelligence), with
G A reduced ability to cope independently (impaired social
functioning); which started before adulthood, with a lasting effect on
development.
8.2 Adult Learning Disability (ALD) 253

Chapter 8
Figure 1: Level 3 Services for Acquired Motor Speech Disorders
Referral received

INITIAL ASSESSMENT:
(Standardised and informal methods)
• establish appropriateness of referral
• determine views of individual/carer
Appropriate DIAGNOSTIC ASSESSMENT

assessments Establish baseline measures on all key variables using valid, reliable,
of language repeatable formal and informal assessments
and other
cognitive All or some of the following are appropriate according to needs • speech
variables motor examination • perceptual assessments • instrumental assessments
They will cover: • respiratory function • phonation • resonance • articulation

• prosody • intelligibility
Assessment also encompasses repeatable measures of:

• communication skills profile • self and other perceptions of dysarthria/apraxia
• psychosocial impact on speaker and family • conversational partners
Audio/video records are recommended as well as score sheet summaries from

other assessments.
Report: Plan management: Onward referral
To referrer Individual involvement in goal setting eg AAC, self
Copies to help, support
relevant others organisation
Management 1. Education/explanation:
Advice, support, counselling and psychological support
2. Impairment-based 3. Compensatory approaches: 4. Augmentative approaches:

approaches: • Strategies for intelligibility, eg rate • Low tech aids, eg pen and paper,
• Physiological approaches with control, chunking communication charts
evidence base for efficacy • Adaptive strategies • High tech aids, eg VOCAS
• Perceptual-functional • Develop non verbal • Prosthetic compensation
approaches to increase communication strategies
intelligibility • Modification of environment
• Individual and group work • Training conversational partners
Evaluate progress With re-appraisal of speech and impact Re-assess

Liaise with
Plan management
team
Goal setting
Medical team
Liaise with team
Nursing Discharge • With planned and measurable criteria Implement
AHP • Inform of open self (re)referral management

Chapter 8
The NHS Scotland Health Needs Assessment Report (2004) has
used the definition from the Scottish Executive’s Review (2000) that
recognises learning disabilities as a significant, life-long experience
that has three facets:
G a reduced ability to cope independently
G a reduced ability to understand new or complex information or to
learn new skills (in global rather than specific areas)
G onset before adulthood, with a lasting effect on the individual’s
development.
Chapter 8
The most recent directive from the WHO suggests that that there is a
need to use a “diagnostic framework in conjunction with one that
provides a description of the consequences of the disability on
everyday functioning.” (1999).
recommended:
8.4. Autism Spectrum Disorder
8.7. Cerebral Palsy
8.14. Dysphagia
8.16. Mental Health
7.2.1 AAC
National guidance and support agencies

The following national guidance should underpin all service delivery
and developments:
G Valuing People: A new strategy for Learning Disability for the 21st
Century. Department of Health, 2001.
G Understanding the Patient Safety Issues for People with Learning
Disabilities National Patient Safety Agency. Department of Health,
2004.
G Same as you: A review of services for people with learning
disabilities. Scottish Executive, 2000.
G Improvement, Expansion and Reform: Ensuring that “all” means
“all”. Valuing People Support Team, DH 2004.
G RCSLT. ALD Position Paper, 2003. Available at: www.rcslt.org
G National Service framework for Mental Health, 1999. Department
of Health.
The following support agencies are a useful source of information
and advice:
G Down’s Syndrome Association www.downs-syndrome.org.uk

G Fragile X www.fragilex.org.uk
G Home Farm Trust www.hft.org.uk
G British Institute of Learning Disabilities (BILD) www.bild.org.uk
G Foundation for people with learning disabilities
www.mentalhealth.org.uk/fpld
G Learning Disabilities UK www.learningdisabilitiesUK.org.uk
G SENSE www.sense.org.uk
G Mencap www.mencap.org.uk
G National Autistic society www.nas.org.uk
Chapter 8
G MIND www.mind.org.uk

It is difficult to be precise about the number of people with learning
disabilities. Prevalence figures vary depending upon the definitions
applied, the age of the population and level of severity of learning
disability, (McLaren & Bryson, 1997; Welsh Health Planning Forum,
1992; Farmer et al, 1991. The Department of Health (2001) estimated
that in England there were 210,000 children and adults with severe
and profound disabilities and 1.2 million with mild and moderate
disability
In Scotland, Scottish Executive (2000), there are thought to be
120,000 people with learning disabilities; about 20 people in every
1,000 have mild or moderate learning disabilities and 3-4 people in
every 1,000 have severe or profound learning disabilities.
The Foundation for People with Learning Disabilities (2000) notes
that:
G Up to 90% of people with learning disabilities have communication
difficulties.
G About 60% of people with learning disabilities overall have some
skills in symbolic communication, such as speech, signs or picture
symbols.
G About 80% of those with severe learning disabilities do not acquire
effective speech.

G People with learning disabilities are at risk from being unable to
exercise their right to communicate, as they require very specific
assessment and support around all modalities of communication
(ASHA, 1992; Bradley, 1998).

G People with learning disabilities are at risk from being unable to
exercise real choice in their lives, as they may not have the means or
the opportunities. They need to be enabled to be more independent
and empowered to achieve the greatest possible autonomy (DH,
2001).
G People with learning disabilities and communication needs are at
risk from being unable to consent to intervention, life issues, etc (DH,
2001). Harm may result if a person with a learning disability is unable
to understand information relating to illnesses, intervention or
Chapter 8
interventions (NPSA, 2004).

G People with learning disabilities have greater health needs and
risks when compared with the general population (NPSA, 2004; DH,
2004);
G People with learning disabilities have an increased uptake of
medical and dental hospital services but a reduced uptake of
surgical specialities compared to the general population, with a
similar overall rate of hospital admissions and a reduced length of
stay.
G People with learning disabilities are vulnerable in general hospitals.
Lack of training for generic health staff in specific health concerns
suggests that there may be missed or wrong diagnoses (NPSA, 2004).
G Much of the health need is unrecognised and unmet. Symptoms
are linked to a person’s learning disability and not their illness.
G People with learning disabilities are at risk of receiving either no
service or an uncoordinated service from either mainstream mental
health services or specialist mental health support within specialist
learning disability services. This risk is due to the lack of
communication between mainstream psychiatry services and
learning disability psychiatry services.
G A very high number of people with learning disabilities receive
prescribed psychotropic medication, most commonly anti-psychotic
medication that has many possible side effects. Communication
difficulties make it harder to describe pain or symptoms and to
understand medical intervention and implication. People with learning
disabilities are at risk from lack of understanding around health
information, leading to illness or disease being misdiagnosed or un-
diagnosed, and therefore mistreated or untreated (NPSA, 2004). A
lack of accessible information creates a barrier to accessing
healthcare and appropriate intervention.

G People with learning disabilities have greater health risks than the
general population:
G People with learning disabilities are between 8.5 and 200 times
more likely to have a vision impairment compared to the general
population and around 40% are reported to have a hearing
impairment, with people with Down’s syndrome at particularly high risk
of developing vision and hearing loss.
G The prevalence of dementia is higher amongst older adults with
learning disabilities compared to the general population and people
Chapter 8
with Down’s syndrome are particularly at risk of early onset.
G Prevalence rates for schizophrenia in people with learning
disabilities are approximately three times greater than for the general
population.
G Reported prevalence rates for anxiety and depression amongst
people with learning disabilities vary widely, but are generally reported
to be at least as prevalent as the general population, and higher
amongst people with Down’s syndrome.
G There is a high prevalence of epilepsy (NHS, Scotland).
G People with learning disabilities may additionally have specific
acquired or developmental speech and language disorders.
G Communication difficulties make it harder to describe pain or
symptoms and to understand medical intervention and implication.
People with learning disabilities are at risk from lack of understanding
around health information, leading to illness or disease being
mistreated or undiagnosed, and therefore mistreated or untreated
(NPSA, 2004).
G A lack of accessible information creates a barrier to accessing
healthcare and appropriate intervention.
G The impact of a communication difficulty in addition to a learning
disability increases the incidence of challenging behaviour and/or
mental health issues:
G Expressive difficulties are linked to self injurious behaviour (Murphy
et al, 1993; Oliver, 1993).
G Language and communication problems are linked with challenging
behaviour (Celi, 1986; Chamberlain et al, 1993; Quine, 1986; Richman
et al, 1982).
G People with no speech and a good level of understanding have
increased behavioural problems (Bott et al, 1997).
G Increased risk of social exclusion – without shared communication

there is automatic exclusion and isolation (DH, 2001). Many people
with mild learning disabilities who can cope with most of day-to-day
living can have poor social networks. Some of these people may
withdraw and also experience mental health problems.
G Staff and carers of people with learning disability may lack
awareness, information and training around communication. This
presents a risk for people with learning disability as their carers do
not necessarily have the skills or knowledge base to identify or
manage their communication difficulties.
Chapter 8
G People with learning disabilities are at risk of not being asked

their opinions due to their communication difficulties. There are
many day-to-day tasks and events that people with learning
disabilities are excluded from, eg choosing day opportunities or
choosing who to live with. There is a risk of the client group not
being properly represented, ie being excluded from meaningful
consultation/ feedback events, being excluded from future
research due to consent issues. This is because consultation with
this client group is very difficult to achieve effectively.
G There is an increased risk of being both a perpetrator and a
victim of crime, people with learning disabilities are more
vulnerable to abuse of their human rights, and need support to
access the judicial system, both in cases of prosecution and
defence.
G People with learning disability are at risk of not understanding
information in public places and within the wider community.
G There are issues around stigma and society, and how people
with learning disabilities are valued.

In the context of working collaboratively across agencies,
professional groups and the lifespan of the person with a learning
disability:
G Promotion of communication skills for independence, choice,
inclusion and rights.
G Consideration of communication needs within the social model
of disability, respecting and promoting all modalities of
communication and linking all speech and language therapy
intervention with the life aims of the individual.
G Enabling maximal involvement of the individual.

8.3 Aphasia
provision. SLTs seeking detailed clinical guidance are referred to the
RCSLT Clinical Guidelines (2005), position papers and the
(2003), available on the RCSLT website at: www.rcslt.org
Definition
Chapter 8
Aphasia (sometimes also referred to as dysphasia) is an acquired,
multi-modal language disorder resulting from neurological damage. It
may affect a person’s ability to talk, write and understand spoken and
written language, leaving other cognitive abilities intact.
All languages can be similarly affected, including the sign languages
used by deaf people. In some individuals, the ability to use non-linguistic
communication, such as gesture and drawing, is also impaired.
Aphasia can co-occur with a number of other cognitive disorders that
may also affect communication, particularly in the case of traumatic
brain injury.
Aphasia is a long-term, life-changing condition, which affects both
the individual and others around him/her. Living with aphasia involves
individuals and those in their environment in a process of adaptation
to change, in terms of communication style, lifestyle, identity and life
roles. Although not a feature of aphasia per se, the influence of
cultural factors will have an affect on communication style.
recommended:
8.1.Acquired Motor Speech Disorders
8.2. Adult Learning Disability
8.5. Bilingualism
8.6. Brain Injury
8.10 Critical Care
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health
8.17. Palliative Care
8.23. Visual Impairment
7.2.1 AAC
8.3 Aphasia 261

National guidelines and sources of further support and
information
G National Clinical Guidelines for Stroke, 2nd edition. Royal College
of Physicians, 2004 www.rcplondon.ac.uk
G National service framework (NSF) for older people’s services.
Department of Health, 2001 www.dh.gov.uk/PolicyandGuidance
G NSF for long-term conditions. Department of Health, 2005
www.dh.gov.uk/PolicyandGuidance
G Scottish Intercollegiate Guidelines Network (SIGN):
Chapter 8
Guideline 64: Management of individuals with stroke: Rehabilitation,

prevention and management of complications, and discharge
planning, 2005.
Guideline 13: Management of patients with stroke part I:
Assessment, investigation, immediate management and secondary
prevention, 1997 www.sign.ac.uk
G RCSLT Clinical Guidelines, 2005 – section on Aphasia.
www.rcslt.org
G Mental Health Capacity Act. Department of Health, 2005.
www.mca2005.co.uk
G UK Connect www.ukconnect.org
G Stroke Association www.stroke.org.uk
G British Aphasiology Society www.bas.org.uk
G Speakability www.speakability.org.uk
G Aphasiahelp www.aphasiahelp.org
G Communication Matters www.communicationmatters.org.uk
G Different Strokes www.differentstrokes.co.uk
G International Classification of Functioning, Disability and Health-2
http://sustainable-design.ie/arch/ICIDH-2Final.pdf
Aetiology
Aphasia is an acquired problem resulting from a focal lesion in the
dominant hemisphere of the brain. In many people this is the left
hemisphere but the non-dominant right hemisphere is also known
to contribute to language function and damage here can result in
aphasia. Conditions such as stroke, brain injury and cerebral
tumour can produce aphasia.
Disordered communication can be seen in many neurological
conditions such as dementias, acute confusion, nervous system

infections, psychosis, traumatic brain injury, but this does not
necessarily indicate the presence of aphasia.
Prevalence and incidence

There are no official figures for the incidence and prevalence of
aphasia in the UK. Most people who have aphasia have had a
stroke. Over 130,000 people have a stroke every year.
Stroke affects between 174 and 216 people per 100,000
population in the UK every year and it is estimated that
Chapter 8
approximately 20-30% of stroke survivors experience aphasia.
Six months following a stroke it is estimated that of these
survivors, 15% still experience communication problems (Royal
College of Physicians, 2004).

Recent research in the UK (Hilari et al, 2003) has shown that the
health-related quality of life of people with aphasia after stroke is
significantly affected by their emotional distress, their activity level,
the severity of their communication disability and their overall
health.
Services for people with aphasia should aim to minimise
communication disability, address emotional health, and enable
participation in an individual’s social context and in the community
and society more generally (Brumfitt, 1993; Parr et al, 2003, 1997).
People with aphasia can have difficulty accessing information,
particularly written information, and this can affect their ability to
make informed choices. They may be considered incompetent to
make decisions or to resume pre-morbid activities owing to their
language difficulties.
Services for people with aphasia should aim to facilitate them to
participate in decision-making processes including educating the
professionals about aphasia and training them on how to facilitate
informed consent (Rose et al, 2003; Eames et al, 2003; Kayan,
1995).

Meeting the needs of individuals with aphasia in maximising their
potential for recovery of language, and in developing effective
conversation strategies that can be used by both the individual and
8.3 Aphasia 263

those they converse with, thereby maintaining their ability to influence
their environment, maintain social relationships and quality of life.

This information is designed to support speech and language therapy
Therapists seeking detailed clinical guidance are referred to the
RCSLT Clinical Guidelines (2005), position papers and Reference
Chapter 8
Framework: Underpinning Competence to Practise (2003), available

on the RCSLT website: www.rcslt.org
Definition
Autism Spectrum Disorder (ASD) is a life-long developmental
disability affecting communication and social skills. People with ASD
may also have accompanying learning disabilities but, whatever the
level of intelligence, everyone with the condition shares a difficulty in
making sense of the world.
ASD includes the condition Asperger syndrome. People with
Asperger syndrome are of average or above average intelligence
and generally have fewer obvious problems with language. However,
their expressive language is affected by underlying problems related
to ASD, including a very literal understanding of language, involving
difficulties in understanding metaphor and some inflexibility of
thought. This is likely to impact on communication and social
relationships (NAS, 2005).
Certain characteristics of ASD will be more prominent at certain
ages than at others, so the way that an individual presents will vary
during their lifetime.
Many children with ASD may show impairment and delays in
development from birth but this may not be recognised by either
parents or professionals within the first year. Possibly, one third will
show a regressive pattern often around 21 months (varying from 13-
23 months), in which word-use is lost, and eye contact and social
awareness diminishes. A very few children show normal
development to 24 months and beyond, and then regress.
Children with ASD are affected in a variety of ways and to very
different degrees. Pragmatic difficulties are always present and are
accompanied by a degree of speech, language and general

processing difficulty, which may in turn be linked to sensory
disturbances. The results of these difficulties may be expressed as
anxiety, frustration and challenging behaviour.
The International Diagnostic Standards for Autism Spectrum
Disorder are ICD 10 (WHO, 1993) and DSM 4 (American Psychiatry
Association, 2000). These relate to the ‘Triad of Impairment’ (Wing,
1988) involving:
G impairment in communication
G impairment in socialisation (empathy)
Chapter 8
G limited repertoire of interest (imagination)
G a developmental disorder with onset prior to 36 months that affects
all aspects of life.
Cross-referencing with the chapter sections listed below is
recommended:
8.5. Bilingualism
8.11. Deafness
8.14. Dysphagia
8.16. Mental Health
8.18. Pre-school Children
8.19. Progressive Neurological disorders
8.20. School-Aged Children
8.21. Specific Language Impairment
7.2.1 AAC

information
G The National Autism Plan for Children (2003) published by the
National Autistic Society (NAS) for the National Initiative for Autism –
Screening and Assessment (NIASA), describes a care pathway
involving a secondary and sometimes tertiary level of assessment
within a multidisciplinary forum.
G National Needs Assessment for Autistic Spectrum Disorder (Public
Health Institute of Scotland, 2001) contains information regarding a
care pathway for adults.
G Good Practice Guidelines for Services – Adults with Asperger
Syndrome (NAS, 2002).
8.4 Autism Spectrum Disorder 265

G The Scottish Intercollegiate Guideline (SIGN) – on assessment,
diagnosis & clinical intervention for children and young people with
ASD (in print).
G RCSLT Clinical Guidelines (2005) – section on ASD. www.rcslt.org
G OAASIS The Office for Advice, Assistance, Support and
Information on Special Needs www.oaasis.co.uk
G The ACE Centre Advisory Trust www.ace-centre.org.uk
G Quality Standard for ASD Diagnostic Services
www.scotland.gov.uk/Publications/2006/02/28084616/12
Chapter 8
Aetiology
The causes of ASD are not known, but research shows that genetic
factors are important. In many cases ASD may also be associated
with various conditions affecting brain development.
Co-morbidity factors such as epilepsy, hearing impairments, learning
disabilities, motor disorders, specific learning disabilities (dyslexia,
dyspraxia), attention disorders (attention deficit disorder [ADD],
attention deficit hyperactivity disorder [ADHD]) and psychiatric
disorders (obsessive compulsive disorder [OCD], anxiety and
depression, oppositional defiant disorder [ODD]) need to be identified
and addressed.
During the past decade the focus on autism research has increased
dramatically aiming to identify factors underlying the disorder and
effective methods of intervention.

The estimated population of people with ASD in the UK is 500,000:
an estimated prevalence of 91:10,000 (NAS, 2005).
These figures include those at the higher end of the spectrum who
may not need specialist services and support.
In the past the suggested sex ratio was 4:1 males to females
(Gilberg, 2002). However, in recent years, more females with ASD
have been identified. It is thought that many are missed as children
as they tend to be more socially robust (Attwood, 2004).

There is a considerable degree of overlap between children and
adults, as far as vulnerability and risk issues are concerned.
In children there is an:

G increased risk of stress and anxiety within the immediate family
G increased risk of difficulties in accessing the school curriculum
G increased risk of difficulties in forming and maintaining friendships.
As children enter puberty and move towards and into adulthood there
is an:
G Increased risk of isolation and loneliness: difficulties in forming
relationships, including sexual ones.
G Increased risk of social, emotional and sexual abuse due to
poor language, communication and social interaction skills.
Chapter 8
G Increased risk of mental illness (anxiety and depression):
choice making and access to advocacy and person centred planning
may be limited.
G Increased risk of challenging behaviour and/or self injurious
behaviour due to comprehension and expressive language difficulties.
G Increased risk of becoming involved in the judicial system
due to their behaviour or responses to other’s behaviour being
perceived as inappropriate. This can range in severity from slightly
odd to offending behaviour. As a teenager or young adult, individuals
with ASD are more at risk than their peers.
G Poor social awareness may result in difficulties expressing needs
and in inappropriate social and sexual habits, eg inappropriate
touching of others or masturbation at inappropriate times, stalking.
G Risk of misdiagnosis leading to inappropriate care and
placements. SLTs have a role in differential diagnosis of primary
diagnosis of ASD and in diagnosis of co-morbid conditions such as
dyspraxia, dyslexia, deafness, Tourette’s syndrome, as there is a risk of
diagnosis of ASD overshadowing, ie everything is put down to ASD.
Unusual patterns of language use can lead others to form
inappropriate opinions, (eg the individual may be diagnosed as
having schizophrenia or psychosis).

G To contribute to the diagnosis of ASD as a key member of the MDT.
For children, the core team consists of a paediatrician/psychiatrist,
clinical psychologist and an SLT. For adults, the core team consists of
a psychiatrist, clinical psychologist and SLT.
G To provide individuals with a means to make free choices, express
their feelings, to learn, and to increase their independence.
G To provide an environment which maximizes opportunities for
8.4 Autism Spectrum Disorder 267

individuals to develop their receptive and expressive communication
skills.
G To provide carers and educators with the means to support
individuals.
This includes ensuring that carers and educators are able to use
appropriate systems and levels of communication when interacting
with individuals, eg use of AAC, communication aids, communication
methods such as PECS, comic strip conversations and social stories,
narrative therapy and systems to support routine and structure
Chapter 8
involving an appropriate level of reference (eg objects, photos,

pictures, gesture, symbols, etc).
8.5 Bilingualism
Definition
Individuals or groups of people who acquire communicative skills in
more than one language. They acquire these skills with varying
degrees of proficiency, in oral and/or written forms, in order to interact
with speakers of one or more languages at home and in society.
An individual should be regarded as bilingual regardless of the
relative proficiency of the languages understood or used.
Any of the conditions listed within this chapter may occur in the
context of bilingualism. Cross-referencing with all chapter 8 client
group sections is therefore recommended.
National guidance and sources of further information

G RCSLT SIG Bilingualism Good Practice Guidelines. RCSLT (to be
revised, 2005).
G Race Relations (Amendment) Act, 2000.
G Sure Start planning pack: Sure Start for all: Guidance on involving
minority ethnic children and families. Department for Education and
Employment, 1999.

G Quality protects: Black and ethnic minority children and their
families. Department of Health, 1998.
G The NHS Plan: A plan for investment, a plan for reform,
Department of Health, 2000.
G Disability Discrimination Act,1995.
G Human Rights Act, 2000.
Prevalence
Bilingualism is not a disorder and it is not therefore appropriate to be
Chapter 8
considered as a condition with measurable prevalence.
There are few reliable official statistics on the number of bilingual
individuals in Britain and there is virtually no data available on
language use in Britain.
The UK Census 2001 indicates that 7.9% of the population is from a
minority ethic background and, although caution should be exercised
in equating a minority ethnic background with bilingualism, the links
between language, ethnicity and culture are widely acknowledged
(Battle, 1998; Schott & Henley, 1996).
There are over 300 languages spoken by children in London schools
(Literacy Trust, 2000). Winter (1999) reports that 59% of SLTs
working with a paediatric caseload in England have at least one
bilingual child on their caseload, with 11% of these having 20 or
more bilingual children on their caseload.
As bilingualism does not cause communication disorders, there is no
reason why bilingual children should have a different rate of speech
and language problems from a monolingual population (Crutchley,
1999; Crutchley et al, 1997a, 1997b; Duncan & Gibbs, 1989; Winter
2001).

G Assessment of the individual’s communication skills in all the
languages to which they are exposed. This detailed assessment will
facilitate the SLT to reach a differential diagnosis and establish if
there is a primary communication difficulty that does not arise as a
result of acquiring English as an additional language.
G Providing intervention in the individual’s mother tongue and
support the family in their use of mother tongue when
necessary/appropriate, ie when it is the individual’s preferred/
dominant language. Language choice should be discussed and
8.5 Bilingualism 269

agreed with families. With regard to children, the evidence base
demonstrates both the need for mother tongue therapy in cases of
speech disorder (Holm & Dodd, 2001; Holm et al, 1999) and the
efficacy of therapeutic intervention in the individual’s mother tongue
in language delay and disorder (Guttierrez-Clellen, 1999).
G Ensuring equal access and equal quality of care for all members of
the local population regardless of ethnic or linguistic background.
The use of trained bilingual SLTAs/ bilingual co-workers and
expertise in working with interpreters will ensure that bilingual
Chapter 8
individuals have access to all care pathways.

G Ensuring a clear, culturally appropriate explanation is provided in
the most appropriate language for individuals with dysphagia and
their families in order to minimise the risk of aspiration, chest
infections and malnutrition. Guidelines should be provided in the
most appropriate medium and language as well as demonstrated
and reviewed until fully understood.

Specific language impairment is under-identified within bilingual
children in the UK. These children are therefore not accessing
speech and language therapy services (Crutchley et al, 1997a,
1997b; Winter, 2001).
Similarly there is evidence emerging that bilingual children with
speech disorders are not being identified by referral agents and are
therefore under represented on speech and language therapy
caseloads (Stow & Dodd, 2005).
Bilingual individuals may be vulnerable to well-meaning, but ill-
informed, professionals who advise the abandonment of mother
tongue in order to facilitate the development of skills in English. SLTs
should not advise individuals and their carers to abandon their
mother tongue to facilitate progress in English.
The RCSLT recognises that bilingualism in an adult or child is an
advantage and does not cause communication disorders.
With regard to assessment and differential diagnosis, bilingual
individuals are vulnerable to misdiagnosis if linguistically and/or
culturally inappropriate assessment tools are used to reach a
diagnosis. An incomplete picture of their skills will emerge if only one
language is assessed.
There is also risk if normative data that has been developed with

monolingual populations is applied to bilingual individuals. SLTs
should strive to assess an individual in all the languages to which
they are exposed. When reaching a differential diagnosis, or writing
reports, SLTs should highlight any areas where lack of appropriate
assessment tools have prevented a full investigation of an individual’s
skills.
Lack of therapy material or written information translated into other
languages may mean that individuals are not able to access AAC
systems and families are not able to fully partake in intervention. As a
Chapter 8
result, compliance may be reduced.
Understanding the aetiology of a condition may be difficult, if
language barriers exist and bilingual co-workers are not present at
consultations.
8.6 Brain Injury

Definition and aetiology
The term ‘acquired brain injury’ (ABI) includes traumatic brain
injuries such as open or closed head injuries, or non-traumatic
brain injuries, such as those caused by strokes and other vascular
accidents, tumours, infectious diseases, hypoxia, metabolic
disorders, (eg liver and kidney diseases or diabetic coma), and toxic
products taken into the body through inhalation or ingestion (CARF,
1996).
Certain conditions can be associated with potential for repeated or
multiple insults to the brain, eg sickle cell disease, epilepsy, with
resultant complex and varied patterns of deficit.
ABI is the most common cause of new disability in childhood. It
refers to any injury occurring to the brain after the period immediately
around birth (Children’s ABI Interest Group, 2003).
Traumatic brain injury (TBI), also referred to as ‘head injury’, can be
described as ‘an insult to the brain, not of degenerative or congenital
nature, but caused by an external force that may produce a
8.5 Bilingualism 8.6 Brain Injury 271

diminished or altered state of consciousness’ (National Head Injury
Foundation, 1985).
TBI can be a result of either closed or open injury to the head.
Closed head injury describes trauma (such as that sustained in a
road traffic accident, fall, or non-accidental injury), that does not
result in opening of the skull and typically gives rise to diffuse
damage. Open head injury or penetrating injury (such as a gun-shot
wound), tends to give rise to more focal damage (RCSLT, 1996).
TBI includes the effects of direct complications of trauma, notably
Chapter 8
hypoxaemia, hypertension, intracranial haemorrhage and raised

intracranial pressure (BSRM, 1998).
Table 1: Classification of severity of head injury
according to severity (adult population)
Severity GCS Period of Post- Approx
(Glasgow altered traumatic incidence/
Coma consciousness amnesia 100,000
Scale) (PTA) population/
year
Mild 13-15 Less than Less than 250

15 minutes 1 hour
Moderate 9-12 15 minutes – 1-24 hours 18
6 hours
Severe 3-8 More than 24 hours or 8
6 hours more
recommended:
8.3. Aphasia
8.12. Dysfluency
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health
8.20. School-aged Children
8.24. Voice
7.2.1 AAC

National guidance and sources of further information and
support
G Establishing minimum recommended standards for post-acute
brain injury. Malia, K Duckett, S in Brain Injury, 2001, Vol.15, no. 4,
pp357-362.
G Rehabilitation following an acquired brain injury: National clinical
guidelines. British Society of Medicine and Royal College of
Physicians, 2003.
G Vocational assessment and rehabilitation after acquired brain
Chapter 8
injury. Inter-agency guidelines. Royal College of Physicians of
London, 2004.
G National Clinical Guidelines for Diagnosis and Management of
Stroke in Childhood. Royal College of Physicians, 2004.
G NICE Head injury. Triage, assessment, investigation and early
management of head injury in infants, children and adults. Clinical
Guidance, 4. June, 2003. www.nice.org.uk
G The National Service Framework for long-term conditions.
G Supporting People with Longer-Term Conditions. An NHS and
social care model to support local innovation and integration.
G Bournewood Consultation. Department of Health, 2005.
www.dh.gov.uk
G The Mental Capacity Act, 2005.
G Child Brain Injury Trust www.cbituk.org
G Headway www.headway.org.uk
8.6.1 Children with Acquired Brain Injury

Definition
Communication disorders in children following brain injury
TBI, both localised and diffuse, is likely to give rise to a complex
association of motor, cognitive, perceptual, emotional and
communication problems (CBIT, 1996).
There are other factors following a traumatic brain injury that affect
speech and language and impact on the child’s development and
communication skills. These may include medical problems, physical
disability as well as difficulties with attention and concentration,
8.6 Brain Injury 273

memory, speed of information processing, perception, executive
functioning (including control, planning and organisation),
behavioural and psychosocial issues. (Children’s ABI Interest Group,
2003)
As a child with an ABI matures and develops they may continue to
learn and communicate and do well in relation to formalised testing,
resulting in a misleading picture of recovery, particularly in relation
to the school environment. As the child grows, deficits in cognitive-
communication and executive skills may lead to difficulties with both
Chapter 8
new language and learning. As the brain becomes challenged with

more complex reading, writing and thinking, the need to both
recognise and respond to the increasing complexity of social cues
is more difficult. It is therefore important to monitor a child’s language
development and learning skills through adolescence (DePompei &
Blosser, 1998).
Overtime, new difficulties may appear that are directly related to the
brain injury. It is harder for people to connect the earlier brain injury
with later difficulties with behaviour and learning. For the child who
has a brain injury, time reveals instead of heals. (Lash & Associates,
1998).

Prevalence
Overall, ABI results in at least 3000 previously healthy children
acquiring significant disability every year in the UK.
In a large secondary school with 1,500 pupils, one child will acquire
a significant disability as a result of TBI every other year, although
this may not always be recognised (Children’s ABI Interest Group,
2003).
Incidence
Accurate statistics regarding children’s head injury are not readily
available as most studies focus on population as a whole. (CBIT,
2006).
TBI is the most common cause of death and acquired neurological
handicap among children over one year of age in the UK.
(Paediatric Epidemiology Group, 2005).
Each year, 160 per 100,000 children are admitted to accident and

emergency in the UK with TBI.
During the period 2000-2001, 112,978 hospital admissions in
England were made as a result of a head injury. Of these, 30%
were children under 15 years old. Estimated figures for Wales show
6,700 people were admitted to hospital, again 30% were children
under 15 years old (CBIT, 2006).
Trends
TBI in children is common and one in every ten children will sustain
Chapter 8
a significant head injury. Head injury accounts for over 150,000
attendances every year of children aged 14 years old, or under, at
casualty departments in the UK. More than 40,000 children are
admitted to hospital each year with head injuries in the UK.
G Approximately 33% TBIs occur at home, playing or during a
sporting activity.
G 15% of TBIs are due to falls.
G 10% of TBIs are caused by road traffic accidents.
G 5% of TBIs occur at school or as a result of assaults (Headway,
2006).

Children return to school (education) at various stages in their
recovery from ABI. Some return directly from an acute hospital
setting. Others may have participated in a rehabilitation programme
and still others may have been at home for extended periods, with or
without the benefit of home tuition (Children’s ABI Interest Group,
2003).
The age at which the brain injury occurs may be crucial to the
results of future recovery. Children are within a developmental
continuum and neurological development continues until
approximately 20 years old. Damage to specific areas of the brain
may not be apparent until skills mediated by those areas would
normally develop and this could be years after the initial injury
(Children’s ABI Interest Group, 2003).
Research has shown that even brain injuries considered as minor
can cause significant changes to the injured person’s behaviour,
personality and ability to learn (Acquire, 2006).
Children and young people are at risk of under-achievement and
even failure both at school and in higher education. They can be

prevented from gaining an independent lifestyle, successful
relationships and future employment (Acquire, 2006).
The lighter size and weight of children makes it possible for many
families to care for them at home. Rehabilitation programmes for
children are few and far between in the UK, and generally only
those who are most severely affected are considered for places
(Lash & Associates, 1998).
Younger children are at greater risk for difficulties in the future
because early brain development has been interrupted. They also
Chapter 8
have less life experience and skills to help them to adjust to

changes caused by brain injury (Lash & Associates, 1998).
The view that brain damage in children is less impairing than
equivalent damage in adults is no longer acceptable (Rose et al,
1997).
The challenges of paediatric rehabilitation seldom if ever fall within
the remit of any one professional and necessitate collaboration
between various disciplines at experimental and/or clinical levels
(Paediatric Rehabilitation, 2001).
For example the greater vulnerability of the developing organism to
physical insult and the failures of learning and development have
been extensively documented for many years, yet the persistent
notion that children do better after brain injury, than adults do, may
be responsible for the virtual absence of paediatric rehabilitation
and resources in this area (Paediatric Rehabilitation, 2001).
Even a mild brain injury can affect brain functioning. Even when a
neurological examination is normal, a mild brain injury can cause
changes in learning and behaviour that show up later at home or in
school (Lash and Associates, 1998).

G Provision of rehabilitation services for speech, language, cognitive-
communication disorders and dysphagia covering all stages of
recovery, from acute care to successful reintegration into an
educational setting.
Within acute hospital settings speech and language therapy should
form part of an MDT provision.
Within the community, speech and language therapy should be part
of a holistic multi-agency provision, including health, social services
and education services and address the following aims:

G Development and maximising of overall communication skills in
all environments.
G Introduction of sustainable strategies which minimise the impact
of cognitive and behavioural changes, subsequent to ABI, which
could otherwise impact upon successful reintegration to, and
progress in, school.
G Ensuring that schools and the education service providers are
aware of the potential long-term consequences of ABI, are alert
to possible new difficulties appearing as the child matures, and
Chapter 8
are aware of how to access re-referral to services if new concerns
do arise.
G Promotion of inclusion into school and social contexts.
G Promotion of access to the curriculum.
G Minimising secondary difficulties arising out of cognitive and
communication impairments, such as emotional and behavioural
difficulties.
G Supporting and educating parents as to the altered nature of
the child’s cognitive and communication abilities, and enabling
them to be proactive in ensuring that the ABI and its
consequences are recognised throughout childhood and
adolescence.
Speech and language therapy services are also committed to
increasing the overall awareness of the broader community
regarding the cognitive, communication and swallowing needs of
this client group.
8.6.2 Adults with Traumatic Brain Injury

Definition
This section has intentionally focused on TBI and not the full
range of brain injuries that come under the term acquired brain
injury (ABI), for example brain injury due to stroke. Information
about stroke can be found in the Aphasia section above.
However much of the remainder of this section will be
appropriate to adults following other forms of ABI due to non-
progressive or non-traumatic brain injuries, including brain injury
due to tumours, haemorrhages, infectious diseases, metabolic
disorders and neurotoxic products, as they share many clinical
features.

The acquisition of precise prevalence data is problematic and there
is no clear agreement. Few studies exist and results show the overall
prevalence as anywhere between 5% and 24% of a given population
(McGuire et al, 1998).
The prevalence of severe brain injury is about 100-150 per 100,000
population (Royal Hospital of Neuro-disability, 2001).
Incidence
Chapter 8
Head injuries requiring hospitalisation occur in the UK at the rate of

about 275 per 100,000 population annually (BSRM & RCP, 2003).
Every year 150,000 people in the UK will have a minor head injury,
10,000 will suffer a moderate head injury and 11,600 a severe head
injury (Headway, 2006).
For those suffering a moderate to severe brain injury (estimated at 25
per 100,000 population per year):
G 10-20% is likely to have a severe disability or prolonged coma.
G 65-85% will have a good physical (but not necessarily cognitive or
psychosocial) recovery (BSRM RCP, 2003).
G Only 15% of people with a severe head injury return to work within
5 years (Headway, 2006).
Aetiology
There is evidence that people who sustain a TBI can be
characterised in terms of age (predominantly 17-30); gender
(predominantly male) and socio-economic factors, (ie a tendency
towards limited education, vocational achievement and a history of
risk-taking behaviours) (Rimmel et al, 1990). Alcohol is a major factor
in many traumatic brain injuries (eMedicine, 2006).
G Road traffic accidents account for 40-50% and are associated with
severe traumatic brain injury.
G Domestic and industrial accidents account for 20-30%.
G Sport and recreation account for 10-15%.
G Assaults account for 10% (Powell, 2004).
Incidence
Cognitive-communication disorders
There are currently no incidence figures available for cognitive-
communication disorders (CCD) or cognitive-language disorders
(CLD), first described by Hagen (1984), however there is an

increasing amount of research and literature on the nature of
communication difficulties following diffuse or multiple brain lesions
concentrated in the temporal and frontomedial lobes of the brain
commonly associated with TBI.
CCD/CLD are difficulties that stem from the relationship between
commonly occurring cognitive difficulties following TBI, (eg impaired
attention, memory, self-monitoring, judgement, planning) and their effect
on language processing, language use and communication behaviour.
Like patterns of cognitive impairment post-TBI, these disturbances
Chapter 8
are highly variable with some characteristic patterns as well as
individual variations. These include:
G Altered communication behaviour reflecting reduced application
of social rules.
G Changes in the quality and effectiveness of communication
including reduction in verbal fluency, word retrieval and the
coherence and relevance of information supplied.
G Difficulty with processing complex written and spoken information
including understanding of inference.
CCDs may only impact fully when the person is attempting to return
to former life roles or activities, reflecting the multiple cognitive
demands that accompany many everyday communication activities.
Dysarthria occurs in approximately a third of the traumatic brain injured
population according to a US study (Murdoch & Theodoras, 2001).
Dysarthria is reported to be the most persistent of communication
impairments, resulting in significant impact on the traumatic brain injury
victim’s ability to regain functional independence (Beukelman &
Yorkston, 1991) (refer also to the section on Acquired Speech Motor
Disorder).
Aphasia is more common when there is more focal brain damage.
Data regarding prevalence is dated as it would previously have
included some cognitive communication disorders which are now
categorized in their own right. Incidence levels quoted vary from 2%
(Heilman et al, 1971) to 30% (Sarno & Levita, 1986) (refer also to
the section on Aphasia).
Apraxia of Speech (AOS) is a disturbance in the programming of
movements for speech which can exist without apparent
impairments in the speech muscles for non-speech tasks. This often
co-exists with dysarthria and aphasia but can emerge as the only
speech disturbance where brain damage is more localised.

Due to the more diffuse nature of brain damage after TBI, AOS is
more likely to co-occur with other communication disorders. It is nearly
always the result of left cerebral hemisphere pathology.
General incidence rates have been difficult to identify due to
difficulties with definition and diagnosis criteria, no figures are
available for the TBI population alone however, AOS was reported
as the primary speech pathology in 9% of the speech therapy
caseload (Mayo Clinic, 1987-1990; Duffy, 2005) (refer also to the
section on Acquired Speech Motor Disorders).
Chapter 8
Mutism is a condition in which the person does not speak and

makes no attempt at spoken communication despite preservation of
an adequate level of consciousness (Lishman, 1998). The
individual’s presentation needs careful assessment to distinguish it
from severe AOS, aphasia, anarthria, aphonia and or severe
psychomotor retardation.
Careful medical diagnosis is also required to differentiate mutism
resulting from an organic cerebral cause, eg akinetic mutism
associated with lesions in the upper brain stem, mutism resulting
from lesions in the frontal lobe etc, from mutism resulting from non
organic causes, eg affective disorders, psychosis, etc.
Aphonia, following traumatic brain injury, is a frequently reported
perceptual feature (Cherney & Halper, 1996; Scholefield, 1987)
(refer also to the sections on Voice and Acquired Speech Motor
Disorder regarding dysarthrophonia).
Dysphagia is a common complication of head injury. The reported
incidence of dysphagia in individuals with TBI ranges from 41-61%
(Cherney & Halper, 1996; McKay et al, 1999). Dysphagia results not
only from disordered physiology of the swallowing mechanism but
from compromised cognitive-communicative skills and behavioural
disorders (Halper et al, 1999) (refer also to the section 8.14.2 Adults
with Dysphagia: Risk Issues).

Impact of reduced communication on functional outcome
Some authors have suggested that communication abilities may play
the pivotal role in determining the quality of life after TBI (Najenson
1978). Communication disturbances following TBI are becoming
increasingly recognised as significant factors in:
G reconstruction of identity (Ylvisaker & Feeney, 2000).

G resuming former life roles, work re-entry, psychosocial adaptation and
forming and maintaining satisfying relationships (Marsh & Knight, 1991;
Brooks et al, 1980; Isaki & Turkstra, 2000; O’Flatter & Douglas, 1997).
G the person with TBI being identified by members of the general public
as mentally ill or learning disabled (Swift & Wilson, 2001).
Impact of reduced communication on carers
Communication disturbances following TBI have been shown to
place an increased strain on roles and activities both in and outside
care-giving situations (Connolly & O’Dowd, 2001).
Chapter 8
A hidden disability
Individuals are at risk of being discharged without adequate follow-
up, as more subtle cognitive-communication difficulties may go
undetected in the clinical setting (Snow et al, 1995) and the individual
themselves may have reduced/lack of awareness of the extent of
their symptoms until they return to normal life (Harrington et al, 1993;
Moss & Wade, 1996; King et al, 1999).
Neurobehavioural disability
The cerebral frontal lobes are particularly susceptible to deceleration
closed head injuries. Individuals with this kind of injury frequently
present with disorders of behaviour and cognition that persist long
after the post acute phase.
Neurobehavioural disorders can be seen as barriers to rehabilitation as
the learning process or application of learnt information is undermined
and the individual has difficulty inhibiting behaviour that is offensive or
embarrassing to others. The individual experiences emotional distress
through being unable to sustain relationships, and presents with a
disability that does not fit into conventional or psychological categories
of disability (Wood, 2001).

G Providing early assessment in the acute setting to enable early
identification of intervention for communication and swallowing
needs and the need for prompt transfer to either inpatient or
community based specialist rehabilitation services, (see also the
NSF for long-term conditions (DH, 2005) – QR 3 & 5).
G Providing well planned and goal orientated rehabilitation in a
specialist setting by expert professionals working in a coordinated
interdisciplinary team (IDT), (see also the NSF for long-term
conditions – (DH, 2005) QR 4).

G Providing well planned and flexible discharge to community living which
may include communication goals for trial periods in the community,
utilising and working with carers in specialist supported living facilities,
working in collaboration with providers of community rehabilitation,
supporting access to specialist equipment and providing training and
advice to care workers so that they can support the individual with their
communication or swallowing needs on a day-to-day basis, etc. (see also
the NSF for long-term conditions (DH, 2005) – QR 4, 5 & 8).
G Providing continued coordinated and goal orientated specialist long-
Chapter 8
term MDT rehabilitation in the community to improve longer term

outcome and self management and reduce hospital readmission or
secondary health or psychological complications related to risks
associated with communication and/or swallowing difficulties, (see
also the NSF for long-term conditions (DH, 2005) – QR 5).
G Providing a service that addresses the communication needs of
the individual at any time post onset in consideration of the
individual’s changing life aims and how their communication
difficulties impact on their ability to achieve independence and
inclusion in their life aim/s. This may be provided using a pattern of
‘review-intervention-review’ or provision of clearly defined points and
procedures for re-entry into speech and language therapy
rehabilitation or community services, (see also the NSF for long-term
conditions (DH, 2005) – QR 4).
G Fostering strong links and work on collaborative goals with other
agencies so that the individual with communication difficulties after TBI can
be supported in playing a full inclusive role in society, including accessing
public services, information, education, careers advice, employment, and
health, social and voluntary sector services and/or facilities, (see also the
NSF for long-term conditions (DH, 2005) – QR 5 & 6).
G Providing intervention that focuses on wider social participation
such as leisure and recreational activities including combined
working with other agencies in health, education, supported
employment, and voluntary sectors, (see also the NSF for long-term
conditions (DH, 2005) – QR 5 & 6).
G Supporting the individual’s family and carers in contributing to and
planning their own rehabilitation process, (see also the NSF for long-
term conditions (DH, 2005) – QR 4, 5 & 10).
G Providing intervention that assists individuals and their carers or
support workers develop the requisite knowledge, skills and

confidence to enable them to manage their communication difficulties
with greater independence This may include regarding accessing
speech and language therapy advice, intervention or consultation at a
future date as life goals or circumstances change, (see also the NSF
for long- term conditions (DH, 2005) – QR 4, 5, 10 & 11).
G Raising awareness of the needs of individuals with communication
difficulties after TBI within the multi-agencies involved in the post brain
injury sequelae so that the individual is able to access appropriate
support or training to reach the highest possible levels of
Chapter 8
communication independence, social inclusion and self determination.
8.7 Cerebral Palsy

Definitions
Cerebral palsy (CP) is persistent disorder of posture and movement,
due to a defect or lesion of the immature brain. It is not a specific
condition, rather an umbrella term covering a group of non-
progressive, though not unchanging, motor impairment conditions,
which range from multiple and profound to barely detectable.
There are two aspects to the motor impairments:
G The lesions affect the immature central nervous system leading to
delayed or arrested motor development.
G There are abnormal patterns of posture and movement due to
abnormal reflex activity.
CP includes a variety of conditions. The three main types correspond
to injuries to different parts of the brain:
G Spastic cerebral palsy (spasticity)
This is caused by impairment in the motor cortex of the brain and is
the most common form of CP. It is characterised by constant
increased muscle tone and weakness in the parts of the body
affected. This increased muscle tone (hypertonia) creates tightness
(stiffness) in the muscles, leading to a decreased range of movement
in the joints. The effects may increase with anxiety or increased effort,
8.6 Brain Injury 8.7 Cerebral Palsy 283

leading to excessive fatigue. This affects 70-80% of people with CP.
G Dystonic or dyskinetic cerebral palsy (athetoid cerebral palsy)
This is caused by impairment in the basal ganglia area of the brain.
It is characterised by involuntary and uncontrollable muscle tone
fluctuations, sometimes involving the whole body. The muscles
alternate between being floppy and tense and there will often be
difficulty in maintaining posture. The person usually has full range of
movement in their joints, but not the stability or coordination to
control their movements.
Chapter 8
Unwanted movements may be small, rapid, irregularly repetitive,

random, and jerky, sometimes referred to as choreic movements.
The unwanted movements may also be of a long, slow, writhing
nature. Someone with athetoid cerebral palsy will often appear
restless and constantly moving, only being still when fully relaxed
and sometimes only when asleep.
The movements will often become worse when the person is excited
or is attempting to do something.
Speech is nearly always affected to some degree, because of
difficulty in controlling the tongue, breathing and vocal chords.
Similarly there may be difficulties with eating and, the person may
drool (have saliva coming out of their mouth). This affects an
estimated 5-10% of people with CP.
G Ataxic cerebral palsy (ataxia)
This relatively rare form of CP, which affects less than 10% of people
with CP, is caused by impairment to the cerebellum, which is in the
base of the brain.
The cerebellum coordinates the actions of groups of muscles and is
responsible for, amongst other things, balance. As with athetoid CP,
all four limbs and the trunk are usually involved.
This impairment can lead to a general poor sensation of balance,
unsteadiness and staggering when walking. Tremors may also be
present when the person is attempting a task.
G Mixed cerebral palsy
It is not unusual for people with CP to have symptoms of more than
one of the previous three forms. The most common mixed form
includes spasticity and athetoid movements but other combinations
are also possible.
CP can be categorised further, by referring to the parts of the body
affected.

The three main categories are as follows:
G Diplegia: both legs are affected more than the hands and arms.
G Hemiplegia occurs where one side of the body (including arm and
leg) is affected.
G Quadriplegia/tetraplegia: all four limbs are involved together with,
usually, the trunk and neck. It is also known as ‘total body involved’.
Occasionally you may come across these categories:
G Monoplegia: only one limb is involved.
G Triplegia: three limbs are affected – usually both legs and one arm.
Chapter 8
It is important to remember that the trunk is involved in all limb and
head movements whether voluntary, for balance, or for locomotion.
Awareness of this is vital for positioning, both of the person and their
impairment.
Individuals with CP have their difficulties compounded by:
G epilepsy (about 10%)
G visual impairments: physical and/or perceptual difficulties
G hearing impairments
G learning difficulties
G a ‘specific learning difficulty’, ie a problem with a particular activity,
such as reading, drawing or arithmetic because a particular part of
the brain is affected.
recommended:
8.2 Adult Learning Disability
8.11 Deafness
8.14 Dysphagia
8.22 Specific Speech Impairment (dysarthria, dyspraxia, fluency and
prosody)
7.2.1 AAC
Sources of further information and support

G The British Association of Teachers of the Deaf (BATOD)
www.batod.org.uk
G The Communication Aids for Language and Learning (CALL)
Centre www.callcentre.education.ed.ac.uk
G Communication Matters www.communicationmatters.org.uk
8.7 Cerebral Palsy 285

G Council for Disabled Children www.ncb.org.uk/cdc/
G Dyspraxia Foundation www.dyspraxiafoundation.org.uk/
G Mencap National Centre www.mencap.org.uk
G National Autistic Society www.nas.org.uk
G RNID www.rnid.org.uk
G SCOPE www.scope.org.uk
G The Shaftesbury Society (Empowering disabled people)
www.shaftesburysoc.org.uk
Chapter 8
G The Association for Rehabilitation of Communication and Oral

Skills (ARCOS) www.arcos.org.uk
G British Institute of Learning Disabilities (BILD) www.bild.org.uk
Aetiology
Causes of CP can be multiple and complex. Studies suggest that CP
is mostly due to factors affecting the brain before birth. Known
possible causes include:
G infection in the early part of pregnancy
G difficult or premature birth
G a cerebral (brain) bleed. This is more common following premature
or multiple birth
G abnormal brain development
G a genetic link (though this is quite rare).
CP is present prior to birth for about 70% of children who have
cerebral palsy, although it may not be detected for months. An
additional 20% are diagnosed with CP due to a brain injury during
the birthing process. In most cases, the cause of CP is unknown
(SCOPE, 2006; UCP, 2001).

Incidence: approximately one in every 400 births is affected, ie
about 1,800 babies are diagnosed with CP in the UK each year
(SCOPE, 2006).
Prevalence: CP is a relatively rare condition affecting two or three
people in every 1,000 (Griffiths & Clegg, 1988; Parkes et al, 2001;
SCOPE, 2006).
Some research as shown that there may be a possible higher
incidence of cerebral palsy in some British ethnic communities
(Sinha et al, 1997).

Risk Impact Management of risk
Lack of recognition of Failure to develop the Team working
the learning abilities of skills and abilities of
individuals with CP the person with
cerebral palsy to their
optimum
Chapter 8
Inadequate seating, Increased physical Requires a team
positioning and access impairment which approach with
may result in short, occupational
medium or long term therapist and
physical damage physiotherapy
Inadequate Reduced Will require
identification of opportunities for input/involvement of
additional sensory communication and experts in these fields
impairments learning as part of the team
Increased risk of Inadequate nutrition Providing timely
eating and drinking plus increased risk of access to SLT when
difficulties including illness including required
attention to nutrition potential life
threatening illnesses,
eg pneumonia
Inadequate skills and Harm to health, Providing timely
knowledge of the spe- education and access to adequately
cific communication wellbeing skilled and
needs of this group knowledgeable SLT
(including AAC) when required
Lack of AAC supports Marked Team working
(when speech is not consequences for
developing to a point success in social,
where speech can be educational and
understood by most vocational aspects of
people) life
8.7 Cerebral Palsy 287

It is essential that the SLT works as part of an inter-/multidisciplinary
team to ensure the risks to people with CP are minimised.

G Promoting the development and use of effective communication
and language systems.
G Promoting the social, cognitive and motor skills which contribute
to effective communication, eg cause and effect, turn taking,
interaction.
Chapter 8
G Ensuring that individuals receive adequate nutrition. Individuals

should be able to take nourishment in ways that are safe,
comfortable and dignified. This may involve referral to a specialist
feeding clinic.
G Promoting the development of eating and drinking skills, ensuring
safe nutrition.
G Providing information and advice on oro-motor difficulties, including
reasons why articulation therapy may be ineffective and counter-
productive.
G Providing information and advice/therapy regarding the
management of drooling.
G Providing information, support, advice and training regarding
therapy procedures for those supporting the individual across the
individual’s environments.
G Ensuring that individuals with CP continue to have access to
speech and language therapy when needed across their lifespan.
G Promoting communicatively responsive environments, hence
facilitating communication for the individual with a wider group of
people.
8.8 Cleft Palate and Velopharyngeal Disorders

Definition
This group includes individuals born with syndromic and non-

syndromic cleft palate (with/without cleft lip) and those with
submucous cleft palate, non-cleft velopharyngeal
insufficiency/dysfunction, and oral maxillofacial anomalies but
excludes individuals with other craniofacial disorders.
recommended:
8.9. Craniofacial Conditions
8.11. Deafness
8.14. Dysphagia
Chapter 8
8.24. Voice

information
G Clinical Standards Advisory Group Report on the care and
outcomes in children born with a unilateral cleft, 1998.
G RCSLT Clinical Guidelines, section on Cleft palate, 2005.
www.rcslt.org
G Cleft Lip and Palate Association (CLAPA) www.clapa.com
G Maxappeal Support Group for 22q11 www.maxappeal.org.uk
G Changing Faces www.changingfaces.org.uk
G Contact a Family (CAF) www.cafamily.org.uk
Aetiology
When cleft lip/palate occurs with no other anomaly or associated
syndrome it has a multi-factorial aetiology involving both
environmental and genetic factors.
Current thinking is that there are probably multiple genes involved
which may interact, not only with each other, but also with
environmental factors. Environmental factors include certain drugs,
alcohol, pesticides, and maternal smoking. Most cases occur as a
one-off event in families but a family history is present in about a
quarter of cases.
The chances of a sibling of a child with a cleft lip and/or palate also
being affected are around 30-40 times the risk of the non-cleft
population (Lees, 2000). In the majority of cases the cleft will be the
8.8 Cleft Palate and Velopharyngeal Disorders 289

only defect, but clefts of the lip and palate may also be found in
association with other congenital anomalies, or may occur as part
of a well-defined syndrome.
More than 400 syndromes include cleft lip and/or palate. The most
common syndromes are Stickler and Velocardiofacial syndrome
both of which can be associated with Pierre-Robin sequence
(Harding and Sell, 2001).
Incidence
Chapter 8
Cleft lip and palate is the most common congenital craniofacial

abnormality affecting about 1 in 600-700 live births (Gregg et al,
1994; Sandy, 2003).
There is considerable variation in the presentation of clefts of the
lip and palate.
Incidence of different cleft types

Cleft lip alone (incidence 25%) may be complete or incomplete,
unilateral or bilateral.
When cleft lip occurs in association with cleft palate, unilateral
cleft lip and palate (UCLP), or bilateral (BCLP) may result. The
incidence of UCLP is 25% and that of BCLP 10%.
Isolated cleft palate has an incidence of 40%. The extent and
width is variable. In addition to overt clefts of the palate this client
group includes:
i. Submucous cleft palate: three characteristic signs are
associated with submucous cleft palate: a bifid uvula; a very thin
membranous central portion of the soft palate where the levator
palatini muscles are wrongly inserted into the back of the hard
palate and not joined in the midline; and a palpable notch at the
junction of the hard and soft palate.
ii. Non-cleft velopharyngeal insufficiency/dysfunction
(non-cleft VPI/VPD): can be caused by a muscle dysfunction,
ie hypotonia; dysarthria; or discoordination or by a structural
impairment, eg increased dimensions of nasopharynx
following adenoidectomy; trauma to the soft palate; or
disproportionate size of the nasopharynx in relation to
sphincter closure pattern.
Classic speech characteristics associated with VPI are described
as hypernasality and/or nasal emission with weak/absent pressure

consonants (plosives and fricatives) and/or a prevalence of nasal
consonants or glottal articulation.
The non-cleft VPI population represents as many as 50% of the
cleft specialists SLT caseload (Sell & Ma, 1996).
Issues in classification of cleft palate

Common descriptors of cleft type include complete/incomplete,
bilateral/unilateral, hard and soft, primary/secondary cleft palate,
and soft palate only.
Chapter 8
Use of different terminology can be ambiguous, no firm agreement
has been reached for clinical use but for more precise database
records, Kernahan’s striped Y classification gives a clear
diagrammatic display of cleft type.

Feeding difficulties, particularly in infancy and subsequent impact
on health and wellbeing.
Atypical speech development with the possibility of persisting
speech and/or resonance problems into teens or adult life
(Harding & Grunwell, 1996; Russell & Harding, 2001; Sell et al,
1998).
Without specialist therapy input, ineffective therapy can extend
over many years and optimal results may not be achieved.
There is mild/moderate fluctuating hearing loss in 90% of children
with cleft palate which may contribute to severity of speech
difficulties. Repeated grommet insertion and/or hearing aids may
be needed. There is some risk of long-term conductive hearing
loss.
Atypical dentition/dental malocclusion: most intervention occurs
from eight years-old to late teens.
Atypical facial growth affects appearance, causing dental occlusion
affecting speech and self-esteem and frequently requires
maxillofacial surgery at about nine to 10 years-old and possibly
more major surgery is required in late teens.
Dysphonia has a higher incidence in the cleft palate population
than the non-cleft population. A history of hearing loss may be a
contributory factor; as may hypernasality.
Cleft palate may have a negative impact on psychosocial and
emotional development throughout life, but primarily in major social

adjustment phases. For example, entrance to pre-school and
school with the combination of speech difficulties, a fluctuating
hearing loss and, in many cases, visible facial difference, may
have significant psychosocial and educational consequences for
children born with cleft lip and palate (Nash, 2002).
Non-cleft speech disorders such as phoneme specific
nasality/active nasal fricative might be inappropriately referred to
ENT and may be misdiagnosed as VPD which could result in
unnecessary surgery or inappropriate therapy.
Chapter 8
Non-cleft VPI/VPD or undiagnosed submucuous cleft identified in

community clinics, may be a feature of undiagnosed syndromes
such as Velocardiofacial syndrome or 22q11 deletion syndrome,
without referral to the cleft team accurate diagnosis may not be
made.
Referral of non-cleft hypernasal resonance and/or nasal emission
cases to ENT consultants can result in misdiagnosis and possible
unnecessary surgical intervention.
Management of risks at level of service organisation and

provision
The national standards of care set by CSAG report (1998) require
that all children born with cleft palate should have access to
specialist care provided by centres of excellence.
In the event of visible or suspected structural impairment, a
specialist therapist’s opinion is necessary to assess and advise
on specific speech difficulties in relation to structure so that
appropriate surgical, prosthetic and/or therapeutic intervention
can be planned (modified).
Specialist SLTs liaise closely with cleft team audiologists and ENT
services and incorporate principles relating to mild/moderate
hearing loss into therapy advice about pre-speech/speech
development.
Sufficient and timely specialist-led therapy during key periods of
speech development may introduce adaptive strategies to
maximise articulatory potential whilst minimising the use of
compensatory articulation (Harding & Sell, 2001).
Multidisciplinary discussions and decisions within the cleft palate
clinic help to ensure the most appropriate care at all stages of the
care pathway (CSAG, 1998).

Suspected cases of non-cleft velopharyngeal dysfunction (VPD)
or palate problems in community clinics should be referred to a
cleft specialist SLT for an opinion on the need for palatal
investigations.

Facilitation of normal speech, language and communication
development in the context of structural abnormality through
collaborative specialist interdisciplinary assessment, planning
Chapter 8
and management within and across specialist multidisciplinary
teams for cleft lip and palate and VPI/VPD.
This entails:
G Specialist clinical assessments and advice throughout
childhood and adolescence.
G Appropriate therapy offered either in specialist centre or
locally under guidance from the specialist practitioner/s based in
the surgical centre.
G Appropriate liaison with, members of the cleft team and local
health and educational colleagues across the network.
G Collaborative management of speech development in relation
to conductive hearing loss.
G Collaborative management of VPI/VPD with cleft surgeons
(Sell, 2005).
G Collaborative preparation for maxillary osteotomy with
maxillofacial surgeon, orthodontists and psychologists.
G Development of specialist services for specific clinics, eg
22q11 clinics.
G Teaching and CPD for community speech and language
therapy teams to extend knowledge and resources in local
services.
G Clinical and audit record keeping in accordance with national
guidelines.
Care pathway
The care pathway for cleft palate and velopharyngeal dysfunction
includes time windows for speech and language therapy contacts
related to cleft surgery; national audit data collection and routine
monitoring by local and/or central specialist speech and language
therapy services.

Figure 2: Care Pathway Example – Cleft Palate
Cleft centre
Birth 8-12 months 18 mths-2 yrs 3 years
Feeding Post palate SLT SLT

Liaison with repair assess- assess-
specialist Preventative ment ment
Chapter 8
nurses/ Advice
dysphagia
SLTs as
required
Advice and therapy packages

provided as appropriate
by specialist and/or
community SLT
Cleft
Velopharyngeal investigations
and pre/post operative SLT
assessments (including VPD

(or spoke locations)
5 years 10 years 15 years 20 years 20+
MDT MDT MDT Pre and MDT

Assess- Assess- Assess- post Assess-
ment ment ment operative ment
Chapter 8
and and and osteotomy and
national national national assess- national
audit audit audit ment audit
Ongoing liaison, information flow, advice and support

between cleft centre, spokes and community speech and
language therapy teams in collaboration with
parents/carers and individuals
centre
and fistulae), including
non-cleft VPD referrals at
any age

8.9 Craniofacial Conditions
Definition
Chapter 8
Craniofacial conditions affect the growth and development of the

structures of the face and skull. They may be congenital or acquired.
The major categories of craniofacial conditions are listed below:
Craniosynostosis – abnormalities of skull shape and growth
associated with premature fusion (synostosis) of the calvarial
sutures, occurring before or after birth.
These may affect single or multiple sutures:
(i) Single suture craniosynostosis – the most common sutures
involved are the sagittal suture (scaphocephalic skull shape) and the
metopic suture (trigonocephalic skull shape).
(ii) Multiple suture craniosynostosis – usually associated with
syndromic conditions. In addition to the calvarial suture, the sutures
of the facial skeleton, often the axial or appendicular skeleton are
also involved in syndromic craniosynostosis. Deformity of the facial
skeleton may result in functional disabilities such as proptosis; upper
airway obstruction; speech production difficulties and feeding
difficulties (Pereira, 2004; Shipster et al, 2003; Thompson & Britto,
2004). Visceral and CNS abnormalities may also occur in some
craniosynostotic syndromes.
Syndromes
(i) The four most common syndromes associated with multi-suture
craniosynostosis are:
G Apert syndrome
Characterised by craniosynostosis, mid face hypoplasia, syndactyly of
the hands and feet, class III malocclusion, open bite, choanal atresia
or stenosis, fixation of the stapes, reduced middle ear space with
chronic serous otitis media. The airway and orofacial structure may
result in feeding problems. Conductive hearing loss is common. There
may be cleft palate or the palate may be shaped like a Byzantine arch.

G Crouzon syndrome (craniofacial dysostosis)
Characterised by craniosynostosis, maxillary hypoplasia, ocular
proptosis, class III malocclusion, open bite. There may be feeding
problems due to choanal atresia or stenosis. Conductive hearing loss
is common resulting from ossicular abnormalities or chronic middle
ear disease.
G Pfeiffer syndrome
Characterised by craniosynostosis resulting in a clover leaf skull,
broad thumbs and broad great toes, shallow orbits and maxillary
Chapter 8
hypoplasia with class III malocclusion. There is airway compromise
caused by choanal atresia or stenosis resulting in feeding difficulties.
G Saethre-Chotzen syndrome
Characterised by coronal sutural synostosis, facial asymmetry, ptosis
of eyelids, conductive hearing loss, occasional cleft palate.
(ii)Treacher Collins syndrome
Treacher Collins syndrome is characterised by bilateral hypoplasia of
the cheeks and mandible.The malar and mandibular bones are
underdeveloped; the latter resulting in malocclusion of the bite.
Additional associations include malformed external ears, down slanting
palpebral fissures, coloboma of the eyelids, and hypoplasia of the alae
nasae and choanal atresia. Hypoplasia of the pharyngeal muscles may
cause feeding problems. Airway obstruction may also result in poor
feeding development and reduced growth (Gorlin et al, 1990).
(iii) Hemifacial microsomia
This is a large heterogeneous family of disorders and includes
several syndromes, (eg Goldenhar syndrome) in which there is
asymmetric development of the facial structures, primarily those
arising from the first and second branchial arches. Another popular
umbrella term used for these disorders is auriculovertebral spectrum.
Although the term ‘hemifacial’ denotes problems on just one side of
the face, the majority of individuals actually have abnormalities of
both sides of the face, with one side more severely involved than the
other (Gorlin et al, 1990).
(iv) Facial clefts
These are classified using the Tessier clefting system which
describes the clefts situated along definite axes. The Tessier system
is anatomic and descriptive. Clefts may be unilateral or bilateral and
soft and bony tissue is involved. There are some orofacial clefting
syndromes (Gorlin et al, 1990).
8.9 Craniofacial Conditions 297

(v) Neurofibromatosis (NF)
Craniofacial conditions are usually associated with Type 1
neurofibromatosis. Von Recklinghausen (1882) described NF as,
“characterised by abnormal cutaneous pigmentation and numerous
tumours developing in association with elements of both the central
and peripheral nervous system”. Functional problems include
learning disability, distractibility, impulsiveness, and language and
vocabulary deficit (Gorlin et al, 1990).
(vi) Bony and fibrous overgrowth conditions
Chapter 8
Vascular anomalies are lesions, which can occur anywhere on the

body. They are composed of disorganised blood vessels and cause
deformity of varying degrees, from mild to severe; the associated
functional problems can be minor to life threatening. Management of
anomalies affecting the face, base of skull and the brain require the
collective expertise of the craniofacial unit.
(vii) Encephalocele
This is a protrusion of a part of the cranial contents through a defect
in the skull. The mass may contain meninges (meningocele),
meninges and brain (meningoencephalocele), or meninges, brain
and ventricle (meningocephalocystocele) (Jackson et al, 1983).
There are many other craniofacial conditions. Comprehensive texts
are referenced at the end of this chapter.

information
There are currently four nationally designated craniofacial centres in
the UK:
G Birmingham Children’s Hospital and University Hospital
Birmingham
G Great Ormond Street Hospital, London
G Radcliffe Infirmary, Oxford
G Royal Liverpool Children’s Hospital, Alder Hey.
These are funded nationally by the National Specialist
Commissioning Advisory Group (NSCAG) to provide tertiary level
services for this client group.
Although many craniofacial conditions are rare, relatively large
numbers of individuals with craniofacial conditions are seen at these
units. Multidisciplinary evaluation and management is essential, due
to the complex nature of these conditions.

NSCAG requires that all individuals born with craniofacial conditions
have access to multidisciplinary specialist care provided by
designated craniofacial units.
G Changing Faces www.changingfaces.org.uk
G Headlines www.headlines.org.uk
Aetiology
“The origins of craniosynostosis are hereditary, mechanical,
teratogenic, and idiopathic” (Aleck-Kirk, 2004).
Chapter 8
It is beyond the scope of this document to identify all the factors that
may cause craniofacial conditions. The aetiology of single suture
synostosis is often unknown but occasionally there may be a genetic
basis or teratogenic basis. For example, sodium valproate exposure
has been associated with metopic synostosis.
Many syndromic craniofacial conditions have a genetic basis. For
example, syndromes associated with multi-suture craniosynostosis
are caused by mutations of specific genes.
recommended:
8.8. Cleft palate and Velopharyngeal Disorders
8.11. Deafness
8.14. Dysphagia
8.16. Mental Health
8.24. Voice
7.2.1 AAC
Incidence
Non-syndromic single suture craniosynostosis
(i) Metopic synostosis (trigonocephaly) 1:15,000 live births;
male:female, approx 3:1; more common in twins (Lajeune et al,
2001).
(ii) Sagittal synostosis (scaphocephaly) 1: 5000 live births;
male:female, approx 3:1; Sagittal synostosis accounts for 55% of all
cases of synostosis (Lajeune et al, 2001).

(iii)Unicoronal and bicoronal synostosis (plagiocephaly and
brachycephaly) 1:2, 100-2,500 live births (combined incidence); twice
as common in females.
Note: now recognised that a proportion of cases with unicoronal
synostosis are the result of FGFR3 mutation, ie Muenke syndrome.
(iv) Lambdoid synostosis prevalence 2.3 –2.9% of synostoses.
Syndromic multi-suture synostosis fusion of two or more
sutures (no formal incidence available)
Chapter 8
(i) Apert syndrome 1:100,000 live births; 15.5 per million births
(Cohen & MacLean, 2000); prevalence 4.5% of all craniosynostosis
cases.
(ii) Crouzon syndrome 1:25,000 live births; 16.6 per million births
(Gorlin et al, 1990).
(iii) Pfeiffer syndrome incidence not reported but accounts for
approximately 4% of all cases of craniosynostosis (Wilson, 2004).
(iv) Saethre-Chotzen syndrome 1:25,000 to 1:50,000 (Wilson, 2004).
Other syndromes:
Hemifacial microsomia 1:4,000 live births.
Treacher Collins syndrome 1:40,000 to 1:70,000 (often quoted as
1:50,000).
Neurofibromatosis 1:3,000.
Facial Clefts 1:5,000 or 1.4-4.9 per 100,000 live births (Otaki &
Kawamoto, 2002).
Communication
Individuals with craniofacial conditions are at high risk for
communication difficulties secondary to their oro-facial structures,
psychosocial factors, cognitive impairment, hearing and/or visual
impairment.
Whilst many children with single suture synostosis are not at risk of
speech and language difficulties, there has been an identified
increased risk for children with sagittal synostosis (Shipster et al,
2003) and metopic synostosis (Lajeune et al, 2001; Otaki &
Kawamoto, 2002; Wilson, 2004).
Aspects of speech and language development that may be affected
include:

G Language acquisition – may have developmental language
difficulties, also language acquisition may be detrimentally affected
by psychosocial, cognitive, hearing and environmental factors.
G Resonance and voice – may be affected by structural
abnormalities. Hyponasality is evident in a number of individuals with
syndromic conditions due to midface retrusion. Resonance requires
monitoring as it may alter following surgical intervention, eg
maxillofacial surgery.
G Articulation – errors due to structural problems, eg atypical
Chapter 8
dentition/dental malocclusion may mean individuals use
compensatory movements/postures to improve intelligibility.
G Phonological impairment may co-exist with other articulatory
difficulties.
Feeding
Feeding difficulties in children with craniofacial problems are poorly
described in the literature. Consequently, accurate prevalence is
unknown and the majority of our current knowledge in this area is
largely based on clinical experience and local evidence.
The two main predisposing factors in this cohort are abnormal oral
facial structure and upper airway obstruction. Other factors include
visual impairment, developmental delay, central nervous system
malformations, cardiovascular and respiratory anomalies and
gastrointestinal anomalies.
Feeding difficulties may be present in the oral stage or pharyngeal
stage of swallowing which may arise at any of the main stages of
feeding acquisition. There is also a risk of aversive feeding behaviour
secondary to frequent hospitalisations and poor/limited feeding
experiences. Assessment and management requires a
multidisciplinary approach as well as including both the carers and
the child themselves (Pereira, 2004).
Other considerations
G Psychosocial factors related to the impact of altered appearance,
reduced social opportunity, anxiety, reduced expectations of general
ability, academic achievement and communicative ability (Hearst,
2004).
G Frequent hospitalisations and medical appointments may have a
negative effect on the opportunities for social interaction and learning

and there may be an increased level of parental stress (Sarimski,
1998).
G Hearing – increased risk for hearing impairment due to persistent
otitis media with effusion and/or congenital conductive hearing loss
secondary to structural abnormalities of the outer and/or middle ear;
particularly in syndromic cases.
Management of risk
A specialist SLT is necessary to provide assessment for specific
Chapter 8
feeding, speech and language difficulties in relation to the

craniofacial condition (often structural) in order for appropriate
surgical and/or therapeutic intervention to be planned.
Specialist SLTs closely with both the craniofacial team and local
audiology and ENT services to ensure appropriate intervention.
There is a need to incorporate principles relating to mild/moderate
hearing loss into therapy advice about speech and language
development.
Multidisciplinary discussions and decisions within the craniofacial
clinic help to ensure the timing for the most appropriate care from all
disciplines at all stages of the care pathway.

Maximisation of the individual’s potential for communication and
feeding development, in the context of their craniofacial condition,
through collaborative specialist inter-disciplinary assessment, planning
and management within specialist multidisciplinary craniofacial teams.
This entails:
G Specialist clinical assessments and advice throughout childhood,
adolescence and adulthood.
G Therapy offered in conjunction with local services with guidance
from the specialist clinicians, and when appropriate, therapy offered
within specialist centres.
G Appropriate liaison with members of the craniofacial team and local
health and educational colleagues.
G Collaborative management of speech and language development
in relation to conductive hearing loss.
G When appropriate, collaborative management of resonance
problems with appropriate surgical colleagues.
G Collaborative preparation for maxillary osteotomy with maxillofacial

surgeon, orthodontists and psychologists.
G Frequent contact, teaching and CPD for community SLTs to extend
knowledge and resources in local services.
G Clinical and audit record keeping in accordance with national
guidelines.
8.10 Critical Care

Chapter 8
Definition
Critical care refers to the level of care given to a group of individuals
who are deemed to be critically ill.
In 2000, a Department of Health report recommended that, “the
existing division into high dependency and intensive care [services]
based on beds, be replaced by a classification that focuses on the
level of care that individual individuals need, regardless of location”.
The classification system of Intensive Care Society Standards (2002)
is as follows:
Level 0
Individuals whose needs can be met through normal ward care in an
acute hospital.
Level 1
Individuals at risk of their condition deteriorating, or those recently
relocated from higher levels of care whose needs can be met on an
acute ward with additional advice and support from the critical care
team.
Level 2
Individuals requiring detailed observation or intervention including
support for a single failing organ system or postoperative care, and
those ‘stepping down’ from higher levels of care.
8.9 Craniofacial Conditions 8.10 Critical Care 303

Level 3
Individuals requiring advanced respiratory support alone or basic
respiratory support together with support of at least two organ
systems. This level includes all complex individuals requiring support
for multi-organ failure.
Many individuals who are critically ill have requirements for the
support for their neurological, respiratory and digestive systems all of
which can impact on their ability to communicate and swallow
Chapter 8
independently. Presence of technologies to prolong life/enable

clinical management of the individuals with critical illness such
naso-pharyngeal airways as may also impact on communication and
oro-pharyngeal swallowing abilities.
recommended:
8.3. Aphasia
8.6. Brain Injury
8.14. Dysphagia
8.15. Head and Neck Cancer
7.2.1 AAC
National guidance
A Department of Health report (2000) recommended that “an
appropriately balanced team of staff including therapy professions
and support staff is essential to the effective delivery of critical care
services. The nature of the critical care service and its need to
operate on a 24 hour, seven day a week service, requires that
support staff must be available on a similar basis to professional
staff, according to workload and individual need.”
In June 2002, the Modernisation Agency produced a document
detailing multi-professional AHP roles, which “offer unique value to
individual care in the critical care setting”. This document was
produced because “historically, the roles and value of AHP and HCS
have been under acknowledged”.
Both documents state the benefits of the SLT within the critical care
setting and advocate that an SLT should be an integral member of
the team.

In addition, studies have shown that weaning is most successful
when a multidisciplinary team collaborates (Henneman et al, 2001).
This intervention decreased medical ICU lengths of stay (3.6 days)
and ventilator lengths of stay (2.7 days).
Aetiology
There are three main causes of communication and/or oro-
pharyngeal swallowing disorders in the critical care setting:
G Organic communication/oro-pharyngeal swallowing disorders such
Chapter 8
as those caused by stroke, head injury, Guillian-Barré Syndrome,
post surgical to oral cavity, pharynx or larynx, COPD (Martin-Harris,
2000), ARDS, spinal cord injury, etc.
G Concomitant communication/oro-pharyngeal swallowing disorders
such as the effects of critical care neuropathy (due to the disuse
atrophy of striated muscle) or the effects of technologies to prolong
life/enable clinical management of the individuals’ illness, such
naso-pharyngeal airways (Conlan & Kopec, 2000; Pannunzio, 1996).
G Functional communication/oro-pharyngeal swallowing disorders
such as resulting from critical care psychosis or clinical depression.
In addition, within the ICU environment an undervaluing of
communication can occur due to the level of arousal/medications
(Hemsley et al, 2001). Mechanically ventilated individuals report high
levels of frustration when communicating their needs (Patak et al,
2004).
Prevalence
Approximately 18.5% of hospitalised individuals require intervention
in a critical care environment, level 1-3 (North West London Critical
Care Network, 2003).
The literature reports a high range (50-70%) of aspiration reported
in this population (Elpern et al, 1987, 1994; DeVita & Spierer-
Rundback, 1990; Tolep et al, 1996; Leder, 2002; Gross et al, 2003).
Aspiration can frequently be seen in individuals requiring prolonged
ventilation of three or more weeks (Elpern et al, 1994; Tolep et al,
1996; Leder, 2002).
However, there have been numerous difficulties in trying to establish
the true prevalence and incidence of aspiration in the mechanically
ventilated population. The main reason for this is that aspiration is
8.10 Critical Care 305

identified in different ways in different studies. Thus some studies
employ bedside assessments (Elpern et al, 1987) and others use
instrumental techniques (Gross et al, 2003; Elpern et al, 1994; Leder,
2002).
In the studies that have employed instrumental techniques it is
reported that aspiration can be ‘silent’ or covert. This questions the
veracity of those studies that have relied on overt aspiration
detection; indeed, the true incidence of aspiration could be higher
than is reported.
Chapter 8
There are no studies to date that have examined the prevalence of

communication difficulties in this population. However, the inability to
speak and the associated communication difficulties that result are a
major source of stress for intubated individuals (Menzel, 1998). An
exit interview conducted in Derby Royal Infirmary found that 93% of
individuals complain of communication problems on ITU.
Vulnerability: Risk issues

The compromised communication and swallowing difficulties
experienced by individuals in critical care leads to a number of
clinical risks.
Communication disorders
Clinical risk: Inability to communicate effectively, (eg around a
clinical need such as pain).
Clinical risk: Compromised psychosocial wellbeing.
Clinical risk: Lack of reliable outcome measures.
Establishing communication for critically ill individuals is largely
overlooked in many critical care settings. At best, units may provide
communication boards or rely upon attempting to lip read. Both of
these options can be time consuming and frustrating for the
individuals and staff, leading to significant fatigue for the already
fatigued individual (Albarran, 1991).
Nurses often report feeling frustrated and incompetent when they are
unable to understand and meet their patients’ needs (Engberg-
Bergbom et al, 1989). Studies that look at the impact of being
communication difficulties in a critical care environment report that
“Anxiety, fear, insecurity and inability to sleep are all associated with
being unable to speak” (Menzel, 1994). Furthermore, being

ventilated and unable to communicate can lead to difficulties with
weaning (Arbour, 2000).
Many individuals in ICU describe feelings of disempowerment and
social isolation due to their inability to communicate effectively and
because they are unable to express how they feel (Hemsley et al
2001). Individuals’ inability to talk and communicate was the
dominant reason for anxiety during treatment with a respirator
(Engberg-Bergbom et al, 1989).
It is assumed that communication problems only affect the individual
Chapter 8
during the intubation period. However, there is evidence that, even after
discharge from hospital the psychological well being of many
individuals is affected. This often relates to communication difficulties
experienced during their stay in critical care (Hemsley et al, 2001).
Menzel (1997; 1998) demonstrated that self esteem and difficulties
with communication of individuals in an ITU unit who were unable to
speak were significantly associated with individual’s emotional
responses. Lack of communication can have a significant impact on
psychosocial and emotional well being of the individual and effect
reliable measurement of outcomes. These types of measures,
especially those looking at psychosocial factors, tend to be verbally
dependant. If the individual is unable to communicate results will be
skewed.
See the following sections regarding vulnerability in specific
diagnostic groups:
G Aphasia
G Acquired Brain Injury
G Progressive Neurological Disorders.
Swallowing disorders
Clinical risk: Aspiration pneumonia.
Clinical risk: Compromised nutrition and hydration.
Clinical risk: Increased length of stay due to weaning difficulties.
It is recognised that if the complex interrelationship between eating
swallowing and breathing is disrupted then impairment in swallowing
can result (Dikeman & Kazandijan, 1995).
Presence of aspiration pneumonia may result in:
G Increased length of stay in critical care (Carter Young & Durrant
Jones, 1990).
8.1 Acquired Motor8.10 Critical

Speech Care 307
Disorders
G Delayed rehabilitation or transfer to a ward.
G Need for prolonged alternative or supplementary feeding.
G Need for drug interventions.
G Increased time from other AHP’s such as chest physio.
G Increased stay in hospital: on average 5.5 days longer than other
individuals (Carter Young & Durrant Jones, 1990; Odderson et al
1995).
Nasal mask CPAP inhibits the swallow reflex by:
G Increasing the latency of response.
Chapter 8
G Decreasing the total number of swallows (Nishino, 1989).

See section regarding Vulnerability in Dysphagia

Risks can effectively be managed by having an SLT as an integrated
member of the team. The SLT works with the team to establish
methods of communication at an early stage and advise on the safe
introduction of oral intake for those presenting with oro-pharyngeal
dysphagia.
Where an organic communication/oro-pharyngeal swallowing
disorder exists, eg caused by stroke, head injury, progressive
neurological disease, a specialist SLT assessment of individuals in
the critical care setting may enable early identification of
communication and swallowing deficits and prompt commencement
on the appropriate pathways of care which might otherwise be
deferred until after transfer out of critical care.
Communication
SLTs can facilitate individual’s participation in intervention and
recovery within the critical care setting by providing:
G A differential diagnosis of communication difficulties caused by or
co-existing with the use of tracheostomy or mechanical ventilation.
G Specialist, individualised intervention/advice/strategies for the
individual to maximise communication ability.
G Specialist advice/strategies to family members and
multidisciplinary staff to minimise communication difficulties between
individual and others.
G Alternative communication devices both low and hi-tech, where
appropriate, to augment communication.

By providing timely and ongoing assessment and intervention and
providing effective communication strategies and/or aids there may
be a reduction in the negative emotional responses (such as fear,
anxiety, frustration) and an improvement in the psychological
wellbeing of the individual, family and staff (Dikeman & Kazandjian,
2003; Manzano et al, 1993).
By restoring or facilitating communication the individual may
participate more readily in intervention and provide valuable
feedback on clinical issues such as work of breathing which can
Chapter 8
often be the clinician’s greatest diagnostic tool (Isaki & Hoit, 1997;
Spremulli, 2005).
See the following sections regarding speech and language therapy
value in specific diagnostic groups:
G Aphasia
G Acquired Brain Injury
G Progressive Neurological Disorders.
Swallowing
SLTs can minimise preventable secondary respiratory complications
of swallowing difficulties, which arise from or co-exist with use of
tracheostomy/ventilator, by providing:
G Specialist evaluation of swallow function which may include
instrumental assessment using Videofluoroscopy or Fibreoptic
Endoscopic Evaluation of Swallowing (FEES).
G Information to the MDT on swallow status, to enable informed
decision making regarding tracheotomy or ventilator weaning and
commencement of oral intake including timing and types of food
and liquids.
G Specialist individualised intervention, advice and strategies to
maximise swallowing abilities.
By providing the above service the time taken to wean from the
tracheostomy/ventilator can be reduced and potentially reduce the
length of stay in critical care.
It is recognised that prompt intervention in the management of
dysphagia can prevent costly and life threatening complications,
such as aspiration pneumonia. Research has shown that the
incidence of aspiration pneumonia due to dysphagia can be
reduced from 6.7% to 0% through effective management (Odderson
et al, 1995).
8.10 Critical Care 309

8.11 Deafness
Chapter 8
Terminology
It is acknowledged that individuals may prefer alternative terms, (eg
partially hearing, hearing impaired, hard of hearing, deaf) but for the
sake of uniformity the term ‘deaf’ has been used throughout these
guidelines.
Where the word ‘deaf’ is used with lower case ‘d’, this usually refers
to a person with any degree of hearing loss who communicates
orally, using aids to maximise residual hearing. Deafness with upper
case ‘D’ is used to describe someone who identifies him/herself as
belonging to a cultural community.
Definition
Deafness can include children and adults with a congenital or
acquired bilateral permanent deafness that has a significant impact
on communication, educational attainment, employment and quality
of life. It is usually considered to be those with hearing losses of >40
dB HL (Fortnum et al, 2001; Gibbin, 2003).
Many people who are born deaf or are deafened early in life use
British Sign Language (BSL) to communicate. Many people in this
group consider themselves part of the Deaf community, which is
defined by the use of BSL. Current estimates suggest 50,000 people
in the UK use BSL as their first or preferred language.
An increasing proportion of people with severe and profound
deafness will receive cochlear implants and may continue to use
BSL. This group remains severely or profoundly deaf, but because of
increased access to sound, will require different input around their
communication needs to those without implants (Archbold, 2004).
A large number of children suffer from a temporary deafness caused
by Otitis Media with Effusion (or ‘glue ear’). For a proportion of
children, the educational difficulties caused will be significant. Many

of these children will be dealt with as part of other groups of
communication impaired people, for example they may form part of
the pre-school caseload or the cleft palate caseload.
Most of the deaf and hard of hearing people in the UK have
developed a hearing loss as they got older (RNID, 2006).
Deafness can also be defined by degree of hearing loss. The Royal
National Institute for Deaf People (RNID) defines the following categories:
G Mild deafness
Can cause some difficulty following speech, mainly in noisy
Chapter 8
situations. The quietest sounds that can be heard are 25-39 decibels.
G Moderate deafness
People with moderate deafness may have difficulty following speech
without a hearing aid. The quietest sounds they can hear are 40-69
decibels.
G Severe deafness
People with severe deafness rely a lot on lip-reading, even with a
hearing aid, as the quietest sounds they can hear are 70-94 decibels.
BSL may be their first or preferred language.
G Profound deafness
The quietest sounds that profoundly deaf people can hear average
95 decibels or more. BSL may be their first or preferred language, but
some prefer to lip-read.
Different individuals and their families respond differently to the same
degree of hearing loss. The effect of deafness on the individual
causes varying degrees of disability between one individual and
another, and depends on a large number of influencing factors.
Cross-referencing with further chapter sections as highlighted below
is recommended:
8.6. Brain Injury
8.8. Cleft Palate and Velopharyngeal Disorders
8.16. Mental Health
8.24. Voice
7.2.1 AAC
8.11 Deafness 311

This guidance does not currently include individuals with an auditory
processing disorder.
(Central) auditory processing disorder ([C]APD) refers to
difficulties in the processing of auditory information in the central
nervous system (CNS) as demonstrated by poor performance in one
or more of the following skills: sound localisation and lateralisation;
auditory discrimination; auditory pattern recognition; temporal
aspects of audition, including temporal integration, temporal
discrimination, (eg temporal gap detection), temporal ordering, and
Chapter 8
temporal masking; auditory performance in competing acoustic

signals (including dichotic listening); and auditory performance with
degraded acoustic signals.
Non-modality-specific cognitive processing and language problems
may manifest themselves in auditory tasks, (ie as listening problems);
however, diagnosis of (C)APD requires demonstration of a deficit in
the neural processing of auditory stimuli that is not due to higher
order language, cognitive, or related factors (ASHA, 2005).
Further information on APD may be accessed through the American
Speech-Language-Hearing Association’s (ASHA) website at:
www.asha.org; the British Society of Audiologists (BSA) website at:
www.thebsa.org.uk; the Auditory Processing Disorder in the UK
(APDUK) website at: www.apduk.org and the Defeating Deafness
information service, email: info@defeatingdeafness.org

support
G National Deaf Children’s Society (NDCS)/RNID guidelines relating
to Working with children under 2 (2004); Early years (2004); In
Education (2003); Transition from Child to Adult Services (2005); For
Cochlear Implant (2005) www.ndcs.org
G RCSLT Clinical Guidelines, section on Deafness, 2005.
www.rcslt.org
G Social Care for Deafblind Children and Adults. Department of
Health, 2001.
G Quality standards in education support services for children who
are deafblind/multi-sensory impaired. Sense, 2002 www.sense.org.uk
G RNID www.rnid.org.uk
G The British Association of Teachers of the Deaf www.batod.org.uk

G MRC Institute of Hearing Research
G British Deaf Association www.bda.org.uk
www.britishdeafassociation.org.uk
G British Cochlear Implant Group www.bcig.co.uk
Aetiology
Deafness can be either conductive (caused by a problem in the
sound-conducting mechanism of the external ear or middle ear) or
sensori-neural (caused by a problem in the inner ear resulting in a
Chapter 8
failure of the process of converting sound signals into nerve impulses).
Deafness can be further categorised as congenital or acquired.
Acquired deafness can be progressive or of sudden onset.
Aside from the most common causes of deafness, which are ageing
and Otitis Media in children, deafness can be caused by a variety of
factors, including:
G prematurity
G genetic
G infection
G trauma
G ototoxicity.
Of severe/profound congenital and early onset deafness, 50% has a
genetic origin.
A large proportion of cases of deafness are associated with other
difficulties. For example, Archbold et al (2004) found that 40% of
children receiving cochlear implants had difficulties in addition to
deafness.
The RNID estimates that there are 8.7 million deaf and hard of
hearing people in the UK, with 698,000 of these being severely and
profoundly deaf.
Approximately one in 1000 babies is born with a significant hearing
loss (Fortnum et al, 2001). This incidence of deafness rises over
time, so that by the age of nine years at least 1.65 in 1000 children
are diagnosed with significant deafness. This figure may be as high
as 2.05 in 1000.
The RNID estimates that there are 20,000 children in the UK with
deafness in excess of 40dB HL. It is thought that between 4% and
9% of these cases are acquired hearing losses.
8.11 Deafness 313

Of children with sensori-neural hearing loss, 40% also have visual
problems, some very severe (Hall & Elliman, 2002).
23,000 people are classified as deafblind. SENSE estimates that a
further 250,000 people experience some degree of combined sight
and hearing loss, many in older age.
90% of deaf children are born to hearing parents, and 90% of
children born to two deaf parents are hearing. Both these facts have
implications for speech and language therapy management.
Estimates for deafness caused by glue ear are in the region of 20%
Chapter 8
at the age of two years old, and 17% at the age of five.
The RNID estimates that there are 123,000 deafened people over 16
within the UK. The incidence of deafness increases with age, so that
2% of young adults (16-60) are deaf, compared with 55% of people
over 60 years-old and 60% of people 71-80 years-old. Of these,
5000 per year will experience sudden deafness.
There are increased incidences of deafness in some ethnic minority
groups. For example, the NDCS states that research carried out by
Bradford Social Services (1999/2000), indicates that children of
Asian origin are four times more likely to suffer from deafness.
Almost five in 1,000 Asian children in Bradford are deaf compared
with just over one in 1,000 among the non-Asian community.
G Increased risk of speech, language and communication
difficulties. Many deaf people rely upon spoken English as their
primary means of communication. However, they may be unable to
acquire the same level of competence as their hearing peers.
G BSL users rarely meet professionals who share their language.
This means communication is often compromised, which has
implications for the D/deaf person accessing all areas of healthcare,
public services, education and employment (RNID, 2006). This has
particular implications for those deaf people who need to access
speech and language therapy services.
G Increased risk of child protection and vulnerable adult issues.
G Increased risk of limited educational achievement in children with
significant degrees of deafness.
G Increased risk of limited employment opportunities (1999 figures
indicate 15% of deaf people unemployed, compared with 6% of
hearing people; 33% of deaf people earning less than £10,000,

compared with 11.8% of hearing people).
G Increased risk of mental health problems, behavioural, adjustment
and emotional issues (Hindley et al, 1994). In addition, there is a
scarcity of psychiatric and counselling services specifically for deaf
people.
These risks will become greater in situations where:
G deafness is suddenly acquired
G diagnosis of deafness is delayed
G diagnosis of progressive hearing loss, particularly in young
Chapter 8
children, is delayed
G the deaf individual has additional difficulties.

In the context of an integrated service with all other agencies:
G Identification of any specific language difficulties existing over and
above the impact of deafness.
G Supporting parents in their ability to communicate with and to
parent their newly-diagnosed deaf child. The sensitive and
considerate handling of early diagnosis of deafness is particularly
important (Hind & Davis, 2000).
G Facilitating language acquisition.
G Supporting the decision-making process of the family of a newly-
diagnosed deaf child, particularly when 90% of deaf children are
born to hearing families with no previous experience of deafness.
Issues to be considered include:
G mode of communication
G decisions about cochlear implantation
G nature of schooling.
G Providing assessment, diagnosis, and appropriate intervention to
deaf people with communication difficulties. Targeting the impact of
deafness on the individual, rather than the diagnosis and the degree
of deafness. Main focus on:
G functional communication
G improving speech intelligibility
G access to environmental sounds
G increased speech perception.
G Reducing the negative impact of difficulties with communication
caused by deafness.
8.11 Deafness 315

8.12 Dysfluency
Definition
Chapter 8
Developmental stammering occurs initially during childhood. The

overt speech symptoms will include some or all of the following: part
word repetitions, prolongations, and/or blocking. Coping strategies,
for example substituting difficult words, situation avoidance, or
changes in nonverbal behaviour may occur early or develop over
time. In addition, fear of stammering may cause psychological or
emotional distress (RCSLT, 2005).
Acquired stammering usually has a later onset but may also include
children and may be associated with a significant event, eg it may be
neurogenic, physiological, eg post viral fatigue syndrome;
pharmacological; psychogenic; or may be of idiopathic origin
(RCSLT, 2005).
Cluttering is usually characterised by perceptually fast/irregular
speech rate, poor intelligibility, repetition or cessation of sounds,
dysrhythmia, omission or elision of syllables. It may or may not
include stammering. Cluttering may co-exist with stammering,
language, literacy and/or motoric difficulties (RCSLT, 2005).
recommended:
8.6. Brain Injury
8.16. Mental Health

support
G RCSLT Clinical Guidelines, 2005, section on Dysfluency.
www.rcslt.org
G British Stammering Association www.stammering.org

Aetiology
Reflects large differences in theoretical orientation. The ‘balanced
view’, includes organic, psychogenic and learning aetiologies.
Genetics in 50% of cases (Yairi, 2005).
Stuttering is a multidimensional neuromotor disruption resulting in
asynchronous timing of the simultaneous and successive motor
movements necessary for relatively effortless, continuous and rapid
speech.
Stuttering is caused by the interaction of individually determined, yet
Chapter 8
unknown, predisposing constitutional factors with precipitating
developmental and environmental factors (Shapiro, 1999).
Neurophysiological, psychological, social and linguistic factors all
probably contribute to its onset and persistence (Guitar, 1998).
Prevalence
The usually accepted figure is 1% (Bloodstein, 1987; Andrews et al,
1983). The magnitude of the problem is felt to be much larger
amongst young children: an estimated 5% of children under the age
of 5-6 years (Yairi et al, 2005).
There are no reliable figures for adults, but it is suggested that
prevalence figures show a decline in stuttering after puberty to less
than 1% (Bloodstein, 1987; Andrews et al, 1983).

Individuals with dysfluency may be particularly vulnerable in the
following areas:
G Mental health
Indicators of difficulty may include:
G Depression, self harm, substance abuse, suicide
G Anxiety, social isolation
G Early childhood mutism (occasional).
G Social Interaction
G Interpersonal difficulties
G Social skills deficits
G Behavioural problems
G Isolation
G Consequences on ability and skill in making friends, forming
relationships.
8.12 Dysfluency 317

Figure 3: Care Pathway Example: Dysfluency
Referral
Pre-assessment questionnaire/information gathering

Chapter 8
Screening/
initial assessment
Low risk:
Evidence-based
Protocols for
protocols for full
monitoring and
assessment
review
Management recommendations embedded in

assessment, based on individual needs
A comprehensive range
of therapy programmes,
tailored to the Options: eg specialist
individual/built in reviews opinion, specialist alternative
and reflective provider and/or clinical
practice/supervision network
Explicit timetable for follow up, criteria for

discharge/re-referral and information
regarding additional support networks,
eg self help groups, BSA
Specialist care pathway

Low risk pathway
Local care pathway

G Employment/education
G School refusal, truancy
G Reduced higher educational choices
G Exam selection, (eg avoiding subjects with oral components)
G Academic disadvantage
G Reduced career opportunities
G Discrimination within the workplace.
Chapter 8
G Maximising the potential of children and adults with a disorder of
fluency to communicate effectively in the environments and
languages in which they need to function.
G Enabling families, carers and professionals to facilitate effective
communication in appropriate languages will be fundamental to
service delivery.
G Helping people who stammer understand their stammering
behaviour and enable them to make changes to their stammer, to
facilitate a reduction in avoidance of words, situations and people
and encourage easy, less effortful and more effective
communication, through both one to one sessions and group
therapy.
Prototype care pathway

Each step in the care pathway (see figure 3, opposite) requires
explicit criteria/protocols which are in line with RCSLT policy and
HPC requirements.
8.13 Dyslexia
The RCSLT is exploring the possibility of a multi-professional policy
review forum (to include SLTs, assistants, teachers and the National
Autistic Association) to produce a position paper in relation to
services to individuals with dyslexia.
8.14 Dysphagia
8.12 Dysfluency 8.13 Dyslexia 8.14 Dysphagia 319

Definition
The term dysphagia describes eating and drinking disorders which
may occur in the oral, pharyngeal and oesophageal stages of
deglutition.
Subsumed in this definition are problems positioning food in the
Chapter 8
mouth and in oral movements, including sucking, mastication and the

process of swallowing.
Eating and drinking is a highly complex, multi-system skill involving
anatomic stability, neuromuscular control and coordination, sensory
perception, gastrointestinal function, cardio-respiratory support and
integration from the autonomic nervous system.
Difficulties in sensory perception may create sensitivities and may
also lead to psycho-behavioural difficulties in relation to food and
drink (Wolf and Glass, 1996).
recommended:
8.3. Aphasia
8.6. Brain Injury
8.7. Cerebral Palsy
8.15. Head and Neck Cancer
8.24. Voice
support
G NSF Guidelines for Children and Young People (2004)
G RCSLT Clinical Guidelines (2005), section on Dysphagia
www.rcslt.org

G The Association for Children with Terminal or Life-threatening
Conditions (ACT) www.act.org.uk/act
G BLISS, the premature baby charity www.bliss.org.uk/
G Cleft Lip and Palate Association (CLAPA) www.clapa.com
G Contact a Family www.cafamily.org.uk
G SCOPE www.scope.org.uk
G Muscular Dystrophy Campaign www.muscular-dystrophy.org
G Down’s Syndrome Association www.downs-syndrome.org.uk
G British Dietetics Association www.bda.uk.com
Chapter 8
8.14.1 Children with Dysphagia
Definition
The client group includes babies, pre-school and school-aged
children as well as young people who have difficulties with eating and
drinking.
They may have additional anatomical, learning, communication, and
sensory, behavioural and physical needs. The nature of their
difficulties may be acquired or congenital.
Aetiology
Eating and drinking difficulties can be associated with a number of
different conditions:
G Prematurity.
G Neurological deficits, eg cerebral palsy, acquired traumatic brain
injury, Rett syndrome.
G Infectious diseases, eg meningitis.
G Neuromuscular disorders, eg muscular dystrophy.
G Respiratory difficulties, eg chronic lung disease, structural
abnormalities of the upper respiratory tract, tracheostomy.
G Cardiovascular disorders, eg congenital heart disease.
G Gastrointestinal difficulties, eg gastro-oesophageal reflux,
oesophagitis, oesophageal atresia.
G Craniofacial conditions eg cleft palate, Pierre Robin sequence.
G Congenital syndromes, eg Prader-Willi, Down’s syndrome.
G Learning disability, (see section 8.14.3).
Some children have isolated eating and drinking difficulties that may
be related to sensory difficulties and sensitivities. This is particularly
so for children with autism and those with a traumatic feeding history.
8.14 Dysphagia 321

The number of babies, children and young people with eating and
drinking difficulties is not clearly classified and therefore are not
clearly identified in the literature. However, consideration of data
related to specific conditions allows for some estimate to be made.
Cerebral palsy
The prevalence figures for dysphagia within the population of people
with cerebral palsy (CP) vary from 27% (Waterman et al, 1992) to
81%.
Chapter 8
The association between the severity of CP and eating and drinking

difficulties and oral-motor impairment has been demonstrated (Krick
& van Duyn, 1984).
Children with CP take up to fifteen times longer to complete a meal
(Gisel & Patrick, 1988).
A video fluoroscopy study demonstrated that 33% of the children
with CP were aspirating (Reilly et al, 1996).
Cardiac disorders
Approximately one in a hundred children with a cardiac disorder has
a risk of concomitant feeding difficulties (Children’s Heart
Foundation, 2006).
18% of children have been found to be dysphagic after cardiac
surgery (Khol et al, 2000).
Gastro-oesophageal reflux (GOR)
Feeding problems affecting behavior, swallowing, and food intake
and mother child interaction have been found to be common in
infants with GOR (Mathisen et al, 1999; Hyman 1994).
Oesophageal atresia
May affect one in every 4000 live births. Long-term follow up of
infants who have had an oesophageal atresia repair has shown that
between 60% and 70% experience problems with dysphagia
(Munro, 2003).
Cleft lip and palate
Cleft lip and palate affects approximately one in every 600-700 births,
(WHO Expert Committee, 2002; Craniofacial Anomalies Network, 2003).
Effective feeding is compromised by the inability to achieve negative
pressure, to draw fluid from the teat or breast (Bannister, 2001).
More complex feeding difficulties are common in the syndromic cleft
population, eg Pierre Robin sequence (Van den Elzen et al, 2001).
Craniofacial conditions

Feeding difficulties in children with craniofacial conditions are poorly
described in the literature. Consequently, accurate prevalence is
unknown and the majority of current knowledge in this area is
largely based on clinical experience and local evidence.
The two main predisposing factors in this cohort are abnormal oral
facial structure and upper airway obstruction. Other factors include
visual impairment, developmental delay, CNS malformations,
cardiovascular and respiratory or gastrointestinal anomalies.
The major craniofacial syndromes that may include feeding
Chapter 8
difficulties are: Apert; Crouzon; Pfeiffer; Treacher Collins; Nager and
Goldenhar (Pereira, 2004).
Learning disabilities
In a recent study, 57% of a group of people with learning disabilities
had some level of nutritional difficulties (Kerr et al, 2003) (see
8.14.3).
Autism
Some children with autism may have difficulties with food due to
sensory disturbances with smell and texture (Bogdashina, 2004).
Trauma
There is a high incidence of behavioral feeding difficulties
associated with children who have had a traumatic medical history,
eg tube feeding, surgery, tracheostomy etc (Douglas & Harris, 2001).

Children who do not have appropriate dysphagia management are at
increased risk of:
G aspiration
G respiratory infection
G choking
G poor nutrition and weight loss
G poor health
G hospital admission due to respiratory illness
G anxiety and distress within the family
G reduced quality of life
“Whilst the main purpose of eating is to achieve an adequate intake of
food in order to sustain growth, the process of eating is not just one of
sustaining life: in human societies it is a social event. Infants undergo
their earliest communication experiences during feeding” (Reilly,
1993).
8.14 Dysphagia 323

It is recognised that any difficulties during mealtimes impact “not only
on the physical but also the emotional and well being of the
individual” (Arvedson & Brodsky, 1993).
Risk management at the level of service organisation and

provision
Competence: Therapists working in this field should have a basic
expertise and competence to practice independently at a post
registration training level. An SLT at graduate level will have basic
Chapter 8
management skills for eating and drinking difficulties, but will require
supervision and support to develop advanced specialist knowledge
and skills related to certain areas such as craniofacial conditions,
prematurity and tracheostomy.
A therapist involved in videofluoroscopy assessment must be
trained to evaluate the risk of radiation involved in the procedure.
MDT working: A multidisciplinary approach is essential within
paediatric eating and drinking management. It will ensure efficient
management, joint goal setting, and minimise confusion for the
parents (McCurtin, 1998).
The feeding management of children with cleft lip and palate is
primarily under the role of the clinical nurse specialist within the cleft
lip and palate team.
Location of therapy: Input should occur in the most natural and
comfortable setting for the child/young person – at home and at
school. Children may also be seen in hospital as part of the evaluation
process.

G Specialised assessment including objective assessment
methods.
G Safe maximisation of the child’s eating and drinking potential,
using appropriate strategies that promote safe and adequate
nutritional intake within a setting which supports and enhances the
child/young person’s wellbeing.
G Supporting the child and significant others in choosing between a
number of feeding options and strategies where oral feeding will not
be possible.
G Supporting parents/significant others in the process of making
mealtimes pleasurable.

G Identification and management of risks to the child as a result of
dysphagia.
8.14.2 Adults with Dysphagia
Definition
The term swallowing “refers to the entire act of deglutition from
placement of food in the mouth through the oral and pharyngeal
Chapter 8
stages of the swallow until the material enters the oesophagus
through the cricopharyngeal juncture” (Logemann, 2001). “The term
dysphagia refers to an impaired swallow. The impairment can occur
anywhere from the mouth to the stomach” (Perlman & Schulze-
Delrieu, 1997).
Aetiology
Dysphagia can occur as a result of any of the following medical
disorders:
G Neuromuscular disorders, eg stroke, PD, MND, MS, PSP, GB, brain
tumour, subarachnoid haemorrhage, Wilson’s disease, dementia,
polyneuropathy, head injury.
G Head and neck cancer, eg laryngeal cancer.
G Oncology, eg lung cancer.
G Cardiopulmonary disorders, eg chronic obstructive pulmonary
disease
G Autoimmune disorders, eg HIV, lupus, rheumatoid arthritis.
G Connective tissue disorders, eg scleroderma.
G General medical disorders eg UTI.
G Disorders associated with the elderly, eg cervical osteophytes.
G Disorders caused by trauma, eg smoke inhalation.
G Vascular disorders, eg Bechet’s disease.
G Swallow disorders as a result of surgery, eg base of skull surgery,
thyroid surgery.
G Tracheostomy.
G Ventilator dependent individuals, eg post-extubation related
dysphagia
G Drug related causes, eg long-term use of some anti-psychotic
medications.
G Psychogenic causes.
8.14 Dysphagia 325

Stroke
Stroke is the most common cause of adult disability in the UK.
Stroke affects approximately 200 people per 100,000 UK population
every year (National Clinical Guidelines for Stroke, 2004).
Observational studies have shown that 30-40%of conscious
individuals who have experienced stroke have significant dysphagia
on the day of stroke and 15-20% at one week post stroke (RCSLT,
Chapter 8
2005; Smithard et al, 1996).

At one month post stroke, 2% of stroke survivors will have swallowing
problems (RCSLT, 2005).
Other neurological deficits

Dysphagia is also commonly associated with other neurological
deficits, eg Multiple Sclerosis; Parkinson’s disease; traumatic brain
Injury; motor neurone disease; head and neck injury or carcinoma
(RCSLT, 2005).
Parkinson’s disease
Incidence: 17 per 100,000 UK population each year, ie 10,000
new cases per year.
Prevalence: 200 per 100,000 UK population, ie 120,000 cases in
the UK. 41% of individuals with Parkinson’s indicated impairment
of chewing and swallowing abilities (Hartelius & Svensson, 1994).
Multiple Sclerosis (MS)

Incidence: MS is diagnosed in 3.5 to 6.6 people per 100 000 each
year (NICE, 2004).
Prevalence: 144 per 100,000 UK population (MS Society, 2006).
There have been few studies on the prevalence of dysphagia in MS
(NICE, 2004).
33% of the MS individuals in one study indicated impairment of
chewing and swallowing abilities (Hartelius & Svensson, 1994).
Dementia
Prevalence: Dementia currently affects over 750,000 people in the UK
Dementia affects one person in 20 aged over 70 years and one
person in five over 80 years of age.

The number of people with dementia in the UK has been estimated
as follows using population figures for 2001 (RCSLT, 2005):
G England: 652,600
G Scotland: 63,700
G Northern Ireland: 17,100
G Wales: 41,800.
Studies that look at the incidence of swallowing difficulty in dementia
show a high rate of dysphagia:
G 68% of those in a home for the aged (Steele, 1997).
Chapter 8
G Bronchopneumonia was the leading cause of death in Alzheimer’s
disease; 28.6% in this study were found to be aspirating (Horner et
al, 1994).
G Swallowing problems are also a concern in other types of
dementia, eg vascular dementia (Stach, 2000) and those conditions
where neurological signs are present alongside cognitive
impairment, eg Huntington’s disease; progressive supranuclear
palsy; Parkinson’s disease and dementia with Lewy bodies
(Logemann, 1998).
There are no prevalence figures for dysphagia in some neurological
populations.

Individuals who do not have appropriate dysphagia management are
at high risk of:
G aspiration (Smithard et al, 1996)
G developing respiratory infection (Doggett et al, 2001)
G choking and death (Marik & Kaplan, 2003)
G poor nutrition and weight loss (Wright et al, 2005)
G poor health (Hudson et al, 2000)
G anxiety and distress within the family (Choi-Kwon et al, 2005)
G hospital admission or extended hospital stay (Low et al, 2001)
G reduced quality of life (Nguyen et al, 2005).
Risk management at the level of service organisation and

provision
Competence: SLTs working with individuals with dysphagia should
meet the RCSLT dysphagic competencies.
Managing risks associated with videofluoroscopy
8.14 Dysphagia 327

Competence: SLTs who participate in videofluoroscopy should
have the appropriate training, be competent and meet the RCSLT
competencies and guidelines. Considerable clinical judgement is
required when conducting this procedure as the study may have to
be further modified or terminated if the individual appears unable to
protect the airway even after use of intervention techniques (ASHA,
2002).
Safety: Local radiation safety procedures should be adhered to.
Care should be taken to limit the field and duration of the
Chapter 8
exposure, while at the same time, gaining sufficient clinical

information to address the purpose of the study. Local infection
control procedures should be adhered to.
MDT working: Based upon the results of the study, the SLT
should interact as a member of a team to plan safe swallowing
strategies to insure proper nutrition and to make recommendations
regarding oral versus non-oral feeding safety (ASHA, 2002).
Managing risks associated with FEES

Competence: Post-graduate training and clinical experience in
the use and interpretation of FEES has two main components:
1. Hands on training in handling an endoscope safely and
effectively
2. Knowledge-based training in indications for the examination,
how to perform the examination, how to interpret abnormal
findings, and how to use FEES in dysphagia management
(Langmore, 2002).
SLTs performing FEES examinations or participating in FEES
examination should be competent in this procedure and meet the
RCSLT competencies and guidelines.
SLTs performing FEES or participating in FEES examination
should have knowledge of the contraindications for the procedure,
eg individuals with a history of broncospasm or laryngospasm,
extreme movement disorders, those who cannot tolerate the
endoscope (Aviv et al, 2000; Murray & Carrau, 1999).
Managing risks associated with scintigraphy

Competence: SLTs who participate in scintigraphy should have the
appropriate training.
MDT working: Scintigraphy should be carried out with the

appropriate medical and imaging staff, as well as speech and
language therapy.
Safety: Individuals should not be ‘over exposed’ to aspiration during
the procedure. Risks associated with manometry/
electromyography/ultrasound/MRI (Murray & Carrau, 1999).

Provision of an efficient, effective and comprehensive assessment
and management service tailored to individual needs and delivered
Chapter 8
within the context of multidisciplinary working.
8.14.3 Adults with Learning Disability and Dysphagia
Definition
Adults with a learning disability (ALD) who have developmental or
acquired dysphagia.
National guidance
G Department of Health, Valuing People, 2001.
G National Patient Safety Agency, 2004. Understanding Patient
safety issues for people with learning disabilities
G RCSLT ALD Position Paper. RCSLT, 2003 www.rcslt.org
Aetiology
It has long been accepted that ALD have a higher incidence of
additional health problems than the general population. These
problems include increased respiratory difficulties, poor nutrition and
hydration, and choking (Aziz & Cambell-Taylor, 1999).
Dysphagia has been identified as a key risk area for people with
learning disabilities (NPSA, 2004).
In recent reports by Watson (2004) and Crawford (2005), SLTs
working in the UK identified the following as primary causes of
dysphagia in the people they were working with. Featuring most
highly were:
G Neurological causes of dysphagia including CP and particular
syndromes, for example Rett’s syndrome, Down’s syndrome, and
Down’s syndrome with dementia.
G Profound and multiple/complex learning disability.
8.14 Dysphagia 329

G Dysphagia associated with behavioural difficulties
G Dysphagia without a specific causal factor
The following were also identified as causes of dysphagia:
G autism
G head injury
G psychiatric illness
G stroke
G cerebral tumour
G neurological degenerative conditions such as, MND, MS and
Chapter 8
Parkinson’s disease.
In addition:
G Anatomical problems can cause sensory and motor problems
which make eating and drinking more difficult or uncomfortable.
G Gastro-oesphageal reflux is common in people with learning
disabilities and physical difficulties and is associated with a higher
level of eating and drinking difficulties. Management of reflux may
not be routine and can complicate a dysphagia (Koufman, 2002).
G Medication use (especially Clozapine) and medication
complications can cause or exacerbate dysphagia (Schechter, 1998;
Sokoloff & Pavlakovic, 1997).
Prevalence
There is still limited research in the area of dysphagia in adults with a
learning disability. The research that exists confirms that it is a
significant difficulty, resulting in serious health consequences for
adults with learning disability.
G Swallowing difficulties are more common in people with learning
disabilities (NPSA, 2004).
G A US study (Rogers et al, 1994) found 33% of individuals in a long
stay institution were referred for advice on feeding disorders.
G 5.3% of community-based individuals and 36% of hospital based
individuals displayed dysphagia (Hickman & Jenner, 1997).
G Over a period of six years, 5.27% of all ALD in the Manchester area
were referred for advice regarding dysphagia (Chadwick et al, 2003).
G An audit in 2004 (Watson, 2004) found that 54.6% of people on
adult learning disability dysphagia caseloads had CP or severe and
complex needs.
G Dysphagia increases with the degree of physical difficulty
(Hardwick, 1993) and is complicated by conditions such as epilepsy.

Different types of dysphagia in ALD
A US study found that 70% of individuals had oral stage dysphagia,
82% had pharyngeal, and 55% had oesophageal stage dysphagia
(Hardwick, 1993).
A UK study found that 97.5% of individuals studied had oral stage
dysphagia, 65% had pharyngeal stage dysphagia, 17.5% had
oesophageal dysphagia. 65% of those studied had problems at
more than one stage (Chadwick et al, 2003).
Chapter 8
For exploration of general vulnerabilities of adults with learning
disability, see 8.2 on Adult Learning Disability.
Adults with learning disability are more at risk of having dysphagic
difficulties that go unrecognised (Dobson, 2003).
Admittance to hospital with an acute condition and a vulnerability
around swallowing may leave the adult with learning disability very
vulnerable to inappropriate types of food and drink being offered, as
well as to these being offered in an inappropriate way.
Adults with learning disability who do not have appropriate
dysphagia assessment and management are at high risk of:
G aspiration
G dehydration
G developing respiratory infection a leading cause of early death
for people with learning disabilities’ (Hollins et al, 1998; NPSA,
2004)
G choking and death
G poor nutrition and weight loss
G poor health
G anxiety and distress within the family
G hospital admission or extended hospital stay
G reduced quality of life
G poor oral health (Aziz & Cambell-Taylor, 1999; Beange et al, 1995;
Cook & Kahrilas, 1999; Eyman et al, 1990; Rogers et al, 1994).
Because of the presence of a learning disability, individuals may be
unable to follow the guidance given without high levels of support
and supervision.
A lack of compliance with eating and drinking guidelines, particularly
if the person self feeds, will heighten the risks listed above
(Chadwick et al, 2003).
8.14 Dysphagia 331

Managing the risks at the level of service organisation
Competence: SLTs working in this area, as a minimum, should have
training to a post basic level. This training can be gained either by
attending an accredited training course, or via work based and
supervised competency development programs. SLTs at all levels
should have adequate clinical and professional supervision when
working in this area.
Therapists need to be fully aware of all the risks that are specific to
dysphagia (see section 8.14.2).
Chapter 8
SLTs working with ALD should have an awareness of the issue of

‘safeguarding adults’ and know why and how to make a referral to
the appropriate agencies if they feel an adult with a learning
disability is unsafe.
MDT working: Individualised treatment programmes based on
interdisciplinary working are widely recognised to be the most
effective way of managing dysphagia in this client group (Arvedson,
1993). The SLT working with ALD and dysphagia should be working
within a multidisciplinary framework.
Therapy context: The SLT will be required to visit a variety of
environments, dependent on the person they are working with. It is
important that the SLT sees people eating and drinking in their most
naturalistic environments. It may be necessary for the SLT to liaise
between a number of environments for any one individual, to ensure
equity of service in all.
See also the section on Risk Management in Adults with Dysphagia.

G Provision of timely and effective assessment and intervention.
This includes management of the risks of dysphagia to the
individual; development of strategies to enable appropriate nutrition
and hydration, through maximisation and/or development of the
eating and drinking skills of the individual, and carer support
strategies.
G Provision of services that aim to develop and maintain mealtimes
as pleasant occasions, including appropriate meals, pleasant
environment and sensitive support from carers.
G Training and supporting carers to meet the needs of the person
with learning disabilities and dysphagia on a daily basis. Training is
also aimed to empower carers to identify people with dysphagia; to

identify changes in individuals they care for, and to make appropriate
referrals to speech and language therapy.
G Engagement in preventative health planning through the
development of person-centred health action plans. The SLT,
alongside the multidisciplinary team, the health action plan facilitators
and the individual concerned, works to ensure the process used to
develop health action plans and the plans themselves are accessible
to the individual (DH, 2001).
G Contribution to and involvement in service-user consultations.
Chapter 8
Definition
Head and neck cancer is the general name that encompasses many
different forms of cancer.
There are over 30 specific sites in the head and neck cancer group.
The majority of these cancers arise from the surface layers of the
aerodigestive tract (UAT): the lips, mouth, tongue, pharynx and
larynx.
Other UAT sites include the salivary glands, nose, sinuses and
middle ear, but these cancers are relatively rare.
Cancers that originate in the nerves and bone of the head and neck
are even more rare.
Cancer of the thyroid is unlike UAT cancers, apart from being
uncommon, but the services required for individuals overlap and it is
therefore included in this group.
Head and neck cancer, although relatively uncommon, carries a high
level of morbidity and mortality.
recommended:
8.14. Dysphagia
7.2.1 AAC
8.14 Dysphagia 8.15 Head and Neck Cancer 333

support
G National Association Laryngectomy Clubs (NALC) guidelines
G British Association of Head and Neck Oncologists (BAHNO)
consensus document
G NICE guidelines for head and neck and supportive palliative care
G Scottish Intercollegiate Guideline on Head and Neck cancer, 2005
www.sign.ac.uk
G RCSLT Clinical Guidelines (2005), section on Head and neck
Chapter 8
cancer www.rcslt.org
G RCSLT Invasive Procedures Guidance, 2004 www.rcslt.org
Aetiology
The aetiology of head and neck cancer is complex.
Epidemiological studies have implicated tobacco smoking and
alcohol consumption as the major determinants of the disease in
westernised countries. Individually these two factors increase the
risk of oral cancer, but if combined, alcohol and smoking show a
multiplicative risk.
G Tobacco The main risk factor for head and neck cancer is cigarette
smoking. Pipe smoking also leads to an increased incidence of the
disease. In some population groups there is a strong association with
tobacco chewing and ‘snuff dipping’. Combinations of tobacco, slaked
lime, betel nuts, and spices are responsible for high regional and
ethnic variations in head and neck cancer worldwide.
G Alcohol Increased risk of head and neck cancer has been
associated with heavy consumption of spirits, beer or wine. Alcohol
itself has not been implicated directly as an oral carcinogen, but it is
thought to promote carcinogenesis by a number of mechanisms, eg
topical carcinogens, such as those found in tobacco, become more
potent when accompanied by alcohol.
Many modern mouthwashes sold for oral hygiene purposes contain
alcohol in significant concentration. The long-term effects of these
preparations on oral mucosa, has not yet been established.
G Nutrition Nutritional deficiencies (in particular, iron) produce
atrophy of the oral mucosa, and may allow ingress of various
carcinogenic substances.
Diets high in anti-oxidant vitamins (vitamins A, C and E) appear to offer
protection. Therefore a diet high in fruit and vegetables is recommended.

G Sunlight Ultra-violet light is important in the aetiology of lip cancer,
due to actinic radiation damage. It is not important in other head and
neck cancers.
G Infective causes Human papilloma viruses have been postulated
as causative factors in the aetiology of head and neck cancer and
precancer, but the research is inconclusive at present.
Potentially malignant lesions of the mucosa, showing evidence of
candidal infection have a higher risk of malignant transformation.
However the role of chronic candidosis in the development of cancer
Chapter 8
is complex.
G Oncogenes The role of cancer promoting genes (oncogenes) and
tumour suppressor genes, in relation to head and neck cancer is a
complex and rapidly developing field. Gene therapy for ‘at risk’
individuals and families may hold possibilities for the future.
G Pre-existing mucosal abnormalities Some carcinomas are
preceded by premalignant changes. Identification of such changes
gives a warning of risk and presents an opportunity for close follow
up and provision of preventive measures.
Although leukoplakia is commoner, erythroplakia and speckled
leukoplakia should be viewed with greater suspicion. These lesions
have a much higher potential than leukoplakia for malignant
transformation. Indeed many of these lesions may already be
squamous cell carcinomas, or carcinomas in situ, or show severe
epithelial dysplasia.
Oral lichen planus is thought by some to be a pre-malignant lesion in
around 1% of individuals. The erosive and plaque-like forms may be
more prone to malignant transformation.
G Social Deprivation Although head and neck cancer occurs in all
strata of society, social deprivation is identified as a specific risk.
G Other Of growing concern is the cohort of individuals who, with no
obvious risk factors, are developing head and neck cancer. These
individuals are often young and have aggressive tumours with poor
prognosis.

Laryngeal cancer
Each year in the UK around 2300 people are diagnosed with cancer
of the larynx.
8.15 Head and Neck Cancer 335

Four out of five laryngeal cancers are diagnosed in men. 70% are
diagnosed in people over 60 years-old.
Incidence
Incidence varies throughout the UK, eg rates in Scotland are
significantly higher than in other parts of the UK, which correlates
with the higher rates of tobacco and alcohol consumption.
Table 2: Number of new cases of laryngeal cancer in 2001
Chapter 8
England Wales Scotland N. Ireland UK

Males 1,477 99 255 53 1884
Females 328 23 52 13 416
Total 1,805 122 307 66 2,300
Table 3: Crude rate per 100,000 of population, of new cases

of laryngeal cancer in 2001
Males 6.2 7.1 10.5 6.4 6.6
Females 1.3 1.5 2.0 1.5 1.4
Persons 3.7 4.2 6.1 3.9 3.9
Oral cancer
In the UK, around 4,400 people each year are diagnosed with oral
cancer.
Oral cancer is more common in men than in women, however in the
UK the sex ratio has decreased from around 5:1, to less than 2:1 in
fifty years.
In the UK the risk of developing oral cancer increases with age, 86%
of cases are aged 50 or over.
Oral cancer is strongly related to social and economic deprivation,
with the highest rates occurring in the most disadvantaged sections
of the community.
The association is particularly strong for men. In Scotland, for
individuals diagnosed between 1991-1995, incidence rates were
twice as high for those in the most disadvantaged category
compared with the least disadvantaged. This reflects the higher
tobacco consumption in the more disadvantaged groups.

Table 4: Numbers of new oral cancer individuals UK 2001
Males 2,245 166 376 81 2,868
Females 1,202 92 204 34 1,532
Total 3,447 258 580 115 4,440
Table 5: Crude rate of new oral cancer individuals per
Chapter 8
100,000 of population UK 2001
Males 9.4 11.8 15.4 9.8 10.0
Females 4.8 6.1 7.8 3.9 5.1
Persons 7.0 8.9 11.5 6.8 7.5
Table 6: Number of new cases of oral cancer (site specific)

in UK 2001
Site Males Females Persons M:F ratio
Mouth 843 561 1404 1.5:1
Tongue 784 455 1239 1.7:1
Oropharynx 532 185 717 2.9:1
Piriform sinus 207 44 251 4.7:1
Hypopharynx 112 88 200 1.3:1
Lip 245 114 359 2:1
Other and ill defined 145 85 230 1.7:1
Oral cancer 2,868 1,532 4,400 1.9:1
Incidence
As with laryngeal cancer, incidence varies throughout the UK.
Incidence in Scotland is higher, and studies of the disease in minority
ethnic populations in Britain have reported high rates in south Asian
and Chinese populations, in which the habit of areca nut or betal
quid chewing is still prevalent.
The incidence of oral cancer varies strikingly around the world. The
highest age standardised rates (over 20 per 100,000 population) are

reported in parts of Europe and south central Asia. In high risk
countries such as Sri Lanka, India, Pakistan and Bangladesh, oral
cancer is the most common cancer in men and may account for up to
30% of all new cases of cancer, compared to 2% in the UK and 8%
in France.
Incidence of oral cancer also varies by tumour site.

Chapter 8
Specific to laryngectomy
Management of TE Puncture and/or prosthesis
Inappropriate management can lead to:
G aspiration
G closure of puncture
G respiratory complications
G loss of or failure to acquire voice.
Prosthesis replacement
Inappropriate management can lead to:
G tissue trauma
G creation of false tract, during prosthesis change
G aspiration of gastric contents via TEP during valve change due to
vomiting
G unsuccessful replacement
G unsafe environment for carrying out procedure
G inappropriate skill mix of staff carrying out procedure
G vasovagal attack.
Aspiration
G centrally through voice prosthesis
G peripherally around voice prosthesis
G of the prosthesis
G of water while bathing, etc.
Allergic reaction
G to stoma products and skin preparations.
Respiratory distress
G stoma shrinkage
G stoma blockage.
Fire/electrocution
G electrolarynx not checked or serviced regularly
G storage of electrolaryx close to metal objects.

Head and neck cancer in general
Dysphagia
G aspiration during speech and language therapy intervention
leading to possible litigation
G dehydration
G malnutrition
G aspiration and possible subsequent pneumonia
G reduced oral intake
G alternative feeding
Chapter 8
G distress
G loss of confidence
G embarrassment
G impact on quality of life.
Decreased communication skills
G isolation
G distress
G loss of confidence
G breakdown in family support
G ostracised by public/family
G embarrassment
G impact on quality of life.
Altered body image
G social isolation
G depression.
Radiotherapy
G reduced function
G xerostomia
G mucositus.
Poor oral hygiene
G pain
G infection.
Reduced sensation
G altered function
G drooling
G embarrassment.
Contamination and infection
G MRSA
G Hepatitis B.

Late presentation
G tumour stage will affect survival rate.
Compliance
G poor compliance can affect intervention outcomes.
Invasive procedures
G associated risks of FEES and videofluoroscopy as per Invasive
Procedures Guideline, RCSLT, 2004.
Recurrence
G Client group at high risk of recurrence, or developing new
Chapter 8
cancers in the head and neck region and other parts of the body
such as lung.

Multidisciplinary teams (MDT), with a wide range of specialties,
will be central to the service. They will be responsible for
assessment, intervention planning and management of every
individual.
SLTs will play a crucial role in the above from the pre intervention
assessment period until rehabilitation is completed and speech
and swallowing function has been maximised within the
constraints of the planned intervention/management.
SLTs will also be part of coordinated local support teams in order
to provide long-term support and rehabilitation for individuals in the
community. These teams will work closely with every level of the
service from primary care teams to the specialist MDT.
Specific resources required

G SVR equipment and stoma accessories plus inflation related
budget.
G Voice recording equipment.
G Acoustic analysis equipment.
G Fibreoptic endoscopy facilities for voice and FEES and access
to disinfection facilities for SCOPE.
G Local and national information on support groups/places where
information, financial advice, details of complementary
intervention can be accessed.
G Electrolarynx, voice amplifiers, communication aids.
G Access to specialised services and equipment if not available
on site, eg V/F FEES, stroboscopy.

8.16 Mental Health
Chapter 8
Definition
Mental health is the capacity of each and all of us to feel, think and
act in ways that enhance our ability to enjoy life and deal with the
challenges we face. It is a positive sense of emotional and spiritual
well-being that respects the importance of culture, equity, social
justice, interconnected and personal dignity (Meltzer et al, 2000).
Mental health problems can be described as:
G Difficulties and/or disabilities in the realm of personal relationships,
psychological development, the capacity for play and learning and in
distress and maladaptive behaviours. They are relatively common
and may or may not be persistent (PHIS, 2006).
Furthermore:
G When mental health problems are persistent, severe or complex,
and interfere with a person’s day-to-day functioning, they are often
defined as mental disorders. In some severe cases, the term
psychiatric or mental illness is used (PHIS, 2003).
Cross-referencing with all the chapter 8 client-group sections is
recommended.
8.16.1 Mental Health: Paediatric

Definition
The full scope of this group is difficult to define as it is an emerging
area of speech and language therapy involvement.
One of the increasing areas of involvement is with children with
selective mutism, formerly known as elective mutism. This is a
disorder of childhood that is characterized by the persistent lack of
speech in at least one social situation, despite the ability to speak in
other situations.
Onset of selective mutism typically occurs before a child is five years
8.16 Mental Health 341

old. However, it is usually first noticed when the child enters school.
Specific features of this disorder are described in the Diagnostic and
Statistical Manual of Mental Disorders (DSM-IV-TR) (2000, pp125-
127) as follows:
G Consistent failure to speak in specific social situations (in which
there is an expectation for speaking, eg at school) despite speaking
in other situations.
G The disturbance interferes with educational or occupational
achievement or with social communication.
Chapter 8
G The duration of the disturbance is at least one month (not limited

to the first month of school).
G The failure to speak is not due to a lack of knowledge of, or
comfort with, the spoken language required in the social situation.
G The disturbance is not better accounted for by a communication
disorder, (eg stuttering) and does not occur exclusively during the
course of a pervasive developmental disorder, schizophrenia, or
other psychotic disorder.

information
G NSF on Mental Health – Standard 9, The mental health and
psychological wellbeing of children, 2004. Department of Health
G Together We Stand: a thematic review of the commissioning role
and management of children and adolescent mental health services,
1995. HMSO.
G Selective Mutism www.asha.org/public/speech/disorders/Selective-
Mutism.htm
G MIND, the mental health charity www.mind.org.uk
G Rethink www.rethink.org
G Scottish Association for Mental Health www.samh.org.uk
Aetiology
Risk/vulnerability factors include learning disability or any kind of
enduring physical ill health, eg epilepsy, physical or sexual abuse,
witnessing domestic violence, parent with mental health difficulty,
being looked after and accommodated.
Risk accumulates, in that the presence of more than one risk
factor substantially increases the risk of developing mental
health problems.

9.5% (Meltzer et al, 2000) overall prevalence of ‘mental health
disorder’, ie a problem of sufficient severity and persistence to have a
significant impact on the child’s functioning and relationships.
Evidence from around the world indicates higher prevalence rates and
we may need to reflect a range ie up to 14% in a Canadian study
(Waddel et al, 2002).
Incidence/prevalence of speech and language difficulties in
psychiatric population: 62% (Goodyer, 2000) of children had a speech
and language impairment, 28% previously identified and 34%
unsuspected.
Selective mutism is a rare disorder that affects less than 1% of
individuals in mental health settings. It is slightly more common in
girls than in boys (ASHA, 2006).

Children with communication difficulties and mental health problems
are at high educational and psychosocial risk, including suicide and
self harm.

G Identification of communication difficulties.
G Provision of appropriate intervention in order to reduce risk,
develop resilience and promote wellbeing.
SLTs are best placed to be key workers in the MDT for children with
selective mutism (ASHA, 2006).
8.16.2 Mental Health: Adult Dementia

Definition
Dementia is a clinical syndrome characterised by widespread loss of
function (DH, 2001).
Features include impairment of memory, thinking, orientation,
comprehension, calculation, learning capacity, language and judgement
(WHO, 1992).
Communication disorder becomes apparent during the course of all
types of dementia varying according to disease type, duration and
other factors including pre-morbid skills and environment (Bryan &
Maxim, 1996). It may be an initial presenting feature of the disease.

Studies that look at the incidence of swallowing difficulty in
dementia show a high rate of dysphagia.

support
G National Service Framework for older people (England) (2001)
www.dh.gov.uk/PolicyandGuidance
G NSF for mental health, 1999 www.dh.gov.uk/PolicyandGuidance
G RCSLT Position Paper on Dementia, 2005 www.rcslt.org
Chapter 8
G MIND www.mind.org.uk/
G Alzheimer’s Society UK www.alzheimers.org.uk
Aetiology
There are over 100 different causes of dementia. The most
common are Alzheimer’s disease, vascular dementia and dementia
with Lewy bodies. Every person who experiences dementia does
so in their own individual way, but there is usually a decline in
memory, reasoning and communication skills and a gradual loss of
the skills needed to carry out daily activities (Alzheimer’s Society
UK, 2004).
Prevalence
Dementia currently affects over 750,000 people in the UK.
The number of people with dementia in the UK has been estimated
as follows, using population figures for 2001:
G England: 652,600
G Scotland: 63,700
G Northern Ireland: 17,100
G Wales: 41,800.
The well-established prevalence rates for dementia in the UK are:
Age (years) Prevalence
40-65 1 in 1000
65-70 1 in 50
70-80 1 in 20
80+ 1 in 5
Vulnerability: Risk issues

G Misdiagnosis of condition.
G Individuals do not have access to most clinically effective

intervention (Department for Health Standards for Better Health
(SBH) standard 2).
G Other aspects of intervention are delayed (SBH standard 5):
G Communication impairments are commonly found in individuals
with a range of dementia syndromes (Snowden & Griffiths, 2000;
Bayles et al, 1993). Detailed analysis of language can contribute to
accurate diagnosis (Bucks et al, 2000) and management of
conditions. Language assessment contributes to differential
diagnosis between different types of dementia (Snowden & Griffiths,
Chapter 8
2000) and make a vital contribution to early diagnosis (Garrard &
Hodges, 1999).
G Individuals and carers do not receive specialist advice with regard
maximising their existing skills (SBH standard 2).
G Challenging behaviour increases staff and carer burden (Haley et
al, 1994):
G Inability to communicate effectively may be the cause of many
challenging behaviours (Bryan & Maxim, 2003; Stokes, 2004).
G Individual safety, in some cases may be compromised due to
social exclusion or isolation (SBH standard 1 and NSF standard
1):
G Individuals may experience social exclusion (Hagberg, 1997).
G Communication impairment can cause a lack of confidence that
impacts on feelings of self worth and hinders an individual’s ability to
assert their views and wishes.
G Eating and drinking problems have well documented effects on
physical health but also have adverse effects on self-esteem,
socialisation and enjoyment of life including anxiety and panic during
mealtimes (RCSLT, 2005).
G Costs are incurred due to carer ill health.
G Hospital admission/day services may be needed to support
individual if carer is unable to cope:
G There is evidence that carers find behavioural and communication
problems more stressful than aspects of Activities of Daily Living
(ADL) and self care impairments (Haley et al, 1994).
G Caring for people with dementia costs over £1 billion per year in the
UK (not including loss of carers earnings or cost of carers stress
induced ill health) (Alzheimer’s Society UK, 2004).
G Carer burden has been shown to improve with intervention (Barnes,
2003).

G Individuals will have inadequate access to services and choice
(SBH standard 5; NSF standard 3):
G Many individuals with communication impairment are unable to
access services due to poor language skills. SLTs are uniquely
qualified to assess an individuals capacity to communicate and
understand information and to advise on the most effective means of
presenting information and choices to the individual, maximising their
opportunity to exert free choice (RCSLT, 2005).
G Increased risk of aspiration pneumonia (incurring additional
Chapter 8
resource).
G Increased risk of nutritional compromise (incurring additional
resource).
G Avoidable death due to malnutrition, choking and aspiration
pneumonia (RCSLT, 2005):
G Studies that look at the incidence of swallowing difficulty in dementia
show a high rate of dysphagia:
G 68% of those in a home for the aged (Steele et al, 1997).
G Bronchopneumonia was the leading cause of death in Alzheimer’s
disease in another study (Horner et al, 1994); 28.6% in this study were
found to be aspirating.
G Swallowing problems are also a concern in other types of
dementia, eg vascular dementia (Stach, 2000) and those conditions
where neurological signs are present alongside cognitive impairment,
eg Huntington’s disease, progressive supranuclear palsy, Parkinson’s
disease and dementia with Lewy bodies (Logemann, 1998).
Risk management at the level of service organisation

MDT working: Individuals with suspected dementia should have
access to SLT assessment and management as part of a
multidisciplinary team with specialist mental health skills (Heritage &
Farrow, 1994).
Competence: Advanced dysphagia training is required. Junior
therapists working within mental health services must have access to
specialist SLT supervision.

G Providing detailed assessment of communication skills that
contributes to the diagnosis process, provides a baseline to monitor
change and evaluates ongoing intervention.

G Assisting in differential diagnosis through detailed assessment.
G Providing support to carers based on assessment findings.
G Providing for reassessment to monitor change.
G Providing individual communication programmes to benefit individuals.
G Helping the individual to achieve greater insight into their
communication difficulties (where appropriate); in turn to reduce
frustration caused by communication impairment and improve confidence.
G Supporting and training carers with regard general communication
strategies as well as individual specific advice.
Chapter 8
G Assessment of eating and drinking difficulties.
G Providing advice and strategies with regard to eating and drinking
difficulties.
G Helping the MDT understand the individual’s communication
difficulties.

Definition
WHO definition of palliative care for adults
Palliative care is an approach that improves the quality of life of
individuals and their families facing the problem associated with life-
threatening illness, through prevention and relief of suffering by
means of early identification and impeccable assessment and
treatment of pain and other problems (WHO, 2006).
Physical, psychosocial and spiritual palliative care:
G provides relief from pain and other distressing symptoms
G affirms life and regards dying as a normal process
G intends neither to hasten or postpone death
G integrates the psychological and spiritual aspects of individual care
G offers a support system to help individuals live as actively as
possible until death
G offers a support system to help the family cope during the
individuals illness and in their own bereavement
8.16 Mental Health 8.17 Palliative Care 347

G uses a team approach to address the needs of individuals and their
families, including bereavement counselling, if indicated
G will enhance quality of life, and may also positively influence the
course of illness
G is applicable early in the course of illness, in conjunction with other
therapies that are intended to prolong life, such as chemotherapy or
radiation therapy, and includes those investigations needed to better
understand and manage distressing clinical complications.
Chapter 8
WHO definition of palliative care for children

Palliative care for children represents a special, albeit closely related
field to adult palliative care. WHO’s definition of palliative care
appropriate for children and their families is as follows; the principles
apply to other paediatric chronic disorders (WHO, 1998a):
G palliative care for children is the active total care of the child’s body,
mind and spirit, and also involves giving support to the family
G it begins when illness is diagnosed, and continues regardless of
whether or not a child receives treatment directed at the disease
G health providers must evaluate and alleviate a child’s physical,
psychological, and social distress
G effective palliative care requires a broad multidisciplinary approach that
includes the family and makes use of available community resources; it
can be successfully implemented even if resources are limited
G it can be provided in tertiary care facilities, in community health
centres and even in children’s homes.
For further general information see ACT’s website, at:
www.act.org.uk/act, which works to improve care and services for all
children in the UK with life-threatening or terminal conditions.
The palliative care approach aims to promote both physical and
psychosocial wellbeing and is an integral part of all clinical practice,
whatever the illness or its’ stage, informed by knowledge and practice
with palliative care principles (NCHSPCS, 1995).
The following sections refer specifically to palliative care for adults.

support
G NICE Palliative and Supportive Care Guidance (2004), in particular
Chapter 10 – Rehabilitation for guidance on national standards for
speech and language therapy provision.

G Fulfilling Lives. Rehabilitation in Palliative Care NCHSPCS, 2000.
G National Service Framework for long-term conditions, 2005.
Department of Health.
G The Hospice Information Service www.hospiceinformation.info
G The National Council for Palliative Care www.ncpc.org.uk
Aetiology
The hospice movement was founded by Dame Cecily Saunders in
1967 to provide care to people suffering symptoms resulting from
Chapter 8
advanced life-threatening disease.
The majority of people receiving palliative care continue to be those
individuals who are suffering from advanced cancer (see section 15
on Head and Neck Cancer).
In recent years, it has been recognised that the palliative care
approach to disease management can be applied to a number of
non-malignant, life-threatening diseases. These conditions include:
G HIV/AIDS
G renal disease
G heart failure
G respiratory disease
G neurological disease
G vascular disease
G co-morbidity associated with learning disabilities.

Between year 2003-2004, 85,211 new individuals with cancer, and
3,115 new individuals with a non-cancer diagnosis (see below)
accessed specialist palliative care services in England, Wales and
Northern Ireland (NCPC, 2005).
Diagnosis % of 3,115
HIV/AIDS 7%
MND/MS/spinal disease 34%
Heart/stroke 35%
Respiratory 24%
There is limited research into the prevalence of communication or
swallowing problems in the palliative population. The Allied Health
8.17 Palliative Care 349

Professions Palliative Care Project Team in Glasgow (2004) found in
their survey found that out of 150 palliative individuals interviewed, 68
individuals reported communication or swallowing problems, but only
10 were referred to speech and language therapy.
Further research is required to contribute to the evidence base,
particularly with reference to advanced, life-threatening disease and
communication and swallowing disorders.
Chapter 8
There is little doubt that difficulties in communication and/or

swallowing can impact significantly on quality of life.
G Communication problems can interfere with the ability to express
needs or desires to family, friends and carers or to understand
essential information related to care.
G Swallowing problems can deny the social, cultural, religious and
personal pleasures associated with eating. Without access to
specialist care, individuals may suffer from distressing symptoms
associated with oropharyngeal dysphagia.
Many types of cancer, in various sites in the body, can result in
communication and/or swallowing difficulties, but they are most common
in tumours of the brain, head and neck or upper digestive tract.
Research also suggests that individuals with lung cancer may be a
particularly vulnerable group who may experience voice and
swallowing disorders.
These problems can also be caused, or compounded by, by different
intervention approaches, eg medication, surgery, radiotherapy,
chemotherapy.

Individuals with life-threatening disease require responsive and flexible
speech and language therapy services to ensure that they can access
them when and where they need them without undue delay.
Assessment, intervention and management of communication and
swallowing difficulties are a key part of an holistic approach to
individual care. Where the problem cannot be fully resolved, the SLT
can advise on strategies to ensure the best possible function.
Individuals with communication disorders may require increased
support in communicating wishes regarding complex intervention and
management decisions, eg symptom management, consent to

intervention, and preferred place of care.
From a swallowing perspective, the focus of intervention may shift
from the prevention of complications and include risk management of
dysphagia, thus minimizing symptoms and maximising individual
comfort (Eckman & Roe, 2005).
As educators, SLTs have a critical role in providing information to
individuals and carers on communication and swallowing impairments
and management options.
The principles of intervention with individuals in this client group are
Chapter 8
outlined below:
G assess only as required to provide the answers to plan
management
G minimal intervention for maximum gain
G maintain function where possible
G improve function if appropriate and realistic
G utilise compensatory strategies, diet modifications and safe swallow
strategies
G work as member of MDT
G provide holistic, individual centred care
G facilitate communication between individual and team
G provide education and information
G advise on risk-benefit evaluation.

Definition
Speech, language and communication needs in pre-school children
refers to all children prior to entry to primary level education (typically
under five years old) who present with, or are at risk of, failure to make
age appropriate progress in speech, language and communication.
Children who have speech, language and communication needs have
inadequate communication for their circumstances and relative to
other children of their age.
8.17 Palliative Care 8.18 Pre-school Children 351

It refers to all forms of communication, including spoken and non-verbal,
and incorporates both the understanding and use of these in achieving
functional communication.
Pre-school children may present with difficulties in their speech, language
and communication development and/or ability in relation to their peers.
These difficulties may be identified as being delayed or disordered.
The speech, language and communication difficulty may arise
independently, (ie primary) or as a consequence of other identified
difficulties, (ie secondary) such as learning, physical, sensory, attention or
Chapter 8
behavioural difficulty. It may or may not have an identifiable aetiology.

Children may have difficulty with one or more aspects of speech,
language and communication. In addition, difficulties with eating and
drinking may arise at this age (see section 8.14 on Dysphagia).
Difficulties may arise with receptive language, expressive language,
social communication, speech, fluency or voice.
recommended:
8.5. Bilingualism
8.6. Brain Injury
8.7. Cerebral Palsy
8.11. Deafness
8.12. Dysfluency
8.14. Dysphagia
8.16. Mental Health
8.23.Visual Impairment
8.24. Voice
7.2.1. AAC
support
G Every Child Matters Children’s services strategy, 2005
www.everychildmatters.gov.uk

G RCSLT Clinical Guidelines (2005), section on Pre-school
Children www.rcslt.org
G AFASIC www.afasic.org.uk
G I CAN www.ican.org.uk
G CaF www.cafamily.org.uk
G Council for Disabled Children www.ncb.org.uk/cdc
G Dyspraxia Foundation www.dyspraxiafoundation.org.uk
G NAPLIC www.naplic.org.uk
G NASEN www.nasen.org.uk
Chapter 8
G NAS www.nas.org.uk
G National Parent Partnership Network
www.parentpartnership.org.uk
G OAASIS www.oaasis.co.uk
Aetiology
In many cases there is no known cause of the speech, language
and communication needs and these may be the child’s primary
difficulty. However, speech, language and communication needs
may arise as a consequence of other factors including:
G hearing impairment/deafness, including persistent intermittent
hearing loss
G learning disability from:
G an identified genetic aetiology, eg Down’s syndrome
G pre, peri or postnatal trauma
G an unidentified aetiology.
G global developmental delay
G prematurity
G acute or chronic medical conditions
G cleft lip and palate
G physical disability
G mental health and/or emotional and behavioural factors
G other genetic factors or
G environmental influences including:
G child protection issues
G family history of speech, language and communication needs, mental
health, learning difficulty, hearing impairment or other special needs.

Prevalence: Speech, language and communication needs may be
8.18 Pre-school Children 353

the most common disability presenting in early childhood (Law,
1992). Estimates of the proportion of pre-school children with
speech, language and communication needs vary according to the
nature of the study data collection, classification and identification
of speech, language and communication needs and the
population studied.
For example, the range of estimates of prevalence of speech,
language and communication needs across the UK population is
between 2% and 25%, varying due to different data collection
Chapter 8
methods and criteria (Law, 1992).

In the US, a language screening failure rate in kindergarten children of
26.2% was found (Tomblin et al, 1997), but this dropped to 7.4% with
detailed assessment. However, another study (Locke et al, 2002)
investigated four year olds in areas of deprivation and found prevalence
of speech, language and communication needs as high as 55%.
Incidence
Little has been written about incidence of speech, language and
communication needs in children.
Broomfield & Dodd (2004) found an overall incidence (of speech,
language and communication needs for children who have no
additional disability who were referred and attended paediatric
speech and language therapy assessment) of 16.3% in a single
year. Almost 75% of these cases were under five years old. The
extrapolated incidence rate for preschool children (constraints as
above) is over 12%.
The actual incidence of speech, language and communication
needs in a pre-school population will be greater than this, given that
not all cases are referred and attend local speech and language
therapy services.
Recent estimates of speech, language and communication needs
both with and without additional disability within Sure Start
populations (the 25% most deprived areas across the UK) are as
high as 35% new cases being identified each year.

Speech, language and communication difficulty may impact on
future learning and achievement, literacy, behaviour and social-
emotional functioning and independence.

G Promoting the development of speech, language, communication
and eating/drinking in targeted at-risk groups.
G Maximising the development of referred children’s speech,
language, communication and eating/drinking skills.
G Educating and empowering parents, carers, educational/social
services staff and significant others in the support and development
of children’s speech, language and communication skills.
G Establishing effective, functional communication skills through the
Chapter 8
development of understanding, listening and auditory processing,
play, non-verbal communication, interaction, expression and speech.
This involves:
G providing advice, information and training to other professionals
in the team
G providing an integrated service with parents/carers, other
agencies and professions
G assessment, diagnosis and appropriate intervention

Definition
A neurological disorder is a condition affecting any part of the
central or peripheral nervous system. Progressive neurological
disorders refer to those conditions where there is a progressive
deterioration in functioning. These disorders are likely to affect the
individual for the rest of his/her life.
Some of the disorders progress more rapidly than others, (eg
motor neurone disease) and some follow a more unpredictable
course with relapses and remissions, (eg Multiple Sclerosis).
Examples of progressive neurological disorders include multiple
sclerosis, motor neurone disease, Parkinson’s disease,
Huntington’s disease, Friedreich’s ataxia, multiple system atrophy
and progressive supranuclear palsy.
8.18 Pre-school Children 8.19 Progressive Neurological Disorders 355

recommended:
8.3. Aphasia
8.6. Brain Injury
8.14. Dysphagia
8.16. Mental Health
Chapter 8
8.24. Voice
7.2.1 AAC
support
G King’s MND care pathway www.mndassociation.org
G Epilepsy pathway – Action on Neurology www.dh.gov.uk
G NICE Guidelines for MS www.nice.org.uk
G NSF for long-term conditions www.dh.gov.uk
G NSF older people www.dh.gov.uk/PolicyandGuidance
G NSF for mental health www.dh.gov.uk
G PSP Association www.pspeur.org/association
G Sarah Matheson Trust www.msaweb.co.uk/
G Huntington’s Disease Association www.hda.org.uk
G Motor Neurone Disease Association www.mndassociation.org
G Multiple Sclerosis Society www.mssociety.org.uk
G Parkinson’s Disease Society www.parkinsons.org.uk
Types of disorder
In the UK there are 10 million people living with a neurological
condition. Each year 600,000 people (1% of the UK population)
are newly diagnosed with a neurological condition
(Neurological Alliance, 2003).
However, these figures are not specific to progressive neurological
disorders – they include all neurological disorders, progressive and
non-progressive (including stroke, dementia, cerebral palsy and
brain injury).
It is predicted that the numbers of people with neurological
disorders will continue to increase as a result of people living
longer, advances in health care and the ongoing development of
diagnostic techniques.

Incidence and prevalence of some progressive neurological
conditions:
G Motor neurone disease (MNDA, 2004): Incidence; 2 per 100,000
Prevalence; 7 per 100,000
G Multiple Sclerosis (MS Society, 2006): Incidence; 4 per 100,000
Prevalence; 144 per 100,000
G Parkinson’s disease (Parkinson’s Disease Society, 2006):
Incidence; 17 per 100,000 Prevalence; 200 per 100,000
G Friedreich’s ataxia (Ataxia UK, 2006): Prevalence; 1-2 per 50,000
Chapter 8
G Progressive supranuclear palsy (PSP Association, 2006):
Prevalence; 5-6 per 100,000 (Or up to 15 per 100,000 considering
non diagnosis and mis-diagnosis)
G Multiple-system atrophy (Sarah Matheson Trust, 2006):
Prevalence: 1 per 100,000
G Huntington’s disease (HDA, 2006): Prevalence: 13.5 per 100,000
(approximately).

There are studies looking at prevalence of communication and
swallowing problems in the various different disorders. The
figures in these studies are very wide-ranging and look at different
aspects and variables and it is therefore difficult to be accurate
about prevalence. However, all progressive disorders, at various
times and usually in the later stages, have potential to cause
major communication and swallowing problems. The figures for
prevalence range between 30%-80%.
For further information, please refer to the national organisation
associated with the specific conditions.
See also the section on Adult Acquired Dysphagia.

The nature of progressive neurological disorders is such that
there are generic risks inherent in the disease process. Some
individuals are referred to speech and language therapy services
before diagnosis, yet others may not be referred for many months
post diagnosis.
Some of the issues and resulting risks involved in
progressive neurological disorders are outlined in the
following table.
8.19 Progressive Neurological Disorders 357

Communication Swallowing
1. Fatigue • Deteriorates with • Deteriorates with
fatigue fatigue
• Reduced ability to use • Can alter hourly/
AAC daily
2. Impaired • Difficulty utilising ther- • Lack of insight into

cognition apeutic strategies/ difficulties can lead to
Chapter 8
techniques non-acceptance/ util-

• Often subtle changes isation of recommen-
and can go undetected dations
• Reduced participation • May need different
in activities/ social com- egstrategies to
munication ensure safety
• May need different
strategies to ensure
communication is as
effective as possible
3. Rapid or • May need AAC equip- • Chest infection

unexpected ment at short notice • Dehydration
deterioration • Therapy response • Malnutrition
time may be inadequate • Respiratory difficul-
and lead to frustration/ ties
isolation • Fear/ anxiety
around choking
4. Unmanaged • Frustration/ isolation • As 3

chronic • Poor oral hygiene
problems can cause mouth
infection with
increased risk of
chest infection
5. Variability/ • Frustration/ isolation • As 3

unpredictability • Can be hour to hour or • Can be hour to
day to day hour or day to day

6. Friend/ family • Lack of adequate sup- • Fear/ anxiety
carer strain port for carer can cause around choking
breakdown of relation- • For those unable to
ships feed themselves,
• May become ‘transla- feeding competen-
tor’ for the person when cies of carers can be
communication variable and can
Chapter 8
becomes too difficult impact on person’s
safety
7. Social • May be inconsistency • Carers will need

Services/ of personnel which may very specific and
agency carers result in breakdown of detailed recommen-
communication dations of dietary
modifications and
feeding systems
• Unable to deviate
from the recommen-
dations if person
refuses to accept
them, leading to
conflict
8. Acceptance of • Denial of problems • Denial of problems

diagnosis and reluctance to and reluctance to
accept help accept help leading
• The individual may to 3
experience an ongoing
sense of bereavement
as skills and abilities
are gradually lost. The
individual may not auto-
matically utilise adapta-
tion and coping strate-
gies. This often
depends on personality
and support received.

8 continued. • Discussion around
Acceptance of diagnosis may be ongo-
diagnosis ing for months/years.
Where communication is
an issue, the ability to
communicate about
emotional and psycho-
Chapter 8
logical issues may deteri-

orate, causing further dif-
ficulties in being able to
‘talk through’ acceptance
9. Acute • Too ill to use AAC • Poor knowledge of

admissions • Environment not com- person’s abilities/
munication-friendly wishes by ward staff
• Unable to verbalise • Risk of being kept nil
wishes by mouth until hospital
SLT assessment
• If condition is med-
ication-dependant, e.g
Parkinson’s, alterna-
tive methods of giving
medication may not be
in place early enough
10. Palliative • Discussions around end • May be allowed oral

care of life issues may be left nutrition for quality of
too late, resulting in the life, accepting the risks
person being unable to of aspiration
take part in full
discussions about their
care plan

11. Co-morbidity • Factors other than the • Factors other than
original diagnosis may the original diagnosis
exacerbate may exacerbate
communication swallowing difficulties
difficulties and may not and may not be
be diagnosed and diagnosed and
managed
Chapter 8
managed
12. Medication • There may be specific • There may be

on/off times in level of specific on/off times in
communication abilities level of swallowing
due to medication abilities due to
medication
Managing the risk at the level of service organisation

The following are key issues in working with these client groups:
G Early intervention is vital to ensure the person, and their carer/s,
understand the condition and are educated and supported in their
ability to deal with ongoing and deteriorating communication and
swallowing issues (DH, 2005).
G A flexible and responsive approach is often required as the needs
of people with rapidly progressing conditions can change overnight
(Worthington, 1996).
G Forward discussion while the person is able to communicate
effectively is important in preparing for alternative methods of
communication and nutrition where these are likely to deteriorate
significantly.

SLTs use their knowledge and skills of communication and swallowing
within the context of both the core multidisciplinary team, and the
wider team including, social services and palliative care, to ensure:
G promotion and maintenance of independence as far as possible
G promotion and maintenance of an acceptable quality of life
G individual self-management with or without the support of carers,
family and friends

G facilitation of individual choice and decision making around lifestyle
and end of life issues
G provision of information and support at the appropriate times
G provision of equipment to support communication where
necessary.

Chapter 8

Definition
School-aged children, irrespective of where they are being educated,
who are failing to make typical progress in speech, language and/or
communication.
This may include children with voice, articulation, speech intelligibility,
dysfluency, language, interaction or general communication
difficulties.
The children may have difficulties in one or more of these areas, as
well as concomitant eating/drinking difficulties.
recommended:
8.5. Bilingualism
8.6. Brain Injury
8.7. Cerebral Palsy
8.11. Deafness
8.12. Dysfluency
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health

8.24. Voice
7.2.1 AAC

support
G Every Child Matters, 2005 www.everychildmatters.gov.uk
G RCSLT Clinical Guidelines (2005), section on School-aged Children
www.rcslt.org
Chapter 8
G RCSLT Position Paper, 2006, Supporting Children with Speech
and Communication Needs within Integrated Children’s Services
See also chapter 3, section on Children’s services/education
strategy
G ICAN www.ican.org.uk
Aetiology
In many cases there is no known cause of the speech, language
and communication needs and these may be the child’s primary
difficulty. However, speech, language and communication
disorders (SLCD) may arise as a consequence of other conditions
including:
G cleft palate
G genetic syndromes
G cerebral palsy and other physical impairment
G ear, nose and throat issues
G neurological conditions
G developmental coordination disorder (DCD)
G autism spectrum disorders (ASD)
G cognitive impairment
8.20 School-age Children 363

G psychiatric or mental health issues
G specific language impairment
G auditory processing disorders.
Prevalence
The prevalence of SLCD in the school population is very difficult to
estimate. Estimates of the prevalence of SLCD by speech and
language therapy services vary widely because of the many
variations in service profile which have the potential to impact on
Chapter 8
SLCD. Relevant dimensions include:

G urban or rural distribution
G areas of social deprivation
G high incidence of ‘looked after’ children
G vulnerable populations, eg drug and alcohol abuse or parents with
learning disability
G pre-school preventative services, eg Sure Start.
However, the accepted level of prevalence is that 10% of school
aged children have a SLCD which could potentially affect their
educational attainment.
See also the sections related to Specific Language Impairment and
Specific Speech impairment.

SLTs work with children with any SLCD that has an effect on their
social or educational development or on their mental health and
wellbeing. The risk of impact on wellbeing should be of paramount
importance in the clinical decision around whether intervention
should take place. Child protection issues must also be taken into
account at this point.
Educational transition needs to be recognised as a time of
heightened risk.
SLTs should consider the risk to the child if intervention does not
take place. This judgement should include consideration of whether
the SLT is the appropriate person to reduce the risk, given that
professionals from other disciplines may have more understanding
of the issue, (eg mental health risks) or those in the child’s
environment may be in a better position to handle the risk, with
guidance from the SLT.
Risk to health and wellbeing for children with eating, drinking and

swallowing disorders, including saliva control issues may be reduced
by a specially trained and qualified SLT. See section on Paediatric
Dysphagia.

G Diagnosis of SLCD
G Profiling of SLCD impact and child’s skills and needs
G Intervention for SLCD will only be appropriate if there is an
Chapter 8
identifiable impact from the SLCD and if there is an identifiable
outcome from the intervention. When this is the case, speech and
language therapy value is:
G to develop and maximise communication skills in all environments
G to promote inclusion into school and social contexts
G to promote access to curriculum
G to minimise secondary difficulties arising out of communication
impairments such as emotional and behavioural difficulties and
literacy difficulties
G to support parents as child’s communication needs change and
develop throughout childhood and adolescence
Specifically for school-aged children with language impairments,
the main aim is to maximise their comprehension and production of
language in both oral and written forms and also maximise their use
of those abilities so that they can reach their full potential both
educationally (including literacy) and socially.
For those with speech impairments, the main aim is to maximise
intelligibility to reach full potential educationally and socially.
Children’s support needs will vary throughout childhood and
adolescence.
The modalities of SLCD requiring intervention may include:
G spoken language
G alternative and/or augmentative communication
G facial expression, body language and social interaction
G written language.

8.20 School-age Children 8.21 Specific Language Impairment 365

Definition
International Classifications of Diseases (WHO, 1993):
G Language skills, as assessed on standardised tests, are below the
two standard deviations limit for the child’s age.
G Language skills are at least one standard deviation below non-
Chapter 8
verbal IQ assessed on standardised tests.

G There are no neurological, sensory or physical impairments that
directly affect the use of spoken language, nor is there a pervasive
developmental disorder.
A distinction is made between receptive language disorder, where
comprehension is more than two standard deviations below age level
and expressive language disorder, where only expressive language is
severely affected, and where understanding and use of non-verbal
communication and imaginative language functions are within the
normal range.
The American Psychiatric Association’s Diagnostic and Statistical
Manual (1994) definition is similar to the above and also includes
mention that the language difficulties interfere with academic or
occupational achievement or with social communication).
Specific language impairment (SLI) is not a homogenous disorder. It
can affect the various subcomponents of language to varying
degrees, resulting in each child presenting with a different profile of
difficulty. The subcomponents affected can be:
G receptive language
G expressive language
G word finding
G speech/phonology
G pragmatics
G attention and listening
G auditory memory.
recommended:
8.5. Bilingualism
8.6. Brain Injury

8.7. Cerebral Palsy
8.11. Deafness
8.12. Dysfluency
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health
Chapter 8
8.23.Visual Impairment
8.24. Voice
7.2.1 AAC

G ICAN www.ican.org.uk
Aetiology
SLI is a developmental condition and changes over time. The causes
of SLI are likely to be multifactorial (Bishop, 1992) with both extrinsic
and intrinsic factors influencing the child’s development.
The classical definitions above have been arrived at by a process of
exclusion. The following definition of SLI takes into account both
intrinsic and extrinsic factors (Lees & Urwin, 1991).
A language disorder is that language profile which, although it may
be associated with a history of hearing, learning, environmental and
emotional difficulties, cannot be attributed to any one of these alone
or even just the sum of these effects, and in which one or more of
8.21 Specific Language Impairment 367

the following is also seen:
1. A close positive family history of specific difficulty in language
development.
2. Evidence of cerebral dysfunction, either during development or
by the presence of neurological signs.
3. A mismatch between the various subsystems of language in
relation to other aspects of cognitive development.
4. A failure to catch these differences up with ‘generalised’
language help.
Chapter 8
(The most common presentation is a combination of the above

factors 1,3 and 4. factor 2 is rare).

Varied reports of frequency are documented according to
definition:
G 5% of children in the UK, eg 36,000 in year 2 have SLI (Law et
al, 2000).
G Estimated ratios of approximately 2.8 males to every female
(Robinson, 1987).
G Many children with SLI experience severe long-term difficulties.
More than 72% of children who had SLI at age five remained
impaired at age 12 (Beitchman et al, 1994).

SLI can have a profound and lasting effect on children’s lives. The
impact of these difficulties will vary according to the severity of the
problem, early identification, the support the child receives, the
child’s confidence and the demands of the child’s environment.
Learning:
SSLI can affect all areas of learning and access to all areas of the
National Curriculum.
G Early language impairment is clearly associated with continued
academic difficulties into adulthood (Young et al, 2002).
G Comprehension difficulties make children very vulnerable in
relation to education (Hooper at al, 2003).
G Children with specific speech and language difficulties often
have associated literacy problems with persistent difficulties in the
areas of phonological awareness and spelling (Stackhouse, 2000).
G SLI can significantly affect maths learning (Donlan, 1998).

Social and Behavioural problems:
G Children with SLI can experience social and behavioural problems
and these problems increase over time (Redmond and Rice, 1998).
G Many children with SLI appear to be withdrawn socially (Coster et
al, 1999).
G Poor interaction and increased withdrawal leads to poor self
esteem (Jerome et al, 2002).
G Aggressive behavioural difficulties are reported in young children
with SLI (Carson et al, 1998).
Chapter 8
G Children with SLI are at risk of being bullied at school (Conti-
Ramsden & Botting, 2004).
G There is a higher incidence of behavioural and psychiatric
problems in children with SLI (approximately 50%) compared to non-
impaired children (approximately 12%) (Goodyer, 2000).
G Young offenders are found to have high levels of speech and
language communication difficulties (Bryan, 2004).
G Some children continue to show severe difficulties into adult life.
These difficulties can include problems with theory of mind, verbal
short term memory and phonological processing and an increased
risk of psychiatric difficulties (Clegg et al, 2005).
G Identification and diagnosis of this disorder.
G To devise pathways and programmes of therapy.
G To integrate therapy targets into the educational curriculum
through collaborative practice.
G To maximise communication potential by skilling others in their use of
facilitative strategies and/or use of augmentative communication systems.
G To raise awareness, support and train professionals in identifying
and working with children with SLI.
G To support parents and facilitate communication in functional settings.

8.21 Specific Language Impairment 8.22 Specific Speech Impairment 369

Definition
Child speech disorders may be developmental or acquired.
Developmental speech disorders are distinguishable from speech
delays by unusual patterns of speech development, as evidenced in
speech data analysis.
The term ‘developmental disorder’ specifies a difference from
‘normal’ patterns of development in relation to chronological age
(Grunwell, 1995). Characteristics of normal developmental
phonological processes, such as ‘stopping, fronting, cluster reduction’
Chapter 8
would not normally be categorised as characteristic of a speech

disorder but as normal immaturities. However where immature
patterns persist after expected norms for maturation they might
contribute to a diagnosis of speech disorder under the definition of
persisting speech difficulties (Pascoe et al, in print). Where
characteristics of both delay and disorder co-exist a diagnosis of
mixed developmental speech delay/disorder may be appropriate.
This section describes a profile of moderate/severe speech disorders
where descriptors and needs are more specific than those outlined in
sections on pre-school, school-age and SLI. However a degree of
overlap is inevitable.
The term ‘speech disorders’ implies a more severe disturbance than
most cases of developmental delay. The severity of the disorder
might be clearly evident at first assessment or it might become
evident in the early stages of therapy, when conventional therapy
approaches prove ineffective or when more evidence emerges, such
as disturbances in connected speech, auditory processing
disturbances, vowel distortions, inconsistencies in speech production
or possible structural factors (tonsils/adenoids/palate function).
In such cases more detailed speech analyses and medical/
psychological investigations are likely to be necessary and the level
of SLT input may need to be reviewed. Additional needs might
include increased speech and language therapy provision: a second
opinion from a specialist therapist, more frequent therapy, regular
liaison with teaching assistants or classroom assistants, or daily
therapy in speech and language unit provision.
Degree of severity in speech disorders cannot be defined in terms of
delay because, unlike language disorders, the most severe speech
disorders are so unusual that they cannot be described in relation to
age or stage of development.

Subjective, non-specific descriptors such as unintelligible speech
may be applied to a spontaneous speech sample but appropriate
intervention would necessarily require specific assessments to
differentiate between the many factors contributing to unintelligibility.
Speech disorders are more precisely described in relation to a range of
theoretical perspectives: phonetic/articulatory disorder (Gibbon, 2002),
articulation disorder with phonological consequences (Grundy and
Harding, 1995), phonological disorder (Dodd, 1995; Grunwell, 1995),
psycholinguistic (Dodd, 1995; Stackhouse & Wells, 1997).
Chapter 8
Specific speech impairment is a term that encompasses specific
difficulty at any level of input or output processing. Severity of
speech impairment can also be defined by the pattern of progress.
An absence of progress in response to extended therapy is indicative
of more severe difficulties.
recommended:
8.5. Bilingualism
8.6. Brain Injury
8.7. Cerebral Palsy
8.11. Deafness
8.12. Dysfluency
8.13. Dyslexia
8.14. Dysphagia
8.16. Mental Health
8.24. Voice
7.2.1 AAC

G I CAN www.ican.org.uk
8.22 Specific Speech Impairment 371

Aetiology
Although many speech disorders can be hypothetically attributed to
Chapter 8
physical constraints such as oro/nasal structure, fluctuating hearing

loss, restricted language use, dyspraxia, etc (Shriberg, 1995), it is not
uncommon for speech disorders to be diagnosed without any
identifiable aetiology.
Recent studies have explored the association between speech
difficulties with a range of variables: pre- and peri-natal problems;
ear, nose and throat (ENT) problems; unusual sucking habits and
positive family history (Broomfield and Dodd, 2004; Fox et al, 2002).
Fox et al (2002) were unable to find a direct link between precipitating
factors and type of speech disorder whereas a further study evolved
a complex system of diagnostic markers for directly linking speech
findings to aetiology (Shriberg, 2003).
Incidence
Few statistics exist which distinguish between speech disability and
speech and language disability. Estimated number of referrals for
speech and language disability in the UK is 85,000-90,000.
Broomfield and Dodd (2004) reported their survey of 1100 referrals to
Middlesbrough PCT, in which 29% of those attending for speech and
language therapy assessment were found to have speech difficulties
and 40% of these children had a primary speech disorder. Within that
study, 35% of the phonological disorders were severe or profound and
would have been classified as ‘specific speech impairments’.

G Speech processing problems can have psychosocial
consequences in school: bullying, low self-esteem and lack of
motivation (Nash and Stengelhofen, 2002).
G Specific speech impairments change very little without intervention
(Broomfield & Dodd, in print).

G Atypical speech processes may stabilise without early
intervention.
G Socialisation and literacy skills, ie reading, writing and spelling,
may be compromised without active therapy prior to school entry
(Nathan et al, 2004).
Managing the Risk at the Level of Service Organisation
Children with speech disorder need direct input from speech and
language therapy in order to progress (Law et al, 2000).
This is best provided by a specialist service that enables:
Chapter 8
G Early differential diagnosis (Williams & Stackhouse, 2000).
Speech assessments that screen primarily for symptoms of
developmental delay, may fail to identify specific speech impairment.
G Early intensive and differential intervention:
G to prevent stabilisation of/to destabilise atypical simplification
processes and their phonological sequelae especially where a history
of hearing impairment is a contributing factor.
G The provision of therapy programmes that are tailored to the
unique needs of the individual with a complex and severe speech
disorder. Intervention may be provided individually, in pairs or in small
groups. General fronting/stopping speech-group approaches to
intervention are highly unlikely to be effective in treating severe
speech impairments.
G Focus on speech impairment. Neglect of specific speech
impairment in favour of treating co-existing language disorders as
the first priority may precipitate a progressive phonological disorder
affecting all phonological development from time of diagnosis to time
of intervention.
G Separate reporting of intervention outcomes for SSI as opposed
to intervention outcomes for delayed speech development.
G Intervention to be provided primarily by an SLT with developed
expertise in complex and severe speech disorder. Follow-up activities
may be continued by an SLT assistant or a teaching assistant in
school but demonstration of specific techniques with frequent
reminders of the technique by the SLT or the use of video therapy, is
essential.
Travel to specialist centres may be necessary for some technically
supported interventions such as electro-palatography (EPG).
Severe persisting speech disorders may require language unit
placement.
8.22 Specific Speech Impairment 373

G To distinguish between characteristics and types of speech delay
and specific speech disorders.
G To identify, assess, diagnose and to investigate and/or treat all
aspects of complex speech disorders: consonant production,
vowels, voice, nasality, prosody, rate, volume, inconsistency
connected speech and intelligibility (Howard, 2004).
G To adopt a hypothesis testing approach to accurately diagnose the
Chapter 8
nature of particularly complex/severe speech disorders and

contributory factors.
G To differentiate between the additional burden of care for SSI
versus speech delay.
G To ensure that therapy approaches are appropriate and targeted
to the nature of the underlying deficits and strengths.
G To inform and advise parents and educators of the nature of each
specific disorder and to introduce problem specific advice.
G To ensure that intervention for speech disorders is based on
appropriate theoretical models and current evidence (Baker &
McLeod, 2004).
G To promote auditory attention in children with a history of
recurrent otitis media and/or hearing loss as early as possible.
G To maximise communicative competence thus promoting social
integration, emotional behavioural competence and educational
attainment including literacy.
Acquired child speech disorders

Acquired child speech disorders most commonly result in motor
speech disorders such as dysarthria or apraxia and their clinical
description and profile of vulnerability is covered in the section on
cerebral palsy.
In children therapy for acquired head injury is particularly complex
because pre-morbid stages of linguistic and speech processing
skills would not be known. Therapy involves stimulating retrieval of
lost function and facilitating resumption of speech development.
Profiles of other acquired speech disorders such as late onset
selective mutism; voice disorders; injury related speech
impairments; sudden onset of hypo- or hypernasality; late
diagnosis of tongue tie and growth related articulatory disorders,

cannot be described as a group and hence guidance will be derived
from other sections of this book.

Chapter 8
Definition
Visual impairment may be congenital or acquired. Several causes of
visual impairment are age-related, eg cataract, glaucoma and
macular degeneration so it is more common in the elderly than in
children.
The term visual impairment is not a single entity. A number of ocular
and systemic conditions can result in a continuum of visual loss,
which can range from blurring of vision, visual field loss to a complete
lack of vision. Severe short sightedness or a refractive error can be a
cause of visual impairment, despite some improvement if spectacles
are worn. Very few people are totally blind.
Visual impairment should not be confused with simple refractive error
such as low levels of short sightedness, which can be corrected by
spectacles or contact lenses.
Some people who have a visual impairment are registered with
social services. There are two categories: severely sight
impaired/blind and sight impaired/partially sighted. It is important to
note that many people who have a visual impairment are not
registered. Registration depends on legal rather than functional
definitions. Therefore, it is not possible to know how well a person
who is registered actually sees in everyday situations.
Visual impairment may include:
G Reduction of clarity of vision: poor visual acuity, or the blurring
of vision. It may affect close vision, distance vision, or both.
G Disturbances of visual field: a loss or disturbance of part of the
field of vision: this may involve central vision, peripheral vision, or the
left, right, upper, and lower fields of vision. Some people experience
a random loss or disturbance of their visual field.
8.22 Specific Speech Impairment 8.23 Visual Impairment 375

G Difficulties affecting eye movements: including difficulties in
maintaining steady gaze and smooth and co-ordinated eye
movements.
G Light sensitivity: problems associated with glare, sunlight, etc.
G Cortical difficulties: problems with interpreting, integrating and
understanding visual stimuli.
G Colour blindness: unusual in females, but affects about 8% of
males.
An individual may be affected by more than one of the above,
Chapter 8
sometimes on a permanent basis, sometimes on a changing or

transitory basis.
Some people who have visual impairment have additional disabilities.
Terminology is confused, inconsistently applied and subject to
fashion, so it is often unclear what any one term (such as visually
impaired with additional disabilities or multiply disabled and visually
impaired) is intended to mean.
What is important is that visual impairment can co-occur with a range
of other disabilities, including for example, severe or profound
learning difficulties (SLD or PMLD), and physical disabilities such as
cerebral palsy, epilepsy, hearing impairment, a progressive
neurological condition and autism.
Some people who have a visual impairment have more than one
additional disability. These different disabilities interact in complex
ways, such that the overall impact is much greater than the simple
sum of the various disabilities. People who have an acquired
neurological event such as stroke or traumatic brain injury can also
experience visual difficulties as a result of the brain damage.
The term deafblind is increasingly being replaced by dual (or even
multi-) sensory impairment. There is no widely accepted definition.
For some education professionals, deafblind is applied to a child who
has both a visual and a hearing impairment of sufficient severity to
warrant substantial curriculum intervention or differentiation. This
excludes children with severe or profound learning difficulties and
those with a mild to moderate dual sensory impairment who function
primarily as having either visual or hearing impairment, and who are
broadly within the typical developmental range for their age.
Currently, a significant number of children who have visual
impairment and additional disabilities are from ethnic minority groups,
so bilingualism is sometimes a factor.

There are grounds for believing that visual defects can play a
significant role in dyslexia, and there is increasing evidence of visual
dysfunction in some people with autism spectrum disorder.
Cross-referencing with all the chapter sections is recommended.

support
G The Royal National Institute of the Blind www.rnib.org.uk
G RNIB See Change booklet on visual impairment and stroke in
Chapter 8
older people www.rnib.org.uk
G The National Federation of Families with Visually Impaired
Children. www.db2design.co.uk/look/userupdate/default.asp
G Scottish Sensory Centre www.ssc.mhie.ac.uk
G National Blind Children’s Society www.nbcs.org.uk
G Sense, for children and adults who are deafblind or have
associated disabilities www.sense.org.uk
G Hearing and sight loss: A handbook for professional carers. Butler
(2004). Age Concern
Aetiology
Perfect vision requires that three components work perfectly: the
eyes, including their muscular control system, the optic nerve, and
the visual cortex of the brain.
A visual impairment may arise if there is something faulty with any of
these three components. In some people there are problems with two
components; in some, with all three.
G Ocular defects: damage to, or disease of, the eye, which may be
of accidental, genetic or unknown origin, or associated with disease,
eg diabetes.
G Cortical visual impairment (or cerebral visual dysfunction):
affecting vision at some stage after the light energy received by the
eye is converted into electrical energy. It is likely to be associated with
brain damage or compression, (congenital or acquired), such as a
stroke, tumour or head injury. Cortical visual impairment can include
blurred vision, double vision (diplopia), visual field loss (homonymous
hemianopia) and perceptual difficulties such as visual agnosia where
face and object recognition are problematic.
A study carried out on a general population of elderly people in
Rotterdam in The Netherlands, concluded that, “…after glaucoma,
8.23 Visual Impairment 377

stroke was the second most common cause of visual field loss in
persons younger than 75 years” (Skenduli-Bala et al, 2005).
G Squints (strabismus): generally, onset is in infancy, although it
can be associated with neurological problems in older people.
There are many causes of visual impairment, which cannot all be
listed here.
See Bowman et al (2001) for the causes of visual impairment in
children.
The website of the Royal National Institute of the Blind (RNIB)
Chapter 8
provides further information about numerous conditions.

Visual impairment should not be confused with reduced vision which
includes:
G Refractive errors, which result from the failure of the eye to bend
rays of light appropriately. Refractive errors can be corrected with
spectacles.
G Cataracts, resulting in gradual blurring of vision, which can be
operated on in a simple day case procedure, dramatically improving
the vision, after which a sight test is necessary.
Prevalence
Department of Health (DH) survey data suggests that there may be
as many as two million people in the UK with sight problems, the
majority being over 60 years of age. This is exemplified in the DH
figures for England (2003).
22% of people registered as blind had additional disabilities (34,145
people).
Table 7: Number of people on the register of blind people by

age group
0–4 5–17 18–49 50–64 65–74 75+ All ages
725 3,230 17,090 14,520 15,460 105,655 156,675
Table 8: Number of people on the register of partially sighted

people by age group
0–4 5–17 18–49 50–64 65–74 75+ All ages
585 4,230 15,315 12,935 16,640 105,525 155,230

25% of all registered blind people who had an additional disability
were also recorded as deaf or having a hearing impairment.
20% of people registered as partially sighted had additional
disabilities (31,135 people).
23% of all registered partially sighted people who had an additional
disability were also deaf or had a hearing impairment (1,830 Deaf,
5,025 HI).
Children
Chapter 8
An RNIB survey (2003) estimated that two children in every 1000 in
the UK are blind or partially sighted. 50% of the population surveyed
were shown to have additional disabilities: 30% with severe or
profound and multiple learning difficulties (Skenduli-Bala et al, 2005).

G Children who have a visual impairment are at risk with regard to
acquiring the basic skills of interacting with other people, and thus
may experience significant delays in the development of
communication. They may follow a developmental path that is
different from that in sighted children. Paradoxically, once language
skills are well developed, children who have a visual impairment rely
even more on language for learning about the world than sighted
children do.
G Children who have visual impairment with additional disabilities are
at even greater risk with regard to acquiring interaction and
communication skills. For many, AAC will be necessary.
G There is a risk that individuals who have visual impairment lack
social awareness and develop inappropriate behaviors; there may
thus be a greater risk of children being teased, bullied or isolated at
school or adults experiencing difficulties at work.
G There is an increased risk of child protection and vulnerable adult
issues.
G Individuals with a visual impairment are at risk of social exclusion
and isolation.
G There may be reduced employment opportunities for people
who have a visual impairment.
G There is a reduced awareness of risk to own safety caused by
visual impairment.
G Acquired visual impairment can limit rehabilitation opportunities
8.23 Visual Impairment 379

and return to activities of daily living, including driving.
G Visual impairment can lead to increased anxiety about
situations.
G There is a risk that visual impairment can mask other
difficulties, such as language difficulties, cognitive function and
perceptual awareness.

G Assisting in the assessment of visual impairment of
Chapter 8
individuals with speech and/or language difficulties.

G Profiling the communication strengths and difficulties of an
individual with visual impairment.
G Supporting carers and other professionals in promoting the
acquisition of early interaction and communication skills in young
children and those who have visual impairment with additional
disabilities.
G Supporting carers and other professionals in promoting the
acquisition of language skills and social skills.
G Supporting carers, friends and other professionals in
promoting the rehabilitation of interaction, communication and
social skills in those with an acquired visual impairment.
G Advising carers and other professionals with regard to AAC
and supporting and promoting its use.
8.24 Voice
therapy services undertaking reviews of service organisation
and provision. Therapists seeking detailed clinical guidance are
referred to the RCSLT Clinical Guidelines (2005), position papers
and Reference Framework: Underpinning Competence to Practise
Definition
Voice disorders classification (Mathieson, 2001):
1) Organic
a) Structural abnormalities: congenital, eg laryngeal web;
acquired, eg trauma.
b) Neurogenic, eg RLN paralysis.

c) Endocrinological, eg myxoedema
d) Laryngeal disease, eg neoplasms
2) Behavioural
Hyperfunctional
a) Muscle tension Dysphonia (MTD) without observable changes in
the vocal fold mucosa (vocal strain/vocal misuse).
b) MTD leading to changes in the vocal fold mucosa (vocal abuse),
eg vocal fold nodules.
Psychogenic
Chapter 8
eg conversion symptom/dysphonia.
Voice disorders range from complete absence of the voice
(aphonia) to varying degrees of vocal impairment (dysphonia).
Abnormalities can involve one or more of the vocal parameters:
habitual pitch, pitch range, loudness, vocal note quality, resonance,
flexibility and stamina.
recommended:
8.7. Cerebral Palsy
8.12. Dysfluency
8.14. Dysphagia
8.16. Mental Health
8.19. Progressive Neurological disorders
7.2.1 AAC

support
G The Centre for Change and Innovation (CCI) at the Scottish
Executive individual pathways for ENT, including a pathway for
hoarseness www.cci.scot.nhs.uk
G RCSLT Clinical Guidelines (2005), section on Voice www.rsclt.org
G RCSLT Clinical Guidelines (2005), section on Use of
Nasendoscopy www.rcslt.org
G British Voice Association www.british-voice-association.com
G The General Teaching Council for Scotland (2002) Voice and the
Teaching Profession www.data.teachers.org.uk/resources
G Voice Care Network www.voicecare.org.uk
8.24 Voice 381

Aetiology
Whatever the underlying aetiology, vocal changes are the
manifestation of disordered laryngeal, respiratory and vocal tract
function, that might reflect structural, neurological, psychological and
behavioural problems as well as systemic conditions (Mathieson,
2001).
The aetiology of many voice disorders is multifactorial with
behavioural, emotional and lifestyle factors either influencing the
individual’s management of the problem or being the primary cause
Chapter 8
of the problem. The outcome of intervention can only be successful

if the aetiological features are accurately identified and acted upon
by the clinician and individual (Stemple, Glaze and Gerdman, 1995).

One study in England revealed a prevalence of 121 cases of voice
disorder per 100,000 population (Mathieson, 2001).
It has been suggested that up to 40,000 new individuals with
dysphonia are referred to and treated by SLTs annually in Britain
(Carding, 2000).
There is much more awareness of voice problems as an
occupational health risk, so more people are coming forward for
help with their vocal problems.
‘Professional voice user’ is often applied to those individuals whose
professional role and employment are dependent on effective and
efficient voice use, eg actors, politicians, radio announcers,
barristers, the clergy, singers, teachers and lecturers (Martin &
Darnley, 2004). People who use their voice professionally are at risk
of occupational voice disorders.
A large-scale survey found that 20% of teachers reported voice
problems during the teaching year (Russell et al, 1998).
Approximately 15% of individuals attending voice clinics are
teachers (Morton & Watson, 1998; Bufton, 2000).

Health
G Dysphonia may be the first symptom of laryngeal pathology, which
if left untreated, can progress into a more serious medical condition
and require surgery.

G Untreated voice disorders can develop into more complex
disorders, which may have serious economic, psychosocial and
personal consequences.
G The treatment of a voice problem is likely to reduce its severity and
the time needed for recovery (Russell et al, 1998; Lehto et al, 2003).
Economic/employment consequences
G Dysphonia is an occupational health illness affecting workers in a
wide range of jobs, such as teaching, call centre workers and
Chapter 8
aerobics instructors (Heidel & Torgerson, 1993; Pearson, 2001).
G Professional voice users may have careers disrupted by voice
rest, surgery or diminished vocal power associated with a disordered
or diseased larynx (Rulnick et al, 1998).
G Studies have demonstrated the effects of teaching on voice
problems and the adverse impact on professional careers is well
documented. In the 1990s, the courts found in favour of two
teachers whose voice loss, which effectively forced them into early
retirement, was agreed to be the result of their teaching roles (Martin
& Darnley, 2004).
G In a study of 100 teachers with dysphonia, 96% complained of
vocal fatigue (Calas et al, 1998).
G 20% of teachers may miss work because of voice problems
(Smith et al, 1998).
Psychosocial effects/family and social relationships

All voice disorders reduce the speaker’s communication
effectiveness in various ways, such as impaired intelligibility, self
image difficulties, family and social relationship problems and
emotional issues. Psychosocial effects such as anxiety and
depression may also occur (Mathieson, 2001; Scott et al, 1997).

To provide a combination of clinical expertise, multidisciplinary
working, research and technology so that this client group can have
the highest standard of voice care from referral to discharge.
As a result of the service, a large percentage of individuals will be
enabled to achieve a voice which falls within an accepted range
whereas for others, the goal may be optimum voice. In addition to
this service being individual orientated, it must also inform
8.24 Voice 383

commissioners about the needs of the client group and the impact of
vocal problems.
Key aims (Mathieson, 2001).

G To assess individuals referred to the service with voice disorders
and provide appropriate intervention and management after
diagnosis, formulating an hypothesis and setting goals to improve
vocal functioning.
G To reduce or eliminate vocal tract discomfort.
Chapter 8
G To improve laryngeal function.

G To eliminate/reduce potentially damaging vocal tract manoeuvres.
G To reduce distress related to the voice disorder.
G To restore the vocal skills necessary for the individual’s
occupational and social needs.
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Acts of Parliament
The Children’s Act 1989
Mental Health Capacity Act 2005
Race Relations Amendment Act 2000

Chapter 9
Service Monitoring,
Improvement,
Evaluation and
Development
9.1 Quality Framework for Clinical Services
9.1.1 What is quality?
9.1.2 Clear national standards
9.1.3 Provision of services that comply
with the standards
9.1.4 Service monitoring and improvement
9.2 Monitoring Clinical Effectiveness:
Assessing the Impact and Outcomes of
Clinical Services
9.2.1 Health, educational and
psychosocial benefits
9.2.2 Speech and language therapy
outcomes
9.2.3 Evidencing outcomes
9.3 The Relationship between Service
Audit, Evaluation and Research
9.4 Service Improvement and Development
9.4.1 Service improvement
9.4.2 Service development
9.4.3 Service development plans
9.5 Development of Research Capacity
within Services
9.5.1 Individual responsibilities
9.5.2 Organisation responsibilities

9.5.3 Resources
9.6 Services Responding to Imposed Structural Change
9.6.1 Context of change
9.6.2 Implications for service users
9.6.3 Clinical governance
9.6.4 Resources
References
9.1 Quality Framework for Clinical Services

Chapter 9
The new NHS will have quality at its heart. Without it there is
unfairness. Every patient who is treated in the NHS wants to know
that they can rely on receiving high quality care when they need it.
Every part of the NHS, and everyone who works in it, should take
responsibility for working to improve quality (DH, 1997).
The governments across the four UK countries are committed to
improving the quality of services within the independent sectors and
the public sectors of health, education and social care.
9.1.1 What is quality?
Any assessment of quality will depend on the particular values and
perspective of the person making the assessment.
In recognition of this, regulatory and inspection bodies are now
taking a multiple perspective view of services provided. This
includes identifying how to assess quality from the perspective of all
stakeholders including the commissioners of services, managers,
professionals and, with patient choice at the heart of policy
developments, individual service users and carers (Huycke et al,
2000; Maxwell, 1984; Ovretveit, 1998).
Key dimensions of quality services:
G Accessibility (ease of access for individuals. Includes tackling
such factors as distance, time and linguistic or cultural barriers).
G Equity (equal services for individuals with equal needs; reducing
health variations by targeting need).
G Effectiveness (the intervention achieves the desired effects).
G Relevance (services are appropriate to need).
G Efficiency (services achieve the desired effects most
economically).
G Responsiveness (meets individual/carer needs whilst being
responsive to changes in circumstances and knowledge).

G Safety (services minimise the risk of harm and actual harm).
G Appropriateness of resources, services and information in
order to achieve the above. This includes:
G skilled staff in sufficient numbers (appropriate skill-mix of staff;
knowledgeable and skilled in using evidence-based practice)
G networks across services and agencies
G information systems collecting and providing relevant
information
G Governance (leadership and accountability for all activity).
Chapter 9
Making a commitment to quality a reality involves establishing and
maintaining a system of national and local accountability and
monitoring, and developing programmes of quality improvement.
The system, implemented within the NHS in order to engineer a
quality service in which the public would have confidence, involves:
G clear national standards
G provision of services that comply with the standards
G service monitoring and evaluation.
9.1.2 Clear national standards
National service standards

National service standards are available through the relevant sector
inspectorates:
England
G Health: Healthcare Commission.
www.healthcarecommission.org.uk
G Social Care: Commission for Social Care Inspection (CSCI)
www.csci.org.uk
G Education: OfSTED www.ofsted.gov.uk
The Healthcare Commission is working closely with the CSCI and
OfSTED to develop a joint inspection framework and will be merging
with the CSCI by 2008.
Northern Ireland
G Education: Education and Training Inspectorate
www.deni.gov.uk/inspection_services
G Health and social care: Monitoring the health and personal social
services is the duty of the four health and social service councils –
Service Monitoring, Improvement, Evaluation and Development 9.1 411

one for each board area. The councils advise the public about
services. They also advise on how services might be improved.
www.dhsspsni.gov.uk/hss/index.asp
Scotland
G Education; HM Inspectorate of Education www.hmie.gov.uk
G Health: NHS Quality Improvement Scotland
www.nhshealthquality.org
G Social services: Care Commission www.carecommission.com
Chapter 9
Wales
G Health: Healthcare Inspectorate Wales www.hiw.wales.gov.uk
G Education: HM Inspectorate for Education and Training in Wales
(Estyn) www.estyn.gov.uk
G Social Services: Care Standards Inspectorate for Wales
www.csiw.wales.gov.uk
RCSLT
See Appendix 1 for a summary of speech and language therapy
minimum service standards.
National clinical standards

National policy frameworks on service provision across the UK set
out what individuals can expect to receive from the health service in
major care areas or disease groups.
National clinical guidance and standards build on these frameworks
and should form part of service development plans. Clinical guidance
and standards are available from a number of sources:
G National Institute for Health and Clinical Excellence (NICE)
www.nice.org.uk currently produces three kinds of guidance:
i. Technology appraisals – guidance on the use of new and existing
medicines and treatments within the NHS in England and Wales.
ii. Clinical guidelines – guidance on the appropriate treatment and
care of people with specific diseases and conditions within the NHS
in England and Wales.
iii. Interventional procedures – guidance on whether interventional
procedures used for diagnosis or treatment are safe enough and
work well enough for routine use in England, Wales and Scotland
G Quality Improvement Scotland (QIS)

www.nhshealthquality.org/nhsqis/qis
G Provides advice and guidance to NHSScotland on effective clinical
practice.
G Sets clinical and non-clinical standards of care to help improve
performance.
G Scottish Intercollegiate Guidelines Network SIGN (Scotland)
www.sign.ac.uk/guidelines develops evidence-based clinical
guidelines for the NHS in Scotland.
G RCSLT produces clinical guidelines and position papers related
Chapter 9
specifically to speech and language therapy www.rcslt.org
9.1.3 Provision of services that comply with the standards

Consistent action is required locally in order to ensure that:
G national standards and guidance are reflected in the provision and
development of local services
G local patient and public views become an integral part of reflection
on and development of services to meet local needs
That action is guided by a system of governance and is backed up
through lifelong learning by staff; through professional self-regulation
and through external inspection.
What is governance?
Governance is a framework through which organisations are
accountable for continuously safeguarding standards of service
provision and for continuously improving the quality of services.
What is professional self-regulation?

Standards for individual professionals are set by the speech and
language therapy regulatory body, the Health Professions Council
(HPC) within its Standards of Proficiency (2003) and Standards of
conduct performance & ethics, (2003) available at: www.hpc.org and
by the RCSLT in chapter 1, Professional Framework.
Support practitioners are not currently (2006) regulated but should
be guided by the code of ethics contained within the Professional
Framework chapter.
9.1.4 Service monitoring and improvement

Standards will be assured through:
G external monitoring

G an internal system of governance covering all service functions
External monitoring
Inspectorates across the four countries use differing frameworks to
monitor the quality of service provision. However, there is a general
trend towards emphasising outputs and outcomes rather than
structure and process.
For further information visit the websites referenced in National
Service Standards section above.
Chapter 9
Internal monitoring
Services will wish to monitor service performance in line with the
requirements of external monitoring systems and service
governance.
Performance across quality domains may be evidenced through:
G a range of clinical and service data, with an increasing emphasis
on outputs and outcomes
G detailing of policies and procedures across a range of domains
Services should have available relevant, easily accessible and
comprehensible information in order to support decision-making at
service and commissioning levels.
Audit and service improvement

Continuous service audit allows for incremental changes to be
implemented as part of ongoing service improvement.
Examples of information that services may wish to audit to
evidence quality and quality improvements over time:
G Accessibility:
G waiting list figures for assessment and therapy
G proximity of specialist services and usage
G burden of travel for users
G compliance with Disability Discrimination Act (DDA)
G where individuals are seen.
G Equity:
G availability of level of expertise appropriate to the conditions being
treated
G accessing of interpreters
G profiling of service users including ethnicity and languages
spoken.

G Effectiveness:
G outcomes of intervention
G records of any negative effects that might be attributed to speech
and language therapy intervention
G performance in relation to predetermined service goals and
objectives
G number of complaints
G number of praises
G age/stage/frequency/intensity/style of therapeutic intervention in
Chapter 9
relation to outcomes.
G Relevance:
G range of services available
G individual/carer satisfaction.
G Efficiency:
G numbers of appointments offered and taken up by individuals or by
specific cohorts of individuals in a given time period
G keeping of case notes
G length of waiting times.
G Responsiveness:
G user satisfaction.
G Safety:
G number of near misses or instances of harm being done
G Appropriateness of resources, services and information
G Skilled staff in sufficient numbers:
G numbers of staff and skill mix in relation to population
G caseload per member of staff
G workload per member of staff
G recruitment and retention figures
G each member of staff has a personal development plan
G CPD activity.
G Networks across services and agencies
G number of referrals from and to other agencies
G co-working figures
G number of second opinions sought.
G Information systems collecting and providing relevant
information:
G information readily accessible and available.
G Governance:
G systems, policies and procedures in place in relation to all of the above

G clarity in relation to responsibilities and where accountability for given
aspects of service decision-making lies.
Speech and language therapy practitioners should be aware of the
criteria by which the therapy they provide will be examined. They will
need to know about the policies and procedures, standards and
performance measures set at national and local levels and in use
within their working context.
Chapter 9
9.2 Monitoring Clinical Effectiveness: Assessing

the Impact and Outcomes of Clinical Services
Purpose of monitoring clinical effectiveness

G To provide a means of quality assurance.
G To identify both highly effective and less effective aspects of
service practice.
G To identify efficient/effective speech and language therapy practice
through comparison with other similar services.
G To monitor and improve service delivery.
G To provide information about service activity.
G To aid business case preparation and bids for service
development.
G To enable the value of speech and language therapy to be
communicated to stakeholders.
G To contribute to the speech and language therapy evidence base.
G To help focus practitioners on shared professional purpose through
provision of framework for assessing the benefits of speech and
language therapy.
G To clarify intended purpose of intervention.
G To enhance record keeping.
G To identify areas for change.
G To identify scope and boundaries of practice, eg skill mix, second
opinions.
G To support decisions related to resource allocation.
G To manage clinical risk.
G As a basis for reflection.
In line with the current trend towards evidencing outcomes, the
primary focus here is on clinical effectiveness, and evidencing the
results of intervention with clients (whether individual or population).

Methods for collecting and analysing the health, educational and
psychosocial benefits and outcomes for clients receiving speech and
language therapy are likely to be influenced locally by commissioning
requirements and the systems set up by managers to report on
effectiveness.
Methods for assessing the impact of speech and language therapy
need to be set within a model of working that emphasises the need
for reflection and that holds the notion of health benefits and
outcomes as an integral part of practice.
Chapter 9
Figure 1 sets out a model of working which has quality improvement
for the individual or at-risk group at its heart and embodies the notion
of reflective practice that all practitioners are familiar with (RCSLT,
2005).
Plan: make a judgement about what the situation entails and how to
best meet the needs identified.
Do: carry out the plan of action and document the results.
Check (study): evaluate the results.
Act: put the learning to good use by making any changes to practice
that are indicated. Use the learning to inform the next stage of
planning.
As can be seen, the model is relevant to four levels of working:
G the individual practitioner
G the team
G the service
G the commissioner.
Each level is informed and enhanced by information from the other
levels. The model therefore describes a complex interdependency of
action and reflection around meeting the needs of the individual or
at-risk group and improving services.
Clinical effectiveness and multidisciplinary/multi-agency

working
Speech and language therapy services are placing increasing
emphasis on multidisciplinary/multi-agency working and
multidisciplinary/multi-agency performance measures. For example,
in the field of cleft lip and palate, surgical or ‘team’ outcomes are the
norm, as opposed to speech and language therapy specific
outcomes.
Services may find that their contribution is increasingly assessed by

Figure 1: Cycle of speech and language therapy
intervention
Act Plan based on

1. Decide what changes, if • discussion and
any, might be needed to reflection
improve intervention process • agreed aims
and results • risk assessment
2. Report results, together • baseline
Chapter 9
with recommendations to: assessment

• client/carer to inform care • available resources
choices
• practitioner to inform
practice
• team to inform service
organisation and process
• organisation to inform
quality assurance agenda
• commissioners to inform
commissioning of services
SERVICE
FOCUS
A) Individual
B) At-risk
group
Do
Intervention plus
documentation of process
Study and evidence of results:
Evaluation of the • health/educational/
relevance and psychosocial benefits
impact of results • process indicators
including audit, • outcome measurement
internal • outcome indicators
benchmarking • goal attainment
and/or external • wellbeing/satisfaction
benchmarking indicators
= Practitioner level = Team level
= Employing organisation level = Commissioner level*
* For the independent practitioner, often the commissioner is also the client.
* In some contexts, the employing organisation may also hold the commissioning role. In other
contexts, the commissioning role is located externally.

broad team performance indicators, for example, an individual
pupil’s attendance and performance in an educational context.
Clinical effectiveness and evidence-based practice

Service standard 56: Clinical care standards are linked to the
published research evidence base and consensus views on
best practice
See section 5.3.6 on Evidence-based practice: research utilisation.
Chapter 9
9.2.1 Health, educational and psychosocial benefits
The full range of health, educational and psychosocial benefits is
best assured by services that offer a range of services targeting
the needs of at-risk groups as well as the needs of referred
individuals.
Health, educational and psychosocial benefits of speech and
language therapy are as follows:
G improvement in general health and wellbeing
G increased independence
G improved participation in family, social, occupational and
educational activities
G improved social and family relationships
G increased literacy skills
G reduction in the negative effects of communication disability
and the harm or distress this may cause to the individual and
others
G reduced risk of poor nutrition and invasive procedures such as
surgical intervention in the case of individuals with swallowing
disorders
G reduced health risks and length of hospital stay through the
prevention of respiratory problems associated with swallowing
difficulties
G reduced risk of surgical intervention by maintaining healthy voice
mechanisms
G reduced risk of inappropriate prescribing of medication, for
example, through diagnosis of autistic spectrum disorder as
opposed to psychosis
G reduced risk of educational failure
G reduction in challenging behaviours including anti-social or crime-
related activity

G reduced risk of social isolation
G prevention of certain speech, language and communication
disorders
G increased participation in society.
Accruing benefits
Health, educational and psychosocial benefits are described from the
perspective of the individual, but can be used to extrapolate benefits
for the immediate family, for the local community and for broader
Chapter 9
society.
For example, an improvement in individual communication abilities
can lead to:
G increased independence
G increased self esteem
G increased sense of citizenship
G improved relationships
G a decrease in anti-social behaviours
G a decreased risk of educational failure.
All of which will benefit the family and broader society and ultimately
be of economical benefit.
9.2.2. Speech and language therapy outcomes

G diagnosis of communication and/or swallowing disorders
G maintenance of optimal communication and/or swallowing abilities
G improvement in the communication abilities of an individual in
whatever language is appropriate to that person
G facilitating use of existing function
G facilitating optimal function following oral surgery, (eg cleft palate,
tongue reduction, laryngectomy)
G reduction of communication anxiety and avoidance
G decreased impact of the speech, language and communication
disorder (SLCD) on the individual’s functioning
G provision and use of alternative or augmentative communication
where oral communication is limited or precluded by a physical or
psychological condition
G improvement in interaction and effective social communication
G increased awareness of others about communication and/or
swallowing disorders, intervention and management
G improved communication environment

G greater opportunities for communication
G improvement in the individual’s understanding of the nature and
implications of a communication and/or swallowing disorder
G improvement in parenting skills.
9.2.3. Evidencing outcomes

1. Outcome indicators
Indicators are specific items of data that are tracked to give an
Chapter 9
indication of how intervention is having an impact. An indicator, or set
of indicators, represents a concept that is related to the hoped for
effects.
Concept Indicator
Participation Accessing of family, social, community,

vocational and educational opportunities
Exclusions from class, school, further
education colleges or day services
School attendance
Physical Health Number of hospital admissions

Child’s weight and growth
Psychosocial Number of emergency assessment and

health treatment admissions due to placement
breakdowns
Number of incidents where an individual
challenges supporting staff or
relatives/carers
Use of PRN medication or physical
intervention
School readiness Baseline measurements at school entry
By monitoring trends using indicators, services may gain evidence of

a likely outcome for an individual or at-risk group.
Indicators are a useful adjunct to measurement systems, especially
when change is not readily amenable to measurement. This is

typically the case when the main focus of intervention is to provide
information and support, to modify/adapt regimes, or to prevent
further health, education or psychosocial difficulties. In the latter
circumstances, the use of peer-reviewed goals, health status
measures, self-rating scales, questionnaires and analogue scales are
also ways of reflecting on outcomes and providing information on the
value added by speech and language therapy.
Goal attainment as outcome

Chapter 9
As with other indicators, goal-based indicators detailing the number

and percentage of clients who achieve/partially achieve/do not
achieve their goals, are a useful adjunct to measurement. However,
in order to be considered as an appropriate, quality indicator of
effective intervention, goals need to conform to certain criteria.
Goal setting principles

Goals may relate to communication behaviour, skills, knowledge,
attitudes, values, emotional state and medical condition of the
referred individual.
Goals may also relate to the communication behaviour, skills and
attitudes of those within the individual’s environment
Goals should be:
G ethical
G relevant to the client, carers and context
G needs based
G evidence based (where evidence is available)
G focused on functional, participative aspects of life wherever possible
G formulated in conjunction with client/carer
G formulated in conjunction with other members of the team where
appropriate
G specific, measurable, achievable, relevant and timed (SMART)
G defined in agreed terms, ie using shared terminology. This may
involve using the client’s opinion, in words or in another form of
communication
G jargon-free
G take into account the skills and knowledge of the agent of change
G regularly reviewed
G discussed, agreed and evaluated with clients and, where
appropriate, with carers.

Goal setting should be subject to periodic peer-review. It should be
noted that, because of the subjectivity and variability around
goal setting, goal-achievement data cannot be aggregated and
used as a benchmark for services.
Goal setting when working within a multidisciplinary team setting

Within all agencies in the UK, there is an increasing emphasis on
multidisciplinary working and joint goal setting.
Although goals in certain settings (for example, independent
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practice) or for certain individuals (for example, adults with dysfluent
speech or pre-school children who are not accessing day care) may
be uni-disciplinary, therapists may often need to link with other
agencies or professions in setting goals.
There is currently no law covering joint team accountability. This
means that each professional carries individual accountability for
their actions carried out (or not carried out) within the team.
Where joint working is undertaken and where appropriate, any
speech and language therapy-specific outcomes should link to those
of other professionals.
Where achieving such outcomes is dependent on other
professionals, the respective roles and contributions of personnel
should be specified.
2. Measurement of outcomes
a) Qualitative measures
Wellbeing/satisfaction
Client/carer reports on changes in health and wellbeing following a
period of intervention is a further way of evidencing the effectiveness
of speech and language therapy. Health status measures, self-rating
scales and questionnaires are all useful ways of capturing change.
b) Quantitative measures
Measurement involves the use of standardised, reliable and validated
tools to record baseline and end-of-episode or discharge status.
Measurements are particularly important for comparing results
across services and establishing benchmarks. Thus they will support
and promote service evaluation and multi-centre audit/research.
As part of individual profiling, standardised assessments or the use of
instrumental tools, (eg acoustic computerised analysis and

videofluoroscopy) may be appropriate to measure baselines and change
within specified aspects of functioning. However, the results of
standardised assessments do not necessarily equate to outcomes that
are, in turn, associated with health, educational and psychosocial benefits.
Measures should be appropriate to the setting and to the aims and
scope of the intervention. Therapists need to be clear what
parameters they are measuring and that these are the relevant ones.
Example 1
Assessing the effects of speech and language therapy intervention
Chapter 9
in relation to children referred with eating/drinking difficulties

Possible outcomes of speech and language therapy intervention:
G resolution of difficulties
G avoidance of further risk through use of appropriate feeding strategies
G enhanced oral/pharyngeal function through a programme which
modifies feeds or uses compensatory strategies
G modified/adapted regime through facilitation of adequate nutrition
using non-oral methods, supported by appropriate non-nutritive
programmes to sustain oral-motor function
G reduction of feeding anxiety and avoidance by supporting and
reassuring carers.
Possible health, education and psychosocial benefits of speech
and language therapy intervention:
G improvements in the child’s health
G reduction in the number of hospital admissions
G improved participation in family mealtimes
G improved social and family relationships
G reduction in the negative effects of feeding difficulties and the
harm or distress this may cause to the child and the family
G reduced risk of educational failure.
Outcome indicators to be tracked
G child’s weight and growth
G hospital admissions due to right lobe aspiration infection
G school attendance
G goal achievement:
G jointly evaluated progress against specific goals at regular intervals
G implemented changes in the child’s feeding regime which enhance
oral/pharyngeal function.
Outcome measurement
A) Qualitative:

G questionnaire completion by parents/carers pre- and post-
intervention
G diary of nutritional intake
G personal evaluations by children and young adults of any changes.
G reported changes in parents/carers management of feeding
strategies which can improve the experience of mealtimes for the child.
B) Quantitative:
G re-assessment of skills using the same assessments, for example,
videofluoroscopy, POSP, SOMA and so on.
Chapter 9
Example 2
Assessing the effects of speech and language therapy intervention
in relation a targeted at-risk group: Talking tots playgroup
Possible outcomes of speech and language therapy intervention:
G improved play skills
G improved communication skills
G improved parent/child interaction
G improved attention skills
G improved awareness of self as one of a group
G improved conformity within a group.
Possible health, education and psychosocial benefits of speech
and language therapy intervention:
G increased access to school curriculum at school entry
G reduced risk of educational difficulties
G increased social participation
G improve parenting skills
G timely access to tier 3 services as appropriate
G improved social and family relationships.
Outcome indicators to be tracked:
G attendance/participation in group
G accessing of toy library by families
G proportion of children in sure start area with increased
performance on school foundation measures
G goal achievement:
G jointly (parent and therapist) evaluated progress against specific
goals at regular intervals.
Outcome Measurement
A) Qualitative:
G parent report on own confidence in parenting

G parent report on changes in child behaviour.
B) Quantitative:
G language assessment using Sure Start language measure (SSLM)
pre and post group
G observational ratings related to child attention, concentration and
interaction
G pre and post group measures of, eg number of opportunities
parent provides for child to play and communicate; number of times
the parent allows the child to take the lead; the number of times the
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parent provides good models of language.

For further information on outcomes see:
Squires, A J (Ed). Rehabilitation of older people: a handbook for the
multidisciplinary team, Chapman Hall. 1996 (2nd Edition)
Frattali, C (Ed) Measuring outcomes in speech-language pathology.
Thieme, 1998.
Enderby, P. “Making speech pathology practice evidence based: Is
this enough?” in Advances in Speech and Language Pathology,
2004: 6.2; pp125-126.
9.3 The Relationship between Service Audit,

Evaluation and Research
What is service audit?

A service audit cycle includes the following steps:
G observing current practice
G setting standards of care
G comparing practice to standards and implementing change.
This is a continuous process.
It has been suggested that audit is similar to research. The main
difference is that whilst research aims to influence clinical practice in
its totality, audit aims to influence activity on a local level.
Audit is useful when the need is not to understand practice in detail,
but simply to look at outcome data.
What is service evaluation?

An evaluation is applied research for a purpose. It is a structured
process concerned with making an assessment, judging an activity
or a service against a set of criteria.

Evaluation is useful for looking in detail at service practice in order to
see, for example:
G whether the service is meeting the needs of service users
G whether the service can be improved
G what happens to individuals after an intervention is finished
G whether resources are being used to the best advantage by
providing care in a particular way
G whether the service should continue.
For further information see 9.4 Service Improvement and
Chapter 9
Development.
What is service research?

Research is designed to provide generalisable knowledge. The
results of research are not just about specific programmes or areas,
they have the likelihood of being applicable to similar services
elsewhere. Many of the methods of research are those used in
evaluation, but the focus is different, the scale of resources required
is likely to be different, along with the level of skills and knowledge.
Is audit, evaluation or research to be chosen?

Services should be clear about the questions they are seeking to
answer in order to ascertain whether audit, evaluation or research is
required.
Consideration should also be given as to whether a mix of
approaches is appropriate, for example, a local audit added to
existing research findings will avoid the onus of a full scale evaluation
but still provide some local data and greater credibility.
For further information see the: Trent focus service evaluation toolkit,
available at the Department of Health’s website, at:
www.dh.gov.uk/assetRoot/04/09/81/83/04098183.doc
www.dh.gov.uk/assetRoot/04/09/82/63/04098263.doc
9.4 Service Improvement and Development
9.4.1 Service improvement

Continuous service audit allows for incremental changes to be
implemented as part of ongoing service improvement.
Service evaluation is designed to have a greater degree of impact
Service Monitoring, Improvement, Evaluation and Development 9.3/9.4 427

and may involve radical changes to service provision.
Some changes to service provision may be implemented within
current resources whilst other, larger-scale changes may be classed
as service development and require additional resources in order to
be implemented.
9.4.2 Service development

Commissioning context
Chapter 9
With all service development issues it is important to understand the

process and context in which the development is taking place at
local, regional and national levels.
The central themes across the UK across health and social care are:
G For patient care – the move from a professional to patient/service
user centred focus, an increase in self-care and health promotion
with the premise of the patient as an expert. An increase in focus on
patient choice.
G For workforce issues – a move to an adaptable workforce that can
meet the changing health and social care needs of the population as
the demographic changes in the UK affect both health needs and the
available workforce.
The need to demonstrate the quality and impact of care in terms of
health, educational and psychosocial benefits is discussed in detail
within 9.1 Quality Framework for Clinical Services and 9.2 Monitoring
Clinical Effectiveness.
Drivers within health and social care for the four countries include:
the AHP Career Framework, the Knowledge and Skills Framework,
Skills for Health and Lifelong Learning as well as the priority
areas/frameworks for each country based around children, cancer,
coronary heart disease, diabetes, living with long term conditions,
mental health, and older people, and changing directions for the
allied health professions.
The governments are looking for a flexible workforce engaged in
lifelong learning, with the skills to provide the right intervention and
care, and the ability to change roles in response to the needs of the
local community. Allied health professionals are being asked to
express their shared knowledge and skills together with a statement
about the specific nature of their expertise so that services can be
provided more flexibly.

In each of the four countries structures have been set up with groups
at national, regional and local levels to assess current service
provision, future training places and future service provision. There
are also workforce groups looking at care pathways and the relevant
abilities and skills required of staff to provide quality care. There is
increasing involvement in workforce planning from the government
departments who take the lead for education and children’s services
in looking at the future workforce for children.
As a result there is a move towards the planning for new and
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developing established services in a multi-agency manner, looking
at the:
G needs (what are the local health and social care needs of the
population)
G functions (what are the functions required to meet those needs)
G competencies (what do the staff need to be able to do in order to
fulfil those functions) required of the workforce in general and not of
one service in isolation.
NEEDS OF POPULATION
FUNCTIONS
COMPETENCIES
STAFFING SKILL MIX

Planning cycles
Planning cycles and processes differ in the four UK countries in
relation to their drivers, policies, and commissioners.

In England
As a result of new policy drivers including Commissioning a Patient-
led NHS and the upcoming White Paper on the Future of services:
closer to home, major changes are taking place in the commissioning
and provision of services in England.
As yet it is unclear what the new planning cycles will be and it is
important for those involved in planning services to:
G keep up to date with national policy drivers and priorities including
payment by results. www.dh.gov.uk
Chapter 9
G identify who the key stakeholders are at a local level that need to
be influenced
G be actively engaged in the process of local implementation to
inform decisions
G be informed of the planning cycle process in order to be proactive
and make a timely and effective contribution.
In Scotland
NHS boards will work with local authorities and other partners within
the community planning partnerships to develop joint local health
improvement plans for each local authority area.
Each local NHS board will draw up a single local health plan for its
area. The local health plan includes NHS action points from the joint
local health improvement plans. It also includes the healthcare plans
covering primary, community, secondary and tertiary services
provided by NHS bodies in the board area. Priority areas can be
found at: www.show.scot.nhs.uk
Any business case for new development within a service must be
developed within the parameters of the local health plan in order to
succeed.
In Northern Ireland
When the Northern Ireland Assembly resumes, funding for all public
services in Northern Ireland will come directly from the Parliament to
the Assembly. The Assembly will then delegate the budget to the
different departments, including the Department of Health, Social
Services and Public Safety (DHSSPS).
The DHSSPS then funds each of the health and services boards
who, in turn, provide funding to local health and social care groups
and the local health and social care trusts.

The priorities for funding are driven by the Northern Ireland Assembly
but within the overall framework of the NHS (UK-wide). There are
also specific priorities set by the UK Government and by the
Northern Ireland Assembly. Each board, local health and social care
group and trust will have its own priorities in line with the above.
The funding allocation follows a similar timeframe to that in England.
Each health and social services board has a health and wellbeing
investment plan (HWIP) and each trust must have a service delivery
plan to meet this investment plan.
Chapter 9
In Wales
The Welsh Assembly Government is responsible for policy direction
and for allocating funds to the NHS in Wales. The Assembly’s NHS
Wales Department currently allocates funds annually to the five
existing regional health authorities.
The authorities buy health services from professionals in primary
care, such as family doctors, dentists and opticians, and from the
NHS trusts that provide secondary and community care.
Improving Health in Wales was launched in February 2001, setting
out the long-term strategy for the NHS in Wales.
The new system aims to ensure that health services are designed
and delivered locally. In order to achieve this, there will be a local
health board in every area, building on existing local health groups.
They will serve their own localities and decide what services are
needed for local people, (eg family health, community health and
hospital services).
Local health boards involve local doctors, nurses and other health
professionals, representatives from the council (including elected
members), voluntary organisations and the public. In the new
system, local government, local health boards and the voluntary
sector will work together more closely, so that there is a better
coordination of services (particularly health and social services).
Information on the structures referred to in this section can be found
on the Health of Wales Information Service (HOWIS) website, at:
www.wales.nhs.uk
Assessing the need for local service development for a given

client or population group
In assessing the need for service development there are several

processes that can be employed. These include:
a. consulting with commissioners, service users, referral agents and
co-providers of services to assess levels of satisfaction
b. analysing current service provision in terms of activity, models of
service delivery and outcomes
c. estimating current unmet need using epidemiological and
demographic information
d. predicting future demands by consideration of local and national
strategies and priorities.
Chapter 9
a. Consultation process
Service standard 57: Service evaluation as the basis of a
service development bid involves consultation with
commissioners, service users, referral agents, and other
services or agencies who are co-providers of services.
Consultation with commissioners

As bids for service development need to tie in with local planning
processes and priorities, it is advisable to alert commissioners to the
need for in-depth service evaluation at an early stage.
Consultation with co-providers

As most speech and language therapy services are not provided in
professional isolation, the majority of plans for service development
require the involvement and cooperation of others. The ability to
demonstrate such cooperation may increase the likelihood of a
successful development bid.
Consultation with other service leaders should include discussion
related to the roles, functions and skills of the current staff and
those required of the future workforce
Consultation with service users

User consultation and feedback is a main plank of government
policy. Ethics and/or approval within the clinical governance
arrangements of the organisation may be necessary for some
methods of user consultation.
Different approaches to service user consultation may be used
including:
G focus groups

G surveys
This will help identify:
G shortfall in current service delivery
G need for service improvement, perhaps involving a change in the
model of service provision
G need for service growth.
Where an individual is asked to attend and contribute at formal
meetings, appropriate consideration must be given to providing
support in their preparation for, and during, the meetings as well as
Chapter 9
possible assistance in attending.
Consultation with local clinical leaders will be important when:
G reviewing a service for a specific client group
G seeking support with service change or development
G bid proposals that may be put forward.
b. Analysing activity and outcome data

Commissioners of services and workforce planners are interested
not just in patient related activity, but in outcomes of interventions
and likely impact both of therapy being available or not available.
Linking benefits and activity data to the targets and priorities of local
agencies will assist with development bids.
Information on local targets and priority areas is available from a
variety of sources such as national policies and local agency
improvement plans.
c. Estimating the current unmet need

An estimate of the unmet need of a client group or population group
can be made by comparing actual referral rates with predicted
referral rates (based on incidence/prevalence figures related to
population figures).
Care should be exercised in using some information as for example,
waiting list numbers and numbers of new referrals may simply
reflect local patterns due to the presence or absence of specialists,
multi disciplinary teams, or a particular model of service. Additionally
the incidence or prevalence rates do not indicate the numbers of
people who may benefit from or want speech and language therapy
input.
For information on prevalence and incidence see chapter 8 Working
with Specific Client Groups.

Statistical information on the local population can be found on
several websites such as the national statistics and regional
public health observatories.
Where an analysis of unmet need reveals that the safety of
individuals is being put at risk or the efficacy of therapeutic
input is seriously compromised, consideration must be given by
the speech and language therapy manager to redesigning the
model of service delivery, capping the caseload or withdrawing
a service until further support can be achieved.
Chapter 9
d. Predicting future demand

G Nationally and local drivers Relevant information can be
found on regional council and local council websites and from
other sources such as the government websites and public
health observatories.
G Local socio-economic influences
Statistical information is available on the deprivation index and
on age distribution. These help inform the analysis of present
and future demand such as possible access issues or the
likelihood of long-term and age related conditions.
See websites such as the national statistics and regional public
health observatories:
www.statistics.gov.uk
www.pho.org.uk
G National trends
Examples include:
G an increasing number of adults and children/babies
surviving with disabilities due to technological and medical
advances
G use of technology to provide remote access to impairment
therapy
G increasingly affordable and flexible technology to assist
individuals with their communication.
Designing service options

Having identified the need for service development and having
clarified the desired the outcomes and benefits of such a
development, a range of service provision options should be
explored.

Managers are advised to use best clinical-practice guidance in
designing service options and to show how the predicted benefits
and outcomes from the service change will be evidenced. These
should be agreed with the commissioning agents. This process
will usually continue to be undertaken in the context of a
multidisciplinary or multi-agency forum.
For each option, the following issues are key:
G What model of service provision is to be adopted?
G What are the identified functions (eg assessment, therapy,
Chapter 9
training, enabling, care support) that will need to be carried out
within the stated model of provision?
G What are the competencies associated with those functions (ie
the detail of what staff will need to do)?
G What might the staffing skill mix look like based on the above?
G What are the other resources required to implement the stated
service option?
G What are the cost implications (initial set-up costs and on-going
costs)?
Role and service redesign is increasingly being promoted as a
way of modernising or improving services as well as tackling the
concerns over workforce recruitment and development in the
coming years.
Information may be obtained from the Web Information Sharing
Environment (WISE) on the NHS web portal at:
www.wise.nhs.uk, as well as from the NHS Scotland website:
www.show.scot.nhs.uk/workforcedevelopment, the National
Leadership and Innovation Agency for Healthcare (NLIAH), via
the Health of Wales Information Health website:
www.wales.nhs.uk and the Northern Ireland Department of
Health, Social Services and Public Safety www.dhsspsni.gov.uk,
on the Workforce Development Unit section.
Resource implications of proposed service developments:

a) staffing
b) accommodation and other physical resources
a) Assessing Staffing levels required:

G skill-mix
G numbers of staff at differing levels of skill.

Skill mix
One aim of skill mix is to free staff to use their skills and knowledge
to maximum effect.
Skill mix can have a positive affect on both staff recruitment and staff
retention.
The NHS Knowledge and Skills Framework and Skills for Health
(UK-wide) provide guidance on skills and competencies for staff
functions.
In relation to a given context, an appropriate skill mix may reflect :
Chapter 9
G a range of professionals
G different grades and specialties of SLTs
G bilingual therapists and or support workers
G support practitioners
G technicians
G generic workers
G administrative and clerical support.
Managers and commissioners should be aware of the range of
influences on local skill mix requirements. See the diagram below.
Financial Education
constraints and training
SKILL
MIX
Clinical Demographics
governance
Financial constraints: it is helpful to gain some indication from

commissioners of any financial constraints applying to service
development bids
Clinical governance: a prime consideration should be the need to
provide safe and effective services to individuals. This includes
having staff who are competent in the required tasks and who are
adequately supported by supervision processes.
There must be sufficient senior staff with designated time to
supervise and support less experienced therapists and support
practitioners in their clinical work.

Education and training: the types and levels of knowledge, skill and
expertise required to meet the needs of the target group. This may
include the need for highly specialised expertise.
Demographics (including geography, population, age groupings,
health needs, socio-economic profile, deprivation and ethnic
diversity).
Example 1. Diversity: the workforce should reflect the ethnic and
socio-economic diversity of the local community. The workforce may
need to include bilingual practitioners.
Chapter 9
Example 2. Geography: services within a very rural context are
likely to require staff to be have high levels of expertise across a
range of functions; with access to very highly specialist services
outwith the service. Services within an urban context are likely to be
better placed to have staff with very high degrees of specialism
within their skill mix.
Estimating numbers of speech and language therapist staff required

at each level of skill within a given model of service provision
There has been much debate around assessing required staffing
levels on the basis of nationally agreed notional caseloads.
Guidance from workforce planners and the RCSLT Workforce
Planning Guidelines (2006), is that notional caseloads on their own
are insufficient for calculating staffing levels. This is because of the
number of other variables that impact on working practice and what
constitutes a manageable practitioner caseload. Variables include:
G chosen model of working
G local geography and accessibility
G range and number of local co-providers
G risk management issues
G grading of practitioner
G ratio of clinical: non-clinical practitioner time available.
For example, the competence, knowledge and skills expected of
therapists varies according to grading. This will affect the clinical
input expected and in turn may affect the numbers of people that
they are able to see, eg a consultant therapist will be required to see
people with complex issues who may require larger amounts of time
than people with more straightforward issues. The consultant SLT
may see less people in the clinical time available than a practitioner
on a lower banding. In addition, the clinical time itself may be less as

the consultant may have a range of other responsibilities in relation
to research and development, providing practice-based learning
opportunities and supervising other practitioners.
However, a notional caseload may be arrived at locally in relation to a
given client group by taking all the variables into account. See figure
below.
Figure 2: Influences on estimating notional
caseload
Chapter 9
Practitioner grading
Role expectations
Clinical time available
Skill mix
Nature of care group needs
Notional
Model of service caseload
Complexity of individual needs
Urban/rural setting
Further information on workload can be found in section 5.4.3 on

Workload Management in Chapter 5.
Accommodation and other resource requirements

Non-staff costings involved in setting up the proposed service should
be provided. This will include costings for accommodation,
furnishings, equipment, and published assessments.

Recurrent costs should be estimated and set out separately (e.g.
training and travel).
Accommodation should comply with the Disability Discrimination Act
and incorporate the creation of communication-friendly
environments.
Further information on the minimum standards of accommodation
and equipment can be found in 5.4.1 on Accommodation.
It is important to ensure that staff have access to the most recently
revised editions of assessments to ensure best practice.
Chapter 9
Costings for training and travel needs may be estimated based on
current levels of expenditure and the anticipated model of working.
9.4.3 Service development plans

Service development plans are required when any significant
development of existing services or the creation of a new service is
being considered. This may be as a result of:
G the development of extended scopes of practice/consultant posts
G a change in local demographics such as a large new housing
estate or settlement of large numbers of refugees in an area
G redesign of a service to a care group
G developing service delivery into new areas
G a service failing to meet RCSLT standards and guidelines.
A service development plan is a process rather than just a document
and may form the basis for performance management. These plans
should be developed within the manager’s local service and updated
annually. Different organisations may have different terms for
service/business plans and may hold them at a level other than the
speech and language therapy service level. It is important for speech
and language therapy services to be able to contribute to these plans.
The planning process can provide a positive opportunity to engage
staff within the service in both reviewing and planning service delivery.
As procedures associated with service development planning will
vary between organisations, managers should seek advice on the
local process.. Information may be available from the business
functions within organisations, eg corporate or performance
directorates.
Information that could be included in a service plan includes:
G current service structure (eg skill mix, workforce profile,
vacancies)

G details of service performance (eg ability to meet RCSLT minimum
service standards, clinical audit, service outcomes)
G details of unmet clinical need
G broad details of the nature of the service development required to
meet local health and social care needs
G how this links with national and local development priorities
G risk factors that may affect how the plan can be implemented
G costed service options including details of functions and
competencies
Chapter 9
G suggested performance indicators.

For information on national priorities see national policy documents
available on the four government websites.
For information on local priorities, see local public health, health and
local authority websites.
9.5 Development of Research Capacity within

Services
Research capacity is a dimension of service organisation that many
services currently need to develop.
What is research capacity?

Research capacity is a term that describes, “a process of individual
and institutional development which leads to higher levels of skills
and greater ability to perform useful research.” (Trostle, 1992).
Whilst the traditional measures of research capacity building have
tended to be outputs such as publications, funding applications and
qualifications, other outputs might impact on professional outcomes
including job satisfaction and confidence.
Professional research capacity is addressed at two service levels:
G individual
G organisation.
9.5.1 Individual responsibilities

Individuals need to:
G Document practice – especially interventions – that are well-
designed, well-conducted and well-reported, to contribute to building
our professional evidence base.
G Develop an awareness of research governance policy and local

protocols regarding conduct of research in NHS trusts.
G Collaborate with other speech and language therapy colleagues in
both clinical and academic posts who have relevant experience and
expertise in leading and in disseminating clinical research.
G Develop advanced skills in project management and contract
management.
G Develop advanced skills in dissemination of results.
G Publish work to develop a track record for future funding
applications.
Chapter 9
9.5.2 Organisation responsibilities
Organisations need to:
G welcome local EBP/audit/research initiatives
G differentiate between audit, service evaluation and research (see
section 9.3)
G be pro-active in support for national research projects, such as
providing access to research participants
G promote and facilitate research and research culture within the
department
G encourage local funding for research and appropriate locum cover
G identify priority areas for research relevant to the profession and
service delivery
G provide appropriate levels of support for staff undertaking
research
G raise awareness of service commissioners about the importance
of research
G establish working protocols with researchers
G ensure that any employer requirements are met, (eg registration,
research indemnity, research governance.
The NHS Research and Development Research management and
governance toolkit provides advice, guidance and document
templates: www.rdforum.nhs.uk/toolkit.htm
G meet regularly with any staff member undertaking research to be
kept informed of progress and any problems encountered
G help the researcher to find solutions to any problems
G have a designated coordinator, preferably one who is already
research-active, who participates in any employer-wide research
networks, and who keeps abreast of available support for local
research initiatives and acts as knowledge broker/pathfinder for

members of staff, (eg writing bids, how ethics committees work etc)
G have designated staff links to national AHP quality/EBP/research
networks
G establish links with research-active staff in higher education
institution/s
G provide for study leave for members of staff undertaking post-
graduate education or for flexible terms of employment for research-
active staff, to allow for splits between NHS employment and
employment on funded research projects
Chapter 9
G have a system to encourage SLTs to engage in research – write up

their work to enhance the evidence base. Reduce barriers to
involvement in research
G recognise that individuals in an organisation will have different
levels of skill and knowledge about research and that the
opportunities for training, development and support need to reflect
this
G provide training for managers on the benefits of research
G facilitate dialogue between managers, academics and practitioners
to ensure research meets organisational objectives.
Managers and SLTs should refer to national policy and guidance
via websites for the government departments of the four
countries of the UK.
9.5.3 Resources
RDInfo consists of three services providing access to details of
research funding, training and advice:
1) RDFunding provides information on health-related research
funding opportunities: www.rdfunding.org.uk
2) RDLearning provides information on learning opportunities:
www.rdlearning.org.uk
3) RDDirect is a signposting service for researchers:
www.rddirect.org.uk
RCSLT research group www.rcslt.org/resources/research
RCSLT Research Strategy.
RCSLT Position Paper Approaching Research in Speech and
Language Therapy, 2003. www.rcslt.org.uk
PCT Competencies: Education, Training and Research, National
Primary and Care Trust development programme, 2005.
www.natpact.nhs.uk

9.6 Services Responding to Imposed Structural
Change
The following is a set of general principles for speech and language
therapy managers that can be applied to any situation where
structural change is occurring.
9.6.1 Context of change

G Identify why the change is being proposed – what is the policy
Chapter 9
context for the change?
G What are the intended outcomes/benefits being proposed to
service delivery?
G Establish who relevant colleagues are and work with them,
eg AHP colleagues. This will help to achieve a critical mass of
professionals working together and will provide mutual support
eg working with physiotherapy and occupational therapy colleagues
within children’s services.
G Determine whether the change is going to affect only the internal
organisation or whether there are also implications for other agencies,
eg education, social services. How does the proposed change affect:
G the financial budget
G structures
G systems
G processes
G care pathways
G workforce and skill mix.
G If the implications of the change are far reaching the issues should
be raised and addressed with key stakeholders in the relevant
agencies. Ensure that there is a sound evidence base for issues to
be raised.
G Determine whether the proposed change has implications for the
speech and language therapy profession as a whole.
9.6.2 Implications for service users

G Look at the change from the point of view of service users.
Consider what the benefits are to service users if the change occurs.
G Assess whether the change is going to affect prioritisation and/or
distribution of resources. It should not affect your clinical prioritisation
but may affect how your resources are distributed.

G Map the service user’s journey/care pathway currently and within
the new structure. Assess any difference in the distribution and/or
availability of resources. Raise awareness that SLTs have a duty of
care that will often go beyond limited, prescribed packages, and
encourage a whole systems approach to be taken, eg long-term
management of a dysphasic client.
9.6.3 Clinical governance

G Services should assess whether they can still meet the agreed
Chapter 9
minimum RCSLT professional standards within the new structure.

G Provide explicit and, wherever possible, evidence-based clinical
guidelines and care pathways that are currently used to provide
services to your local population. If these are not currently used within
the service, urgently develop them. It should still be possible to
provide the service based on these within the new structure.
G Encourage a culture of openness and good communication. This is
the key to supporting staff through the change process. It is essential
that there is effective communication throughout the speech and
language therapy department concerned, and that there are
mechanisms in place to facilitate dialogue in both directions, i.e. from
top down and vice versa. This may include the following discussions:
G making the strategic objectives clear to staff
G building a shared vision of the better future. Compare this with the
current one, and identify the work that has to be done to move from
one to the other
G providing leadership to help individuals move forward and regularly
review progress.
G Analyse and then specify the risks to the service user that may
arise from these changes, and identify strategies to minimise these
risks, eg provision of continuous care from acute into community
settings.
G Engage service users in debate about the impact of the change,
eg Sure Start debates, local stroke clubs. Use this information to
influence decision makers.
G Ensure systems for profession specific CPD and clinical supervision
are going to be maintained. In addition, opportunities for
multidisciplinary/inter-professional CPD and supervision should be
enhanced.
G Be proactive within the local network to ensure the ability to

influence both the strategic leads within the organisation, eg members
of the board, and the strategic leads in other organisations, eg the
local education authority.
G Ensure systems for managing staff effectively are going to be
maintained. There should be clarity around staff accountability and
management authority. If an SLT is not going to be managing the
service, the interface between professional leadership and service
management should be made explicit, e.g. input to the appraisal
process, managing staff performance, skill mix within the service,
Chapter 9
identification of training needs.
G Ensure there are systems in place for the professional lead to
contribute to local implementation of national strategy across health,
education and social services agendas.
G Check if the changes may have any effect on speech and language
therapy ethical/professional issues and highlight these if appropriate.
9.6.4 Resources
G Lewin’s three phase model: unfreezing, moving, re-freezing.
Lewin’s force field analysis tool which assumes that in any change
situation there are two forces – those driving the change and those
opposing or restraining it. Completion of the force field analysis may
lead to an onset of realism (Lewin, 1947).
G Nadler and Tushman provide a diagnostic model of change, which
can be used to help understand the current situation and the way it
might respond to intervention. It helps individuals decide on their own
method of intervention to facilitate change, and act proactively
(Nadler & Tushman, 1997).
G Understanding Organisations by Charles Handy (1993) has
chapters on managing change in organisations, and is used in the
Open University course that links with the Institute of Health Services
managers’ course on Managing Health Services.
G NHS leadership programmes include modules on project planning,
risk management, problem solving, organisational development,
information technology, networking, presentation and assertiveness.
References
Department of Health. The new NHS: modern, dependable, 1997.
www.dh.org.uk
Huycke, L & All, AC. Quality in health care and ethical principles in

Journal of Advanced Nursing, 2000:32(3); pp562-571.
Lewin, K. Frontiers in group dynamics in Human Relations, 1947:1
pp5-41.
Maxwell, RJ. Quality assessment in health in British Medical Journal,
1984:288; pp1470-72.
Nadler, DA & Tushman, ML. Competing by design: The power of
organizational architecture. Oxford University Press, 1997.
Ovretveit, J. Evaluating Health Interventions. Open University Press,
1998.
Chapter 9
Trostle, J. Research Capacity building & international health:

Definitions, evaluations & strategies for success in Soc.sci.med,
1992:35(11); pp1321-1324.
RCSLT. CQ3 Quality Assurance Expert Group, 2005. (Diagram
based on the Deming Plan, Do, Study, Act (PDSA) Cycle).

Appendix 1
Summary of minimum
service standards for
service organisation
and provision
Service standard 1: The service audits its
performance against the RCSLT minimum
service standards as part of a regular
process of service review. (Section 5.2)
Service standard 2: Policies are reviewed
at least once every three years. (Section
5.2)
Service standard 3: The service has a
system for monitoring SLT’s HPC
registration status. (Section 5.3.1)
Service standard 4: Exit interviews are
conducted with all staff leaving the service.
(Section 5.3.2)
Service standard 5: All staff have a clear
and up-to-date contract of employment.
(Section 5.3.3)
Service standard 6: All staff have a clear
and up-to-date job description. (Section
5.3.3)
Service standard 7: The service has a
system for monitoring staff absence.
(Section 5.3.3)
Service standard 8: The service provides
a planned orientation, induction and
Appendix 1 447
support programme for all new staff, including locum staff, and
returners to practice. (Section 5.3.3)
Service standard 9: The service has an up-to-date organisation and
service profile showing clear lines of responsibility and accountability
within the organisation. (Section 5.3.3)
Service standard 10: All staff have an annual performance review
supported by a systematic approach to training and development
including a PDP and appropriate CPD opportunities. (Section 5.3.3)
Service standard 11: The service has a system for reviewing the
requirements of a post in terms of knowledge and skills. (Section 5.3.3)
Service standard 12: The service has agreed mechanisms in place to
support practitioners working within external agencies. (Section 5.3.3)
Service standard 13: The service has an up-to-date policy and
system of clinical supervision for all clinical staff. (Section 5.3.3)
Service standard 14: All SLTs access an appropriate form of clinical
supervision at least once every 12 weeks. (Section 5.3.3)
Service standard 15: The service has a system for accessing
clinical advice or second opinions. (Section 5.3.3)
Service standard 16: The service uses the competency based
framework to structure the learning of the newly-qualified practitioner
during the initial twelve month period and as evidence of readiness to
transfer to full RCSLT membership. (Section 5.3.4)
Service standard 17: The service supports the monitoring of clinical
practice through managerial and clinical supervision, staff
development review and personal development plans. (Section 5.3.5)
for dealing with staff concerns about clinical care, including a
confidential procedure for staff to follow. (Section 5.3.5)
Service standard 19: As appropriate, service managers are involved
in influencing and defining the objectives of the wider organisation.
(Section 5.3.5)
Service standard 20: All staff have the opportunity to participate in
the planning, decision making and formulating of policies that affect
service provision. (Section 5.3.5)
Service standard 21: The service has clear and up-to-date
administrative policies that relate to speech and language therapy
working practices. These are written by or in consultation with a
registered SLT. (Section 5.3.5)
Service standard 22: RCSLT’s professional standards and

guidelines inform the development of policy and practice. (Section
5.3.5)
Service standard 23: The service has a strategic and systematic
approach within each clinical team to establish an evidence-based
resource as the basis for provision of clinical care, organisation of
services and service development. (Section 5.3.6)
Service standard 24: The service has a system to collect information
for service management purposes and to meet contractual
obligations. Information is collected on a consistent and regular basis.
(Section 5.3.7)
Service standard 25: The design of service documents includes a
code to allow for audit trails and identification of source. (Section
5.3.7)
Service standard 26: All staff maintain personal learning portfolios
and reflect on learning gained through practice, both individually and
in teams. (Section 5.3.9)
Service standard 27: All staff have access to a personal
development review at least once every twelve months. (Section
5.3.9)
Service standard 28: The service has a clear and up-to-date staff
training and development policy. (Section 5.3.9)
Service standard 29: The service has sufficient and appropriate
resources to support the principal functions of the service. (Section
5.4)
Service standard 30: The financial resources of the service are
planned, managed and controlled. (Section 5.4)
Service standard 31: Equipment used in therapy is non-hazardous to
the client and conforms with health and safety standards. This
includes regular cleaning of equipment in accordance with infection
control guidance. (Section 5.4)
Service standard 32: The service has a range of relevant and up-to-
date literature available to support the client and/or carer in
understanding the nature and extent of any given swallowing or
communication disorder. (Section 5.4)
Service standard 33: The service has a written statement of
philosophy, core purpose and operational policy. (Section 5.4)
Service standard 34: All staff (including those in remote areas) are
aware of available resources and are able to access them as
appropriate. (Section 5.4.3)
Appendix 1 449
Service standard 35: The service has a mechanism for ongoing
monitoring of staff workloads. (Section 5.4.3)
Service standard 36: The urgency or priority of referrals is
determined in a systematic and equitable manner. Prioritisation
systems are evidence-based as far as possible and clearly
documented. (Section 5.4.3)
Service standard 37: Written records are kept of each individual’s
care. (Section 5.5.3)
Service standard 38: The service has clear standards of record
keeping in line with Data Protection Act (1998) principles and RCSLT
guidance that are reviewed and audited on a regular, at least annual,
basis. (Section 5.5.3)
on the confidentiality, use, security and disclosure of health
information. (Section 5.5.4)
detailing the process through which individuals (or their advocates)
have access to their records in line with the Data Protection Act
(1998). (Section 5.5.4)
relating to the length of retention and ultimate disposal of clinical
records which complies with legislation and RCSLT guidance.
(Section 5.5.4)
relating to storage and disposal of audio and visual recordings.
(Section 5.5.4)
Service standard 43: The service has clear and up-to-date risk-
management policy and guidelines. (Section 5.6.1)
Service standard 44: The service a clear and up-to-date local policy
and procedures for handling complaints. (Section 5.6.2)
related to health, safety and protection of staff and clients. (Section
5.6.4)
Service standard 46: The service involves service users in the
evaluation and development of services. (Section 5.7)
for dealing with media enquiries. (Section 5.8)
on the management of student placements. (Section 5.9.3)

Service standard 49: Where the service head is not a qualified
speech and language therapist, there is a system of professional
representation to the service manager on matters relating to clinical
issues. (Section 5.9.4)
Service Standard 50: Where there are gaps or shortfalls against
standards in the service, there is clear evidence that the service is
taking steps to develop and improve the service. (Section 6.2.3)
Service standard 51: The service has a strategy in relation to health
inequalities and is able to demonstrate actions taken to reduce these
inequalities. (Section 6.2.3)
Service Standard 52: There are clear and up-to-date written policies
on admission to and discharge from speech and language therapy
services for referred individuals (level 3 services). (Section 6.2.4)
Service standard 53:The service has links with voluntary
organisations vocational/employment agencies, and local support
groups to complement the work of the service. (Section 6.2.4)
Service standard 54: There are clear written care pathways for each
speech and language therapy care group that reflect and anticipate
the needs of clients, many of whom have enduring, complex and
multiple health and social needs. (Section 6.3.1)
Service standard 55: Where specialist services are not available
within the immediate service or local district there is a pathway and
clear procedures for individuals to access these outwith the region.
(Section 6.3.1)
Service standard 56: Clinical care standards are linked to the
published research evidence-base and consensus views on best
practice. (Section 9.2)
Service standard 57: Service evaluation as the basis of a service
development bid involves consultation with commissioners, service
users, referral agents, and other services or agencies that are co-
providers of services. (Section 9.4.3)
Notes on terminology:
Clear is used to denote text that is, as far as possible, free from
ambiguity.
Up-to-date is used to denote policy content that has been reviewed
and revised to reflect the current context and thinking and that the
review has occurred within the last three years.
Appendix 1 451
Appendix 2
Sources of further support
and information for
individuals, their families
and professionals
The following list of organisations is
not intended to be exhaustive, but to
provide a starting point for people
seeking further information in relation
to communication and swallowing
disorders.
Every reasonable effort has been
made to ensure that the information
was accurate at the time of publication.
ACE Centre Advisory Trust

www.ace-centre.org.uk provides
assessment, advice and training in the use
of technology for young people with
physical and communication difficulties.
A C T Aid for Children with
Tracheostomies
www.actfortrachykids.com provides
information and support for families who
have children with tracheostomies
ACT www.act.org.uk works to improve
care and services for all children in the UK
with life-threatening or terminal conditions
and their families.
Appendix 2 453
Afasic www.afasic.org.uk provides information and support for
children and young people with speech and language impairments
and their families.
Alcoholics Anonymous www.alcoholics-anonymous.org.uk is a
fellowship of men and women who share their experience, strength
and hope with each other that they may solve their common problem
and help others to recover from alcoholism.
Alzheimers Organisation www.alzheimers.org.uk is a care and
research charity for people with dementia, their families and carers.
Aphasia help www.aphasiahelp.org provides information for people
with aphasia, including a penpal service.
ARCOS (Association for the rehabilitation of Communication
skills) www.arcos.org.uk provides information and support for
people who have acquired communication problems.
ASH Scotland is the leading voluntary organisation campaigning for
effective tobacco control legislation and providing an expert
information service. www.ashscotland.org.uk
ASLTIP www.helpwithtalking.com provides support for SLTs in
independent practice. ASLTIP holds a list of independent
practitioners that may be contacted.
Ataxia UK www.ataxia.org.uk supports people affected by ataxia with
research, information, welfare grants, campaigning and the
opportunity to meet and help others in a similar position.
Becta (British Educational Communications & Technology
Agency) www.becta.org.uk contains online version of the journal
Deafblind Perspectives.
Ben Walton Trust www.benwaltontrust.org is a charity that offers
direct patient support and advice and information on oral cancers.
BILD (British Institute for Learning Disabilities) www.bild.org.uk
provides information and support in relation to learning disability.
BDA (British Deaf Association) www.signcommunity.org.uk
provides information and support for the Deaf.
Birth Defects Foundation www.bdfcharity.co.uk is a UK charity that
provides information and support and nurse advice for all birth
defects.
BLISS www.bliss.org.uk provides support for parents and families of
newborn babies requiring special care.
British Aphasiology Society www.bas.org.uk is a national interest
group formed to foster the development of the study of aphasia

British Association for Counselling and Psychotherapy
www.bacp.co.uk provides information on counselling and
psychotherapy. Holds a list of registered psychotherapists.
British Psychoanalytic Council www.bcp.org.uk provides
information on psychoanalytic psychotherapy. Holds a list of
registered psychotherapists.
British Dental Health Foundation offers free expert advice on oral
health problems including mouth cancer. Provides an information
leaflet Tell me about mouth cancer which has information on the
causes, diagnosis and treatments of mouth cancer.
www.mouthcancer.org.uk
British Dyslexia Association www.bda-dyslexia.org.uk offers
advice, information and help to families, professionals and individuals
with dyslexia. Committed to raising awareness and understanding of
dyslexia.
British Cochlear Implant Group www.bcig.co.uk provides
information on cochlear implants.
British Dietetics Association www.bda.uk.com provides advice on
diet, nutrition and lifestyle, offering essential information from
authorities in the field of diet and food information. List of registered
dietitians held.
British Stammering Association www.stammering.org provides
information and support on stammering.
British Voice Association www.british-voice-association.com
provides information on healthy voice use and care and prevention of
voice problems.
CancerBACUP www.cancerbacup.org.uk is a free one-to-one
service that provides counselling and emotional support for people
with cancer and their families and friends.
Cancer Help UK www.cancerhelp.org.uk is a free information service
about cancer and cancer care for people with cancer and their
families.
Cancer in Scotland www.show.scot.nhs.uk/sehd/cancerinscotland
identifies the wide range of activities necessary to prevent, detect
and improve treatment and care for people with cancer in Scotland.
Cancer Laryngectomee Trust www.cancerlt.org offers free help to
sufferers of cancer of the larynx, people who have had a
laryngectomy and their carers.
CALL Centre (Communication Aids for Language and Learning)
Appendix 2 455
www.callcentre.education.ed.ac.uk provides specialist expertise in
technology for children who have speech, communication and/or
writing difficulties.
Changing Faces www.changingfaces.org.uk supports and represents
people who have disfigurements of the face or body from any cause.
CBIT (Child Brain Injury Trust) www.cbituk.org aims to improve the
quality of life for all children and young people who have an acquired
brain injury.
CLAPA (Cleft lip and Palate Association) www.clapa.com
provides information on services and advice on cleft lip and palate.
CommunicAbility – The James Powell (UK) Trust
www.communicability.smartchange.org provides advice on simple
communication aid equipment
Communication Matters www.communicationmatters.org.uk is a
national voluntary organisation of members concerned with
augmentative and alternative communications.
Connect see UK Connect.
Contact a Family www.cafamily.org.uk is a UK charity for families
with disabled children offering information on specific conditions and
rare disorders.
Council for Disabled Children www.ncb.org.uk/cdc deals with policy
and practice issues for disabled children and young people and those
with special educational needs.
Deafblind UK (The Association of Deafblind and Dual Sensory
Impaired People) www.deafblind.org.uk provides information and
support for individuals who are deafblind.
Different Strokes www.differentstrokes.co.uk specialises in the
support of young stroke survivors and their carers.
DIPex (Database of Individual Experiences) www.dipex.org is a
website that reports on a wide variety of personal experiences of
health and illness. People can watch, listen to or read interviews, find
reliable information on treatment choices and where to find support.
The site covers heart disease, epilepsy, screening programmes and
cancers.
Down’s Syndrome Association www.downs-syndrome.org.uk
provides information, counselling and support for people with Down's
syndrome, their families and carers, as well as for professionals.
Dyspraxia Foundation www.dyspraxiafoundation.org.uk supports
individuals and families affected by developmental dyspraxia.

EQUIP Electronic Quality Information for Patients
www.equip.nhs.uk is a gateway to quality health and social care
information for UK patients, their families and carers. Provides
information about risks, symptoms and treatment options as well as
where to seek support and advice (in UK).
Foundation for people with learning disabilities
www.learningdisabilities.org.uk provides information about issues
affecting the lives of people with learning disabilities.
Fragile X Society www.fragilex.org.uk provides information and
support related to Fragile X.
Headlines www.headlines.org.uk provides information on conditions
associated with Craniosynostosis.
Headway www.headway.org.uk provides information and promotes
understanding of all aspects of brain injury.
Healthyliving www.healthyliving.gov.uk promotes Scotland’s healthy
living programme and is designed to help people attain a healthier
diet and a more active lifestyle by providing resources, advice and
support on healthy eating and physical activity.
Home Farm Trust www.hft.org.uk provides a range of services
including supported living, registered care homes, advocacy,
supported employment, short-term breaks (respite) and day services
for individuals with learning disability.
Hospice Information Service www.hospiceinformation.info
Huntingtons Disease Association www.hda.org.uk provides health
care information and details of medical research into curing
Huntington's Disease.
I CAN www.ican.org.uk provides a combination of specialist therapy
and education for children with the most severe and complex
disabilities, information for parents and training and advice for
teachers and other professionals.
Learning Disabilities UK www.learningdisabilitiesUK.org.uk
provides information and support for people with learning disability.
Let’s Face It (Head and Neck Cancer Support Group)
www.lets-face-it.org.uk offers one to one support and befriending,
telephone communication and letter writing. Provides literature
information and resources for recovery.
Long Term Medical Conditions Alliance www.lmca.org.uk is the
umbrella body for national voluntary organisations working to meet
the needs of people with long-term health conditions.
Appendix 2 457
MacMillan Cancer Relief www.macmillan.org.uk supports people
with cancer and their families with specialist information, treatment
and care.
Maggie’s Centres Scotland www.maggiescentres.org aims to help
people with cancer to be as healthy in mind and body as possible
and enable them to make their own contribution to their medical
treatment and recovery.
Marie Curie Cancer Care www.mariecurie.org.uk is a
comprehensive cancer care charity, providing practical nursing care
at home and specialist multidisciplinary care through its ten Marie
Curie centres.
MaxAppeal www.maxappeal.org.uk provides information and
support in relation to velo-cardial facial syndrome (VCFS).
Mencap www.mencap.org.uk campaigns for equal rights for children
and adults with a learning disability and offers a variety of services to
them and their families.
Mental Health Foundation www.mentalhealth.org.uk aims to help
people survive, recover from and prevent mental health problems.
MIND (National Association for Mental Health) www.mind.org.uk
provides information on all aspects of mental health.
Motor Neurone Disease Association www.mndassociation.org
provides information and support in relation to MND.
Mouth Cancer Foundation (MCF) www.rdoc.org.uk aims to help
patients, carers and health professionals find free information on
mouth cancers easily. It provides direct links to the relevant sections
of existing cancer sites and includes patient experiences as well as
an online support group.
Multiple Sclerosis Society www.mssociety.org.uk provides
information and support in relation to MS.
Muscular Dystrophy Campaign www.muscular-dystrophy.org
provides information and support in relation to MD.
NAPLIC (National Association of Professionals concerned with
Language) www.naplic.org.uk exists to promote and increase the
awareness and understanding of language impairment in children.
NASEN www.nasen.org.uk is an organisation for the education,
training, development and support of all those working within the field
of special and additional support needs.
National Cochlear Implant Users Association
www.nciua.demon.co.uk

The National Association of Deafened People www.nadp.org.uk is
a UK organisation representing deafened people, providing
information and support to enable them to regain their independence
and quality of life.
National Association of Laryngectomee Clubs (NALC)
www.nalc.ik.com provides information and support for those living
with laryngectomy.
National Autistic Society www.nas.org.uk
National Deaf Children's Society www.ndcs.org.uk
National Parent Partnership Network
www.parentpartnership.org.uk is a national organisation supporting
and enabling parents and carers of children with special educational
needs.
Neurological Alliance www.neural.org.uk provides details of
organisations that can offer help and assistance to people with a
neurological condition.
OAASIS (Office for Advice, Assistance, Support and Information
on Special needs) www.oaasis.co.uk provides support for parents of
children with special needs.
Pain Association www.painassociation.com provides support for all
cancer patients suffering from pain. Offers the opportunity for
patients and their carers to join support groups.
Parkinson's Disease Society www.parkinsons.org.uk provides
support, advice and information to people with Parkinson's in the UK,
their carers, families and friends.
PSP Association www.pspeur.org provides information and support
for those with Progressive Supranuclear Palsy.
Rehab UK www.rehabuk.org works in the area of brain injury and
brain injury services.
Rethink www.rethink.org provides information and support for those
affected by severe mental illness.
Royal National Institute for the Blind www.rnib.org.uk provides
education and information services.
Royal National Institute for Deaf People www.rnid.org.uk provides
education and information services
Samaritans www.samaritans.org.uk is available 24 hours a day to
provide confidential emotional support for people who are
experiencing feelings of distress or despair, including those which
may lead to suicide.
Appendix 2 459
Smoking and Tobacco unwrapped
www.hebs.org/topics/smoking/index.htm provides advice and support
on giving up smoking.
The Sarah Matheson Trust www.msaweb.co.uk offers support,
information and services to people living with Multiple System
Atrophy.
SCOPE www.scope.org.uk is a UK disability organisation whose
focus is people with cerebral palsy.
Scottish Association for Mental Health www.samh.org.uk operates
a range of services across Scotland for people with mental health
problems.
Sense www.sense.org.uk supports people of all ages who are
deafblind or have associated disabilities.
The Shaftesbury Society www.shaftesburysociety.org works with
disabled people and local communities to achieve social inclusion,
empowerment and justice.
Speakability www.speakability.org.uk dedicated to helping aphasic
individuals rebuild communication through information services, self-
help groups and education.
The Stroke Association www.stroke.org.uk provides information
and support for people living with the effects of stroke.
Talking point www.talkingpoint.org.uk provides information and
resources about children with speech, language and communication
difficulties.
UK Connect www.ukconnect.org is a national charity working
collaboratively with people with aphasia.
UK Council for Psychotherapy www.psychotherapy.org.uk
promotes the profession of psychotherapy. Holds a register of
psychotherapists.
Voice Care Network UK www.voicecare.org.uk provides information
about the care, development and use of the speaking voice.

Index
Page numbers in italic refer to figures or tables.
AAC see augmentative and alternative

communication
absences, monitoring arrangements 102-3
Access to Health Records (Northern
Ireland) Order, 1993 71
access to premises 128
access to records 71, 141-3, 150
access to services
difficulties 346
guidelines 11
see also referrals
accommodation and facilities
estimating costs 438-9
general management 125-9
accountability 13-15
and advice giving 195
and line management 104
strategic agendas 74-5
types 16-17
see also clinical governance
acquired brain injury (ABI)
see also brain injury
Index 461
acquired speech disorders 248-53
acute hospitals 220
ADHD (attention deficit hyperactivity disorder) 266
administration staff 129
adolescents, consent issues 19-20
adult acquired dysphagia 325-9
adult learning disability (ALD) 253-60
referral systems 191
risk factors and vulnerabilities 257-60, 329-33
Adults with Incapacity (Scotland) Act, 2000 67
advertising services see promoting services
advice giving 194-5
duty of care 241
for education purposes 240-4
general principles 241-2
second opinions 108
Agenda for Change 78, 102
alcohol 334
Alliance of UK Health Regulators on Europe (AURE) 42
Alzheimer’s disease see dementia
Amicus 95
annual leave entitlements 102
annual individual performance reviews (IPRs) 105
anonymity 24
APD ([central] auditory processing disorder) 312
aphasia 261-4
following brain injury 279
aphonia 381
apraxia 249
following brain injury 279-80
see also acquired speech disorders
Asperger syndrome 264
see also autism spectrum disorder
aspiration, critical care 305-6, 307-8, 309
assessment
duty of care 26
equipment needs 130-2
forms 202-3

general principles 201
initial phases 200-1
involving others 202
specific objectives 201
standards and guidance 201-2
summaries and reports 203-4
timing 202
see also triage assessment
assistants see speech and language therapy support workers
Association of SLTs in Independent Practice (ASLTIP) 89
complaints management 157
role 8, 226
see also independent practice
ataxia 284
athetoid movements 284
attention deficit hyperactivity disorder (ADHD) 266
audiovisual recordings, consent issues 20
audit 118-19, 414-16
clinical records 144
service measures 426-7
staff diaries 147
(central) auditory processing disorder (APD) 312
augmentative and alternative communication (AAC) 229-34
AURE (Alliance of UK Health Regulators on Europe) 42
Australia, professional recognition agreement 47-9
autism spectrum disorder (ASD) 264-8
vulnerabilities 266-7, 323
behavioural problems 259-60

and dementia 345
and frontal lobe head injuries 281
and language impairment 369
benchmarking 136
bilingual staff 129
bilingualism 268-71
Bologna Process 42-3
Bournewood Consultation (DoH 2005) 273
brain injury 271-83
breaches of confidentiality 22
Index 463
British Sign Language (BSL) 310
Bulletin 91
Caldicott Committee 149

Canada, professional recognition agreements 47-9
capability, defined 31
capacity see client competence; research and development
cardiac disorders, children 322
care pathways 195-200, 198
key elements 197, 198
AAC use 233, 234
acquired speech disorders 252-3, 254-5
cleft palate disorders 294-5
dysfluency 318
The Care Standards Act 2000 60-1, 63
carers, and dementia 345-6
case notes see record keeping; records management
caseloads 134, 437-8, 438
see also interventions management; referrals; workload
management
cataracts 378
centre-based service delivery 180
cerebral palsy (CP) 283-8
cerebral visual dysfunction 377-8
challenging behaviour 259-60
see also behavioural problems
change 443-5
implications 443-4
models 445
Change Agent Team website 220
child development centres 223
referrals 191
child skill development programmes 243
children
acquired brain injuries 273-7
cardiac disorders 322
consent to care 19-22
dysphagia 321-5
head injuries 279

mental health problems 341-3
pre-school SLCD 351-5
relevant legislation 62, 66-8
school-age SLCD 362-5
The Children Act, 2004 62
The Children Act, 1989 62
Children (Scotland) Act, 1995 66-7
Children’s Commissioner for Wales Act, 2001 68
children’s services
commissioning arrangements 78-9
Government strategies 78-80
see also education
Children’s Trusts, information sources 80
cleft palate 288-95, 322
referrals 191
client see referred-individual
clinical audit 119
see also audit
clinical competencies frameworks 92
clinical effectiveness, monitoring arrangements 416-26
clinical governance 413
duty of care 25, 28
information and guidance 115
records management 149
resource requirements 436
and structural change 444-5
clinical guidelines 91-2
see also clinical standards
Clinical Negligence Scheme for Trusts (CNST) 157-8
clinical placements see practice-based learning
EU nationals 46
clinical reasoning 25, 28, 33-4, 35
clinical records 143-4
access 71, 141-3, 150
contents 144-5
shared 145-6
standards 145
see also data protection; record keeping
clinical risk, and duty of care 25, 28
Index 465
clinical standards 412-13
Clinical Standards Advisory Group (CSAG), Cleft Lip and/or Palate
Report (1998) 289, 292
clinical supervision 105-6
cluttering 316
see also dysfluency
CNST (Clinical Negligence Scheme for Trusts) 157-8
code of ethics 9
cognitive-communication disorders (CCD) 278-80
colleagues
concerns over 13
relationships with 12-13
sharing information 12-13
colour blindness 376
Commission for Social Care Inspection (CSCI) 411
Order, 2003 69-70
commissioning for service development 428-31
assessing local need 431-4
predicting future demand 434
resource implications 145-9
service design options 434-5
Communications Strategy (RCSLT) 170
Community Care and Health (Scotland) Act, 2002 64
community clinics 220-1
Community Health Partnerships (CHPs) (Scotland) 64
community services 217-20
day opportunities 219
intermediate care 219
referred individuals 217-18
supported living 218
targeted at-risk groups 217
community visits 217-18
joint working 218
safety considerations 161-4
competence
defined 31, 108-9
see also client competence; professional competence
competencies frameworks 92

complaints 156
complaints management 156-7
role of Health Service Ombudsman 157
role of RCSLT 85
role of ASLTIP 157
see also second opinions
computer equipment 130-1
conductive hearing loss, defined 313
confidentiality
breaches 22
general principles 22
guidance and legal frameworks 11, 22-4
records management 148-50
conflicts of interest 11
confrontational situations 160, 163-4
consent forms 22
consent issues
children 19-22
guidance and legal frameworks 11-12, 15, 21-2
to care 15, 18-22
to information disclosure 23-4
proxies 18-20
types 20
withholding 19, 21
consultation processes, service development 432-3
continuing professional development (CPD) 119-23
HPC role 119-20
KSF appraisals 123
learning portfolios 121
opportunities and activities 121-3
RCSLT role 120
continuity of care 210
contracts of employment 102
contractual accountability 16-17
cortical visual impairment 376, 377-8
counselling 234-6
court inquiries 236-7
see also court witnesses; medico-legal reports
Index 467
court witnesses 239-40
CPLOL (Standing Liaison Committee of SLTs and Logopedists) 42,
44-5, 89
CPPIH ([National] Commission for Patient and Public Involvement in
Health) 167
craniofacial conditions 296-303
CREST (The Committee for Research and Education in Speech and
Language Therapy) 89
critical appraisal skills 116-17
critical care 303-9
and service provision 221-2
critical reflective practice, and competence 32
CSAG (Clinical Standards Advisory Group), Cleft Lip and/or Palate
Report (1998) 289, 292
CSCI (Commission for Social Care Inspection) 411
Cycle of SLT intervention (RCSLT 2005) 418
data protection
employee data 143
health records access requests 142-3
information sharing 143
legal requirements 60, 141, 148-9
retention of records 151-2
see also record keeping; records management
Data Protection Act, 1998 60, 141
day care, SLT opportunities 219
day rehabilitation 220
deafness 310-15
decision-making skills 33-7
delegation, guidelines 28-30
dementia 343-7
and dysphagia 326-7
demographic data 437
developing services see commissioning for service development
developmental speech disorders 370
see also specific speech impairment
devolution 54
diaries 146-7

diplegia 285
Disability Discrimination Act, 1995 (Section 21) 59
Disability Discrimination Act, 2005 60, 128
discharge arrangements 211-13
and duty of care 27
discharge reports 212-13
disciplinary proceedings
HPC role 85
line manager responsibilities 104-5
disclosure of information, consent issues 23-4
discrimination, standards of practice 11
disposal of records 150-1, 151-2
distributive justice 9
diversity, RCSLT policies 86
documentation see clinical records; record keeping; records
management
duty of care 24-8, 26-7
advice giving 241
dysarthria 249
in adult brain injury 279
in child brain injury 279
see also acquired speech disorders
dysfluency 316-19
dyskinesia 284
dyslexia 319
dysphagia 319-33
in adults 325-9
in adults with learning disabilities 329-333
in brain injury280
in children 321-5
in critical care 307-8, 309
in head and neck cancers 339
referrals 191
dysphasia see aphasia
dysphonia 382-3
in cleft palate disorders 291
see also voice disorders
dystonia 284
Index 469
education
government departments 240
models of intervention 242-3
settings 224-6
SLT reports 240-4
standard setting 411-12
Education Act, 2002 61
Education (Additional Support for Learning) (Scotland) Act, 2004 65-6
Education (Disability Strategies and Pupils’ Educational Records)
(Scotland) Act, 2002 66
Education and Libraries (Northern Ireland) Order, 2003 72
education and training
EU reforms 42-3
health and safety issues 160
HPC role 85
and ‘partnership’ initiatives 173-7
practice-based learning 173-8
RCSLT role 94-5
return to practice courses 94-5, 112-13
student support guidelines 12, 173-4
for supervisory role 107
see also continuing professional development; induction training
electronic patient records (EPR) 143-4, 147
email access 131
employee data 143
employers, responsibilities towards 13
employment issues
general terms and conditions 102
induction training 103
leave and hours worked 102
RCSLT role 95
staff absences 102-3
see also disciplinary proceedings; professional practice
encephalocele 298
endogenous infections 165
environmental considerations 125-30
legal requirements 128
reception areas 128
staff offices 129

staff rooms 129
therapy rooms 126-8
epilepsy 259
EPR (electronic patient records) 143-4, 147
Equality (Disability, etc.) (Northern Ireland) Order, 2000 70
equipment 130-1
for AAC 233
assessment and intervention tools 130-2
health and safety issues 158-9
ethical decision-making 34, 36
ethical principles 9, 36
EU nationals
fitness to practise 41-2
language competence 41
training and education 42-3, 46
EU Socrates-Erasmus training programme 43
Europe
education system harmonisation 42-3
expansion implications 46
free movement of nationals 41-3
evaluation of services 6, 426-7
see also audit; clinical effectiveness
Every Child Matters (DfES 2003)
Change for Children Programme 78
Children’s Services Strategy 352
evidence-based practice
organisation responsibilities 117-18
research utilisation 116-18
resources 118
see also clinical effectiveness
exogenous infections 165
Expert Patient Programme 167
expressive language disorders, defined 366
extended scope of practice 4
RCSLT support 93-4
eye conditions see visual impairment
facial clefts 297

facilities resource management 125-9
Index 471
Fair Employment and Treatment (Northern Ireland) Order, 1998 70-1
feeding difficulties 321-4
in cleft palate 322
in craniofacial anomalies 301, 323
FEES see Fibre Optic Endoscopic Evaluation of Swallowing
fees for SLT services, guidelines 11
Fibre Optic Endoscopic Evaluation of Swallowing (FEES)
managing risks 328
RCSLT policy statement 91, 94
financial issues see resource management
focus groups 432
Folia Phoniatrica 45
foreign SLTs
EU nationals 41-2
non-EU nationals 43-4
foster parents, and consent to care 19
framing 33
Freedom of Information Act, 2000 62, 141
Friedreich’s ataxia
prevalence 357
see also neurological disorders
frontal lobe head injuries 281
Fulfilling Lives Rehabilitation in Palliative Care (NCHSPCS 2000) 349
gastro-oesophageal reflux (GOR)

in adults with learning difficulties 330
in children 322
gifts and hospitality 11
Glasgow Coma Scale 272
‘glue ear’ 310-11
goal attainment measures 422-3
goal setting 208-9, 422-3
examples 424-6
governance 415-16
definitions 413
see also clinical governance
Government
defined 52
functions of Parliament 52

priorities for care 76-7
UK structure 53
see also health policies
group homes 218
group therapy, environmental considerations 127
handwashing 165-6
head injury
see brain injury
head and neck cancers 333-40
and referral systems 191
health
concepts 98-9
defined 98
frameworks 99
Health Act, 1999 61
Health and Personal Social Services Act (Northern Ireland), 2001 71
Health and Personal Social Services (Quality, Improvement and
Regulation) (Northern Ireland) Order, 2003 69
health policies 73-80
national drivers 434
partnership working 77-8
patient pathway initiatives 75-6
priority care groups 76-7
public involvement 76
service quality standards 74-5, 411-12
supporting change initiatives 78
supporting children’s services 78-80
Health Professions Council (HPC)
functions 85
and RCSLT 84-5
sanctions 85
standard setting 9-10, 413
health promotion 184-7, 217
health records see clinical records
Health and Safety at Work Act, 1974 158
Health and Safety at Work (Amendment) (Northern Ireland) Order,
1998 70
Index 473
health and safety considerations 158-64
equipment maintenance 132
legislation 70, 158, 160
personal safety 160-4
see also infection control; risk management
Health (Wales) Act, 2003 68
Health and Wellbeing Investment Plans (HWIPs) 431
healthcare
future trends 434
provision models 184, 185
standard setting 411-12
Healthcare Commission 411
healthy lifestyle choices 73-4
hemiplegia 285
hepatitis 166
HIV/AIDS 166-7
holistic practice 30, 31
home visits see community visits
hospices 221
hospital at home services 220
hospitality and gifts 11
Huntington’s disease
incidence and prevalence 357
HWIPs (Health and Wellbeing Investment Plans) 431
IALP (International Association of Logopedics and Phoniatrics) 45

ICAN nurseries, referral systems 192
ICAS (Independent Complaints Advocacy Services) 167
ICIDH website 262
Improvement Leaders’ Guidance 3: involving patients and carers,
2002 (NHS Modernisation Agency) 168
incident reporting 155
inclusion policies 79, 242-3
information sources 80
indemnity insurance 8-9, 85-6
see also litigation
Independent Complaints Advocacy Services (ICAS) 167

independent practice 226-9
accountability and line management 105, 157
collaborative working practices 170-2, 228-9
ethical considerations 227
fees 11
service interface issues 170-2, 228-9
service management issues 227-8
‘setting up’ considerations 172
see also Association of Speech and Language Therapists in
Independent Practice
individual therapy, environmental considerations 126-7
induction training 103
infection control 165-7
information and data management 141-3
employee data 143
health records access requests 142-3, 150
sharing protocols 143
see also record keeping
integrated teams 216-17
intermediate care 219
International Association of Logopedics and Phoniatrics (IALP) 45
international associations and bodies 44-6
International Classification of Functioning, Disability and Health (ICF)
40-1
international influences
education and training 42-3
standards of practice 42, 46-7
terminology and taxonomies 40-1
International Journal of Language and Communication Disorders 891
Internet, staff access 131
intervention 204-10
refusal 21
continuity of care 210
developing aims 207-8
and duty of care 27
goal setting 208-9
working with individuals 209
Index 475
invasive procedures, RCSLT guidelines 334
IPR 105
INVOLVE (engagement in research) 167
job descriptions 102

joint commissioning arrangements 432
see also commissioning for service development; partnership
working
Joint Inspection of Children’s Services and Inspection of Social Work
Services (Scotland) Bill (Nov 2005) 68
journals, RCSLT 90-1
KSF (Knowledge and Skills Framework) 124
language competence 41
language impairments see specific language impairment
laryngeal cancer 335-6
see also head and neck cancers
laryngectomy, risk factors 338
learning disabilities see adult learning disability; consent issues
learning organisations 114-16
learning problems, and language impairment 368
legal frameworks 13-30
accountability levels 13-15, 16-17
Acts of Parliament 38, 52, 59-72, 81-2
consent issues 15, 21-2
professional judgements 35
legal statements 236-7
legal/medical reports 237-9
levels of service provision 184, 185
Lewin’s Force Field Analysis tool 445
liability, indemnity insurance 8-9, 85-6
lifestyle initiatives 73-4
light sensitivity 376
line management 104-5
litigation, NHS funding schemes 157-8
mainstream schools 224-5

management of treatments see interventions management

managers see service managers
media and press 169-70
medical records 143-4
access 71, 141-3, 150
contents 144-5
shared 145-6
standards 145
see also data protection; record keeping
medico-legal reports 237-9
Mental Capacity Act, 2005 21, 61
website 262
Mental Health Act, 1983 61
Mental Health (Care and Treatment) (Scotland) Act, 2003 67-8
Mental Health (Northern Ireland) Order, 1986 69
mental health problems
and autism spectrum disorder 266-7
and deafness 315
in children 341-3
and learning disabilities 258-9
mission statement 2
RCSLT 84
Modernisation Agency 168
on critical care 304
monoplegia 285
motor neurone disease
MRCA (Mutual Recognition of Credentials Agreement) 47-9
MRSA 167
multi-agency working 178-80, 216-17
children’s services 79
general aims 180
service development initiatives 432
multidisciplinary teams (MDTs) 216-17
accountability and delegation 29-30
clinical evaluation 417-19
record keeping 145-6
work with adult dementia 346
Index 477
work with dysphagia 324, 328, 332
see also multi-agency working; peers and colleagues
multiple sclerosis
and dysphagia 326
multiple-system atrophy
prevalence 357
muscle tension dysphonia (MTD) 381
mutism
in children 341-3
Mutual Recognition of Credentials Agreement (MRCA) 47-9
NAIRC (The National Recognition Centre for the United Kingdom) 42

National Academy of Neuropsychology website 250
National Autistic Society
care pathway guidelines 265
National Care Standards Commission (NCSC) 63
National Clinical Guidelines for Stroke (RCP 2004) 262
national clinical standards 412
sources 412-13
National Commission for Patient and Public Involvement in Health
(CPPIH) 167
National Health Service Reform (Scotland) Act, 2004 64-5
National Institute for Health and Clinical Excellence (NICE) 412
on head injury management 273
on palliative care 348
on PPI 168-9
National Patient Safety Agency (NPSA) 256, 329
National Service Frameworks (NSFs)
children and young people 320
long-term conditions 250, 273
mental health 256
for older people’s services 262
National Specialist Commissioning Advisory Group (NSCAG) 298-9
The National Standards for Practice-based Learning (2006) 12
negligence 28

and liability 8-9
NHS trust funding schemes 157-8
see also duty of care
neurofibromatosis (NF) 298
incidence 300
neurological disorders 355-62
Newly Qualified Practitioners (NQPs)
competency framework 93, 103, 110-11
full RCSLT membership 112
recommended employment 111
NHS changes
service responses 443-5
NHS Leadership Programmes 445
NHS Litigation Authority (NHSLA) 158
NHS Modernisation Agency 168
on critical care 304
NHS Reform and Health Care Professions Act, 2002 61
NICE see National Institute for Health and Clinical Excellence
non-cleft velopharyngeal insufficiency 289, 290-1, 293
non-registered patients, provision of advice 195
non-traumatic brain injuries 271
Northern Ireland Assembly and Northern Ireland Office 58, 59
legislation 68-72
NHS commissioning arrangements 430-1
service standards 411-12
notifiable diseases 166-7
NQP see Newly Qualified Practitioners
NPSA (National Patient Safety Agency) 256, 329
NSCAG (National Specialist Commissioning Advisory Group) 298-9
ocular defects 377

see also visual impairment
oesophageal atresia 322
office accommodation 129
OfSTED 411
oral cancer 336-8
see also head and neck cancers
Index 479
organisational change 443-5
otitis media with effusion 310-11
outpatient centres 223-4
outcome indicators 421-2
outcomes of clinical services 416-26
individual interventions 209
multidisciplinary working 417-19
providing evidence 421-6
and referral criteria 140
SLT benefits 420-1
overseas SLTs
UK employment 47
see also EU nationals
overseas work opportunities 47
palliative care 347-51

services 222
PALS (Patient Advice and Liaison Services) 167
parental involvement 243
Parkinson’s disease 357
and dysphagia 326
participation promotion 187-8
education and training 173-7
independent practice SLTs 228-9
strategic initiatives and developments 77-8, 432
Patient Advice and Liaison Services (PALS) 167
patient choice 170-1
see also client involvement initiatives
Patient Forums 167
patient journey 184
strategic initiatives 75-6
see also care pathways
patient records see clinical records
payments for services, guidelines 11
peers and colleagues
concerns over 13
relationships with 12-13

sharing information 12-13
support 107-8
personal relationships 11-12
personal safety 160-4
Personal Social Services (preserved Rights) Act (Northern Ireland),
2002 71-2
photographs, consent issues 20
placements see practice-based learning
position papers (RCSLT) 91
see also Royal College of Speech and Language Therapists;
standards of practice
post-traumatic amnesia (PTA) 272
PPI see Public and Patient Involvement
pre-school children 351-5
and SLT involvement 224, 355
press and media 169-70
preventative work see health promotion
primary care settings 220-4
private services see independent practice
professional competence 30-3, 109-14
clinical frameworks 92
of colleagues 13
managers 114
newly qualified practitioners 110-12
RCSLT outcomes model 109-10
SLT returners 112-13
support practitioners 113-14
professional indemnity insurance 8-9, 85-6
professional judgement 33-7
see also advice giving
professional practice
aims 5-6
characteristics and scope 3-4
client group profiles 4
codes of conduct 9
models of service provision 6-7
duty of care 24-8, 26-7
extended roles 4, 93-4
Index 481
international influences and practices 40-4
international standards and associations 44-7
key principles 7
legal frameworks and accountability 13-30
models of intervention 418
outcomes 6, 420-6
outline of UK standards 9-13, 100
regulation 7-8, 84-5, 413
support networks 107-8
see also Royal College of Speech and Language Therapists;
professional qualifications, EU countries 43
professional registration 84-5
professional standards 9-13
RCSLT governance 87
see also standards of practice
promoting services
and advice giving 194-5
guidelines 11, 171, 172
see also health promotion
Protection of Children (Scotland) Act, 2003 66
proxy consent 18-20
Public Health (Control of Disease) Act, 1984 166
public involvement initiatives 76, 167-9
Public and Patient Involvement (PPI) 167-9
role of NICE 168-9
Public Records Office (PRO) 148
publications and journals, RCSLT 90-1
quadriplegia 285
qualitative measures 423
quality
definitions 410-12
see also standards of practice
quality agenda 74-5
Quality Assurance Agency (QAA), pre-registration training 175
Quality Improvement Scotland (QIS) 413
Quality Protects (DoH 1998) 269
quantitative measures 423-4

Race Relations (Amendment Act), 2000 60
rapid response services 220
RCSLT see Royal College of Speech and Language Therapists
RDInfo 442
re-registration procedures 85
reception areas 128
receptive language disorders, defined 366
record keeping 143-8
consent 18, 20
electronic 143-4, 147
independent practice 227-8
multi-disciplinary teams 145-6
staff diaries 146-7
standards and content 144-5, 146
see also data protection; records management; supervision notes
records management 148-52
access request 71, 141-3, 150
confidentiality and data protection 148-50
disposal 150-1
legal requirements 148
retention periods 151-2
storage 150
recruitment 100-1
RCSLT initiatives 93
Reference Framework: Underpinning Competence to Practise (2003)
(RCSLT) 92
referrals
criteria and prioritisation 138-40, 192-5
duty of care 26
policies and types 191
recommended response times 197-200, 199
triage assessment 138-9, 192-5
referred-individual competence
and consent to care 18-22
legislation 21, 61, 67-8
referred-individual involvement initiatives 76
PPI 167-9
service development consultations 432-3
referred-individual journey 184
Index 483
reflective practice, and competence 32
refractive errors 375, 378
refusing intervention 21
registration 84-5
Regulation of Care (Scotland) Act 2001 63-4
regulation of practice 7-8, 84-5, 413
monitoring arrangements 413-16
rehabilitation centres 223
rehabilitation services
and intermediate care 220
settings 222-4
report writing
on referred individuals 244-5
for education 240-4
medico-legal 237-9
research and development
capacity development 440-2
ethical standards 12
information sources 441
organisational responsibilities 441-2
RCSLT support 94
resource implications 442
service-led 427, 440-2
therapy materials 132-3
see also evidence-based practice
residential rehabilitation 220
resource management
key standards 124-5
computer and IT equipment 130-1
costing proposals 435-9
estimating demand 431-4
intervention and assessment equipment 130-2
shortfalls in service provision 189-90, 243-4
and structural change 445
retention policies 101
returning SLTs
RCSLT initiatives 93
re-registration procedures 85, 112-13
re-training and information packs 113, 226

review of interventions 210-11
see also audit; clinical effectiveness; evaluation of services
risk management 152-6
assessment 153-4
and complaints 156
and decision-making 25, 28, 36
and incident reporting 155
investigations 155-6
processes 153
Royal College of Speech and Language Therapists (RCSLT)
functions 90-2
governance 87
guidelines and frameworks 91-2, 253, 268, 334, 381
headquarters structure 89
membership categories 86-7
mission statement and purpose 84
policies and partnership overview 92-3
processes 89-90
professional competency frameworks 109-11
professional networks 89
publications 90-1
roles 8, 84-6
standard setting 9-13, 412
structure 86-7, 88, 89
workforce planning 93-4
safety see health and safety considerations; risk management

Same as You (Scottish Executive 2000) 256
school-age children 362-5
schools
categories and types 224-6
use of AAC 232
scintigraphy, managing risks 328-9
Scottish Parliament and Executive 54-6, 55
legislation 63-8
NHS commissioning arrangements 430
service standards 412
screening referrals 138-9
second opinions 172
Index 485
secretarial support 129
selective mutism 341-3
self-injury, and learning disabilities 259
self-managed care 184
sensori-neural hearing loss, defined 313
service audit 426
service development 428-31, 439-40
assessing local need 431-4
costing proposals 435-9
predicting future demand 434
service design options 434-5
service evaluation 6, 426-7
see also audit; clinical effectiveness
service levels 184, 185
service managers
competence guidelines 114
complaints management 157
facilities and equipment management 124-33
health and safety considerations 159
information and data management 141-52
legal accountability 14-15
pre-registration learning 176-7
regulation and audit management 414-16
research and development responsibilities 440-2
risk management 154
workload management 134-40
service research 427
service users
implications of structural change 443-4
see also referred-individual involvement initiatives
services see speech and language therapy services
settings for practice 5, 215-26
facilities management 125-9
sharing information 12-13, 229
SIGN (Scottish Intercollegiate Network) 413
guidelines 249-50, 262, 266
SIGs (Specific Interest Groups) 90
skill mix 435-6, 436
RCSLT policies 93

SLCD (speech, language and communication disorders)
pre-school children 351-5
school-age children 362-5
see also specific disorders
SLI see specific language impairment
SLT managers see service managers
social care, standard setting 411-12
societal accountability 16-17
Special Educational Needs & Disability Act, 2001 61-2
Special Educational Needs and Disability (Northern Ireland) Order,
2005 72
special needs education
inclusion policies 79-80, 242-3
models of intervention 242-3
written professional advice 240-4
special schools 225-6
see also inclusion policies
specialist SLT services, access and referrals 191-5
Specific Interest Groups (SIGs) 90
specific language impairment (SLI) 365-9
specific speech impairment 369-75
speech and language therapists
delegation responsibilities 28-30
employment roles 2-4
estimating staffing levels 136-8, 435-6, 437-8
legal responsibilities 15, 16-17
aims and benefits 5-6, 99, 419-20
development and improvement 188-90, 427-40
effectiveness and outcome measurement 6, 416-26
facilities and equipment management 125-33
minimum service standards 100, 447-451
provision level outlines 184, 185
referral and access responses 190-5, 197-200, 199
scope and range of practice 2-7, 93-4, 99-100
settings for practice 5, 215-26
shortfalls and gaps 189-90, 243-4
use of care pathways 195-200
workload management 134-41, 192-4, 435-8
Index 487
see also professional practice
speech and language therapy support practitioners 172-3
competence of 113-14
employment roles 2, 172-3
liability and insurance 9
supervision guidelines 12
squints 378
staff absences, monitoring arrangements 102-3
staff data 143
staff diaries 146-7
staff offices 129
staff rooms 129
staff vacancies 141
staff workloads 134, 437-8, 438
see also interventions management; referrals; workload management
staffing levels 136-8
assessment for service development 435-6, 437-8
stammering 316
see also dysfluency
standards of conduct 9-13
Standards of Conduct Performance and ethics (HPC 2003) 413
standards of practice
clinical 412-13
monitoring arrangements 413-16
national level 411-12
RCSLT role 412
Standards of Proficiency (HPC 2003) 413
The Standards in Scotland’s Schools Etc. Act, 2000 66
statement making
legal 236-7
see also advice giving
stationery 130
statutory regulations
Acts of Parliament 38, 52, 59-72, 81-2, 181
see also legal frameworks
storage of data 150
diaries 146
retention periods 151-2
strabismus 378

strategic initiatives 73-80
national drivers 434
patient pathway service redesigns 75-6
predicting future needs 434
priority care groups 76-7
public involvement 76
service quality standards 74-5, 411-12
supporting change policies 78
supporting children’s services 78-80
stroke
aphasia 261-4
and dysarthia 249, 250
and dysphagia 326
general guidelines 250, 262
structural change 443-5
students
responsibility towards 12, 176-8
supervision
clinical 105-6
and delegation 29-30
independent SLTs 105
line management 104-5
support practitioners 12
training 107
types 103-4
supervision notes 24
support networks 107-8
support practitioners see speech and language therapy support
practitioners
supported discharge 220
supported living settings 218
Sure Start, guidance on ethnic minority issues 268
suspension of registration 85
swallowing disorders see dysphagia
targeted intervention
at-risk groups 217
intermediate care settings 219-20
Index 489
technical equipment 130-2
technology, future trends 434
Tessier system 297
tetraplegia 285
therapy materials 132-3
therapy rooms 126-8
tiered model of UK health and social services 184, 185
tobacco use 334
Together We Stand (HMSO 1995) 342
trade union representation 95
training see education and training
traumatic brain injuries 272
treatment see intervention
triage assessment 138-9, 192-5
triplegia 285
tutors, employment contracts 102
UK NARIC (The National Recognition Centre for the United Kingdom) 42

Understanding Organisations (Handy 1993) 445
Understanding Patient Safety Issues for People with Learning
Disabilities (NPSA 2004) 256, 329
United States, professional recognition agreement 47-9
university staff, employment contracts 102
user involvement see referred individual involvement initiatives
Valuing People: A New Strategy for Learning Disability for the 21st
Century (DoH 2001) 256, 329
velopharyngeal disorders (VPI) 289, 293
see also cleft palate
video recordings, consent issues 20
videofluoroscopy, managing risks 328
violent behaviour 160, 163-4
visual impairment 375-80
and learning disabilities 259
VOCAs (voice-output communication aids) 230
voice disorders 380-4
referral systems 192
VPI see velopharyngeal disorders

waiting lists, prioritisation and assessment 138-40
waiting rooms 128
Web Information Sharing Environment (WISE) 435
Welsh Assembly Government and National Assembly for Wales 56-7, 57
legislation 68
NHS commissioning arrangements 431
service standards 412
Whitley Council employment conditions 102
WISE (Web Information Sharing Environment) 435
withholding consent 19, 21
workforce development 100-24
assessment of need 136-8, 435-6, 437-8
RCSLT planning role 93-4, 135-6
recruitment 100-1
retention 101
Workforce Planning Guidelines (RCSLT 2006) 437
working abroad 47
Working in Harmony (RCSLT 2000/2005) 170
working hours 102
workload management 134-41
benchmarking 136
caseload estimates 437-8, 438
estimating demand 134-6, 431-4
estimating staffing levels 136-8, 435-6, 437-8
managing vacancies 141
prioritisation and waiting lists 138-40, 192-4, 197
see also referrals
World Health Organisation (WHO)
on health 99
on learning disability 253
on palliative care 347-8
young people, consent issues 19-20
Zero Tolerance Campaign, 1999 160
Index 491
Notes

Notes
Notes 493
Notes

Notes
Notes 495
Notes

Notes
Notes 497
Notes

Notes
Notes 499
Notes

ISBN 0-947589-55-4
Published by the RCSLT

2 White Hart Yard, London SE1 1NX
020 7378 1200 www.rcslt.org

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Communicating

Designed by: Smith+Bell

RCSLT CQ3 Handbook i

Acknowledgements ........................ xiii

Patron’s Endorsement .................. xvii

Introduction: A User’s Guide ...... xix

Terminology and Abbreviations ..xxiii

Chapter 1 Professional Framework

Chapter 2 International Context

Chapter 3 UK Political Context

iv RCSLT CQ3 Handbook

vi RCSLT CQ3 Handbook

Chapter 6 Service Provision: Part 1 Care Pathway

Chapter 7 Service Provision: Part 2

Chapter 8 Service Provision: Part 3

viii RCSLT CQ3 Handbook

Chapter 9 Service Monitoring, Improvement, Evaluation

Appendix 1 Summary of minimum service standards for

Appendix 2 Sources of further support and information for

This is the third edition of Communicating

xii RCSLT CQ3 Handbook

The development of this third edition of

xiv RCSLT CQ3 Handbook

Who is CQ3 for?

A User’s Guide to Communicating Quality 3 (CQ3) xix

Chapter one outlines the professional framework within which SLTs

xx RCSLT CQ3 Handbook

A User’s Guide to Communicating Quality 3 (CQ3) xxi

Terminology and Abbreviations xxiii

xxiv RCSLT CQ3 Handbook

Terminology and Abbreviations xxv

xxvi RCSLT CQ3 Handbook

Terminology and Abbreviations xxvii

See also Appendix 2 Sources of further support and information.

xxviii RCSLT CQ3 Handbook

1.1 Speech and Language Therapy Mission

RCSLT CQ3 Handbook 1

1.1 Speech and Language Therapy Mission

1.1.1 Who are we?

2 RCSLT CQ3 Handbook

1.1.2 What roles do we undertake?

Professional Framework 1.1 3

1.1.3 Who do we work with?

1.1.5 What are the health, educational and psycho-social

1.1.6 What are the outcomes of speech and language therapy

1.1.7 How are speech and language therapy services

6 RCSLT CQ3 Handbook

Professional Framework 1.1/1.2 7

1.3 Role of the RCSLT

1.4 Role of the ASLTIP

1.5 Professional Indemnity Insurance

8 RCSLT CQ3 Handbook

1.6 Code of Ethics and Professional Conduct

Professional Framework 1.5/1.6 9

respect the confidentiality of individuals using speech and language

10 RCSLT CQ3 Handbook

Professional Framework 1.6 11

member has responsibility.

12 RCSLT CQ3 Handbook