Code of Ethics - NASW
Code of Ethics of the National Association of Social Workers
Approved by the 1996 NASW Delegate Assembly and revised by the 1999 NASW Delegate Assembly
Preamble
The primary mission of the social work profession is to enhance
human well-being and help meet the basic human needs of all people,
with particular attention to the needs and empowerment of people
who are vulnerable, oppressed, and living in poverty. A historic
and defining feature of social work is the profession's focus on
individual well-being in a social context and the well-being of
society. Fundamental to social work is attention to the environmental
forces that create, contribute to, and address problems in living.
Social workers promote social justice and social change with and
on behalf of clients. "Clients" is used inclusively to
refer to individuals, families, groups, organizations, and communities.
Social workers are sensitive to cultural and ethnic diversity and
strive to end discrimination, oppression, poverty, and other forms
of social injustice. These activities may be in the form of direct
practice, community organizing, supervision, consultation, administration,
advocacy, social and political action, policy development and implementation,
education, and research and evaluation. Social workers seek to
enhance the capacity of people to address their own needs. Social
workers also seek to promote the responsiveness of organizations,
communities, and other social institutions to individuals' needs
and social problems.
The mission of the social work profession is rooted in a set of
core values. These core values, embraced by social workers throughout
the profession's history, are the foundation of social work's unique
purpose and perspective:
• service
• social justice
• dignity and worth of the person
• importance of human relationships
• integrity
• competence.
This constellation of core values reflects what is unique to the
social work profession. Core values, and the principles that flow
from them, must be balanced within the context and complexity of
the human experience.
Purpose of the NASW Code of Ethics
Professional ethics are at the core of social work. The profession
has an obligation to articulate its basic values, ethical principles,
and ethical standards. The NASW Code of Ethics sets forth
these values, principles, and standards to guide social workers'
conduct. The Code is relevant to all social workers and social
work students, regardless of their professional functions, the
settings in which they work, or the populations they serve.
The NASW Code of Ethics serves six purposes:
1. The Code identifies core values on which social work's
mission is based.
2. The Code summarizes broad ethical principles that reflect
the profession's core values and establishes a set of specific
ethical standards that should be used to guide social work practice.
3. The Code is designed to help social workers identify
relevant considerations when professional obligations conflict
or ethical uncertainties arise.
4. The Code provides ethical standards to which the general
public can hold the social work profession accountable.
5. The Code socializes practitioners new to the field
to social work's mission, values, ethical principles, and ethical
standards.
6. The Code articulates standards that the social work
profession itself can use to assess whether social workers have
engaged in unethical conduct. NASW has formal procedures to adjudicate
ethics complaints filed against its members.* In subscribing to
this Code, social workers are required to cooperate in its implementation,
participate in NASW adjudication proceedings, and abide by any
NASW disciplinary rulings or sanctions based on it.
*For information on NASW adjudication procedures, see NASW
Procedures for the Adjudication of Grievances.
The Code offers a set of values, principles, and standards
to guide decision making and conduct when ethical issues arise.
It does not provide a set of rules that prescribe how social workers
should act in all situations. Specific applications of the Code
must take into account the context in which it is being considered
and the possibility of conflicts among the Code's values,
principles, and standards. Ethical responsibilities flow from all
human relationships, from the personal and familial to the social
and professional.
Further, the NASW Code of Ethics does not specify which
values, principles, and standards are most important and ought
to outweigh others in instances when they conflict. Reasonable
differences of opinion can and do exist among social workers with
respect to the ways in which values, ethical principles, and ethical
standards should be rank ordered when they conflict. Ethical decision
making in a given situation must apply the informed judgment of
the individual social worker and should also consider how the issues
would be judged in a peer review process where the ethical standards
of the profession would be applied.
Ethical decision making is a process. There are many instances
in social work where simple answers are not available to resolve
complex ethical issues. Social workers should take into consideration
all the values, principles, and standards in this Code that are
relevant to any situation in which ethical judgment is warranted.
Social workers' decisions and actions should be consistent with
the spirit as well as the letter of this Code.
In addition to this Code, there are many other sources of information
about ethical thinking that may be useful. Social workers should
consider ethical theory and principles generally, social work theory
and research, laws, regulations, agency policies, and other relevant
codes of ethics, recognizing that among codes of ethics social
workers should consider the NASW Code of Ethics as their primary
source. Social workers also should be aware of the impact on ethical
decision making of their clients' and their own personal values
and cultural and religious beliefs and practices. They should be
aware of any conflicts between personal and professional values
and deal with them responsibly. For additional guidance social
workers should consult the relevant literature on professional
ethics and ethical decision making and seek appropriate consultation
when faced with ethical dilemmas. This may involve consultation
with an agency-based or social work organization's ethics committee,
a regulatory body, knowledgeable colleagues, supervisors, or legal
counsel.
Instances may arise when social workers' ethical obligations conflict
with agency policies or relevant laws or regulations. When such
conflicts occur, social workers must make a responsible effort
to resolve the conflict in a manner that is consistent with the
values, principles, and standards expressed in this Code. If a
reasonable resolution of the conflict does not appear possible,
social workers should seek proper consultation before making a
decision.
The NASW Code of Ethics is to be used by NASW and by individuals,
agencies, organizations, and bodies (such as licensing and regulatory
boards, professional liability insurance providers, courts of law,
agency boards of directors, government agencies, and other professional
groups) that choose to adopt it or use it as a frame of reference.
Violation of standards in this Code does not automatically imply
legal liability or violation of the law. Such determination can
only be made in the context of legal and judicial proceedings.
Alleged violations of the Code would be subject to a peer review
process. Such processes are generally separate from legal or administrative
procedures and insulated from legal review or proceedings to allow
the profession to counsel and discipline its own members.
A code of ethics cannot guarantee ethical behavior. Moreover, a
code of ethics cannot resolve all ethical issues or disputes or
capture the richness and complexity involved in striving to make
responsible choices within a moral community. Rather, a code of
ethics sets forth values, ethical principles, and ethical standards
to which professionals aspire and by which their actions can be
judged. Social workers' ethical behavior should result from their
personal commitment to engage in ethical practice. The NASW Code
of Ethics reflects the commitment of all social workers to uphold
the profession's values and to act ethically. Principles and standards
must be applied by individuals of good character who discern moral
questions and, in good faith, seek to make reliable ethical judgments.
Ethical Principles
The following broad ethical principles are based on social work's
core values of service, social justice, dignity and worth of the
person, importance of human relationships, integrity, and competence.
These principles set forth ideals to which all social workers should
aspire.
Value: Service
Ethical Principle: Social workers' primary goal
is to help people in need and to address social problems.
Social workers elevate service to others above self-interest. Social
workers draw on their knowledge, values, and skills to help people
in need and to address social problems. Social workers are encouraged
to volunteer some portion of their professional skills with no
expectation of significant financial return (pro bono service).
Value: Social Justice
Ethical Principle: Social workers challenge social
injustice.
Social workers pursue social change, particularly with and on behalf
of vulnerable and oppressed individuals and groups of people. Social
workers' social change efforts are focused primarily on issues
of poverty, unemployment, discrimination, and other forms of social
injustice. These activities seek to promote sensitivity to and
knowledge about oppression and cultural and ethnic diversity. Social
workers strive to ensure access to needed information, services,
and resources; equality of opportunity; and meaningful participation
in decision making for all people.
Value: Dignity and Worth of the Person
Ethical Principle: Social workers respect the
inherent dignity and worth of the person.
Social workers treat each person in a caring and respectful fashion,
mindful of individual differences and cultural and ethnic diversity.
Social workers promote clients' socially responsible self-determination.
Social workers seek to enhance clients' capacity and opportunity
to change and to address their own needs. Social workers are cognizant
of their dual responsibility to clients and to the broader society.
They seek to resolve conflicts between clients' interests and the
broader society's interests in a socially responsible manner consistent
with the values, ethical principles, and ethical standards of the
profession.
Value: Importance of Human Relationships
Ethical Principle: Social workers recognize the
central importance of human relationships.
Social workers understand that relationships between and among
people are an important vehicle for change. Social workers engage
people as partners in the helping process. Social workers seek
to strengthen relationships among people in a purposeful effort
to promote, restore, maintain, and enhance the well-being of individuals,
families, social groups, organizations, and communities.
Value: Integrity
Ethical Principle: Social workers behave in a trustworthy
manner.
Social workers are continually aware of the profession's mission,
values, ethical principles, and ethical standards and practice
in a manner consistent with them. Social workers act honestly and
responsibly and promote ethical practices on the part of the organizations
with which they are affiliated.
Value: Competence
Ethical Principle: Social workers practice
within their areas of competence and develop and enhance their
professional expertise.
Social workers continually strive to increase their professional
knowledge and skills and to apply them in practice. Social workers
should aspire to contribute to the knowledge base of the profession.
Ethical
Standards
The following ethical standards are relevant to the professional
activities of all social workers. These standards concern (1) social
workers' ethical responsibilities to clients, (2) social workers'
ethical responsibilities to colleagues, (3) social workers' ethical
responsibilities in practice settings, (4) social workers' ethical
responsibilities as professionals, (5) social workers' ethical responsibilities
to the social work profession, and (6) social workers' ethical responsibilities
to the broader society.
Some of the standards that follow are enforceable guidelines for
professional conduct, and some are aspirational. The extent to which
each standard is enforceable is a matter of professional judgment
to be exercised by those responsible for reviewing alleged violations
of ethical standards.
1. Social Workers' Ethical Responsibilities to Clients
1.01 Commitment to Clients
Social workers' primary responsibility is to promote the well-being
of clients. In general, clients' interests are primary. However,
social workers' responsibility to the larger society or specific
legal obligations may on limited occasions supersede the loyalty
owed clients, and clients should be so advised. (Examples include
when a social worker is required by law to report that a client has
abused a child or has threatened to harm self or others.)
1.02 Self-Determination
Social workers respect and promote the right of clients to self-determination
and assist clients in their efforts to identify and clarify their
goals. Social workers may limit clients' right to self-determination
when, in the social workers' professional judgment, clients' actions
or potential actions pose a serious, foreseeable, and imminent risk
to themselves or others.
1.03 Informed Consent
(a) Social workers should provide services to clients only in the
context of a professional relationship based, when appropriate, on
valid informed consent. Social workers should use clear and understandable
language to inform clients of the purpose of the services, risks
related to the services, limits to services because of the requirements
of a third-party payer, relevant costs, reasonable alternatives,
clients' right to refuse or withdraw consent, and the time frame
covered by the consent. Social workers should provide clients with
an opportunity to ask questions.
(b) In instances when clients are not literate or have difficulty
understanding the primary language used in the practice setting,
social workers should take steps to ensure clients' comprehension.
This may include providing clients with a detailed verbal explanation
or arranging for a qualified interpreter or translator whenever possible.
(c) In instances when clients lack the capacity to provide informed
consent, social workers should protect clients' interests by seeking
permission from an appropriate third party, informing clients consistent
with the clients' level of understanding. In such instances social
workers should seek to ensure that the third party acts in a manner
consistent with clients' wishes and interests. Social workers should
take reasonable steps to enhance such clients' ability to give informed
consent.
(d) In instances when clients are receiving services involuntarily,
social workers should provide information about the nature and extent
of services and about the extent of clients' right to refuse service.
(e) Social workers who provide services via electronic media (such
as computer, telephone, radio, and television) should inform recipients
of the limitations and risks associated with such services.
(f) Social workers should obtain clients' informed consent before
audiotaping or videotaping clients or permitting observation of services
to clients by a third party.
1.04 Competence
(a) Social workers should provide services and represent themselves
as competent only within the boundaries of their education, training,
license, certification, consultation received, supervised experience,
or other relevant professional experience.
(b) Social workers should provide services in substantive areas or
use intervention techniques or approaches that are new to them only
after engaging in appropriate study, training, consultation, and
supervision from people who are competent in those interventions
or techniques.
(c) When generally recognized standards do not exist with respect
to an emerging area of practice, social workers should exercise careful
judgment and take responsible steps (including appropriate education,
research, training, consultation, and supervision) to ensure the
competence of their work and to protect clients from harm.
1.05 Cultural Competence and Social Diversity
(a) Social workers should understand culture and its function in
human behavior and society, recognizing the strengths that exist
in all cultures.
(b) Social workers should have a knowledge base of their clients'
cultures and be able to demonstrate competence in the provision of
services that are sensitive to clients' cultures and to differences
among people and cultural groups.
(c) Social workers should obtain education about and seek to understand
the nature of social diversity and oppression with respect to race,
ethnicity, national origin, color, sex, sexual orientation, age,
marital status, political belief, religion, and mental or physical
disability.
1.06 Conflicts of Interest
(a) Social workers should be alert to and avoid conflicts of interest
that interfere with the exercise of professional discretion and impartial
judgment. Social workers should inform clients when a real or potential
conflict of interest arises and take reasonable steps to resolve
the issue in a manner that makes the clients' interests primary and
protects clients' interests to the greatest extent possible. In some
cases, protecting clients' interests may require termination of the
professional relationship with proper referral of the client.
(b) Social workers should not take unfair advantage of any professional
relationship or exploit others to further their personal, religious,
political, or business interests.
(c) Social workers should not engage in dual or multiple relationships
with clients or former clients in which there is a risk of exploitation
or potential harm to the client. In instances when dual or multiple
relationships are unavoidable, social workers should take steps to
protect clients and are responsible for setting clear, appropriate,
and culturally sensitive boundaries. (Dual or multiple relationships
occur when social workers relate to clients in more than one relationship,
whether professional, social, or business. Dual or multiple relationships
can occur simultaneously or consecutively.)
(d) When social workers provide services to two or more people who
have a relationship with each other (for example, couples, family
members), social workers should clarify with all parties which individuals
will be considered clients and the nature of social workers' professional
obligations to the various individuals who are receiving services.
Social workers who anticipate a conflict of interest among the individuals
receiving services or who anticipate having to perform in potentially
conflicting roles (for example, when a social worker is asked to
testify in a child custody dispute or divorce proceedings involving
clients) should clarify their role with the parties involved and
take appropriate action to minimize any conflict of interest.
1.07 Privacy and Confidentiality
(a) Social workers should respect clients' right to privacy. Social
workers should not solicit private information from clients unless
it is essential to providing services or conducting social work evaluation
or research. Once private information is shared, standards of confidentiality
apply.
(b) Social workers may disclose confidential information when appropriate
with valid consent from a client or a person legally authorized to
consent on behalf of a client.
(c) Social workers should protect the confidentiality of all information
obtained in the course of professional service, except for compelling
professional reasons. The general expectation that social workers
will keep information confidential does not apply when disclosure
is necessary to prevent serious, foreseeable, and imminent harm to
a client or other identifiable person. In all instances, social workers
should disclose the least amount of confidential information necessary
to achieve the desired purpose; only information that is directly
relevant to the purpose for which the disclosure is made should be
revealed.
(d) Social workers should inform clients, to the extent possible,
about the disclosure of confidential information and the potential
consequences, when feasible before the disclosure is made. This applies
whether social workers disclose confidential information on the basis
of a legal requirement or client consent.
(e) Social workers should discuss with clients and other interested
parties the nature of confidentiality and limitations of clients'
right to confidentiality. Social workers should review with clients
circumstances where confidential information may be requested and
where disclosure of confidential information may be legally required.
This discussion should occur as soon as possible in the social worker-client
relationship and as needed throughout the course of the relationship.
(f) When social workers provide counseling services to families,
couples, or groups, social workers should seek agreement among the
parties involved concerning each individual's right to confidentiality
and obligation to preserve the confidentiality of information shared
by others. Social workers should inform participants in family, couples,
or group counseling that social workers cannot guarantee that all
participants will honor such agreements.
(g) Social workers should inform clients involved in family, couples,
marital, or group counseling of the social worker's, employer's,
and agency's policy concerning the social worker's disclosure of
confidential information among the parties involved in the counseling.
(h) Social workers should not disclose confidential information to
third-party payers unless clients have authorized such disclosure.
(i) Social workers should not discuss confidential information in
any setting unless privacy can be ensured. Social workers should
not discuss confidential information in public or semipublic areas
such as hallways, waiting rooms, elevators, and restaurants.
(j) Social workers should protect the confidentiality of clients
during legal proceedings to the extent permitted by law. When a court
of law or other legally authorized body orders social workers to
disclose confidential or privileged information without a client's
consent and such disclosure could cause harm to the client, social
workers should request that the court withdraw the order or limit
the order as narrowly as possible or maintain the records under seal,
unavailable for public inspection.
(k) Social workers should protect the confidentiality of clients
when responding to requests from members of the media.
(l) Social workers should protect the confidentiality of clients'
written and electronic records and other sensitive information. Social
workers should take reasonable steps to ensure that clients' records
are stored in a secure location and that clients' records are not
available to others who are not authorized to have access.
(m) Social workers should take precautions to ensure and maintain
the confidentiality of information transmitted to other parties through
the use of computers, electronic mail, facsimile machines, telephones
and telephone answering machines, and other electronic or computer
technology. Disclosure of identifying information should be avoided
whenever possible.
(n) Social workers should transfer or dispose of clients' records
in a manner that protects clients' confidentiality and is consistent
with state statutes governing records and social work licensure.
(o) Social workers should take reasonable precautions to protect
client confidentiality in the event of the social worker's termination
of practice, incapacitation, or death.
(p) Social workers should not disclose identifying information when
discussing clients for teaching or training purposes unless the client
has consented to disclosure of confidential information.
(q) Social workers should not disclose identifying information when
discussing clients with consultants unless the client has consented
to disclosure of confidential information or there is a compelling
need for such disclosure.
(r) Social workers should protect the confidentiality of deceased
clients consistent with the preceding standards.
1.08 Access to Records
(a) Social workers should provide clients with reasonable access
to records concerning the clients. Social workers who are concerned
that clients' access to their records could cause serious misunderstanding
or harm to the client should provide assistance in interpreting the
records and consultation with the client regarding the records. Social
workers should limit clients' access to their records, or portions
of their records, only in exceptional circumstances when there is
compelling evidence that such access would cause serious harm to
the client. Both clients' requests and the rationale for withholding
some or all of the record should be documented in clients' files.
(b) When providing clients with access to their records, social workers
should take steps to protect the confidentiality of other individuals
identified or discussed in such records.
1.09 Sexual Relationships
(a) Social workers should under no circumstances engage in sexual
activities or sexual contact with current clients, whether such contact
is consensual or forced.
(b) Social workers should not engage in sexual activities or sexual
contact with clients' relatives or other individuals with whom clients
maintain a close personal relationship when there is a risk of exploitation
or potential harm to the client. Sexual activity or sexual contact
with clients' relatives or other individuals with whom clients maintain
a personal relationship has the potential to be harmful to the client
and may make it difficult for the social worker and client to maintain
appropriate professional boundaries. Social workers--not their clients,
their clients' relatives, or other individuals with whom the client
maintains a personal relationship--assume the full burden for setting
clear, appropriate, and culturally sensitive boundaries.
(c) Social workers should not engage in sexual activities or sexual
contact with former clients because of the potential for harm to
the client. If social workers engage in conduct contrary to this
prohibition or claim that an exception to this prohibition is warranted
because of extraordinary circumstances, it is social workers--not
their clients--who assume the full burden of demonstrating that the
former client has not been exploited, coerced, or manipulated, intentionally
or unintentionally.
(d) Social workers should not provide clinical services to individuals
with whom they have had a prior sexual relationship. Providing clinical
services to a former sexual partner has the potential to be harmful
to the individual and is likely to make it difficult for the social
worker and individual to maintain appropriate professional boundaries.
1.10 Physical Contact
Social workers should not engage in physical contact with clients
when there is a possibility of psychological harm to the client as
a result of the contact (such as cradling or caressing clients).
Social workers who engage in appropriate physical contact with clients
are responsible for setting clear, appropriate, and culturally sensitive
boundaries that govern such physical contact.
1.11 Sexual Harassment
Social workers should not sexually harass clients. Sexual harassment
includes sexual advances, sexual solicitation, requests for sexual
favors, and other verbal or physical conduct of a sexual nature.
1.12 Derogatory Language
Social workers should not use derogatory language in their written
or verbal communications to or about clients. Social workers should
use accurate and respectful language in all communications to and
about clients.
1.13 Payment for Services
(a) When setting fees, social workers should ensure that the fees
are fair, reasonable, and commensurate with the services performed.
Consideration should be given to clients' ability to pay.
(b) Social workers should avoid accepting goods or services from
clients as payment for professional services. Bartering arrangements,
particularly involving services, create the potential for conflicts
of interest, exploitation, and inappropriate boundaries in social
workers' relationships with clients. Social workers should explore
and may participate in bartering only in very limited circumstances
when it can be demonstrated that such arrangements are an accepted
practice among professionals in the local community, considered to
be essential for the provision of services, negotiated without coercion,
and entered into at the client's initiative and with the client's
informed consent. Social workers who accept goods or services from
clients as payment for professional services assume the full burden
of demonstrating that this arrangement will not be detrimental to
the client or the professional relationship.
(c) Social workers should not solicit a private fee or other remuneration
for providing services to clients who are entitled to such available
services through the social workers' employer or agency.
1.14 Clients Who Lack Decision-Making Capacity
When social workers act on behalf of clients who lack the capacity
to make informed decisions, social workers should take reasonable
steps to safeguard the interests and rights of those clients.
1.15 Interruption of Services
Social workers should make reasonable efforts to ensure continuity
of services in the event that services are interrupted by factors
such as unavailability, relocation, illness, disability, or death.
1.16 Termination of Services
(a) Social workers should terminate services to clients and professional
relationships with them when such services and relationships are
no longer required or no longer serve the clients' needs or interests.
(b) Social workers should take reasonable steps to avoid abandoning
clients who are still in need of services. Social workers should
withdraw services precipitously only under unusual circumstances,
giving careful consideration to all factors in the situation and
taking care to minimize possible adverse effects. Social workers
should assist in making appropriate arrangements for continuation
of services when necessary.
(c) Social workers in fee-for-service settings may terminate services
to clients who are not paying an overdue balance if the financial
contractual arrangements have been made clear to the client, if the
client does not pose an imminent danger to self or others, and if
the clinical and other consequences of the current nonpayment have
been addressed and discussed with the client.
(d) Social workers should not terminate services to pursue a social,
financial, or sexual relationship with a client.
(e) Social workers who anticipate the termination or interruption
of services to clients should notify clients promptly and seek the
transfer, referral, or continuation of services in relation to the
clients' needs and preferences.
(f) Social workers who are leaving an employment setting should inform
clients of appropriate options for the continuation of services and
of the benefits and risks of the options.
2. Social Workers' Ethical Responsibilities to Colleagues
2.01 Respect
(a) Social workers should treat colleagues with respect and should
represent accurately and fairly the qualifications, views, and obligations
of colleagues.
(b) Social workers should avoid unwarranted negative criticism of
colleagues in communications with clients or with other professionals.
Unwarranted negative criticism may include demeaning comments that
refer to colleagues' level of competence or to indi-viduals' attributes
such as race, ethnicity, national origin, color, sex, sexual orientation,
age, marital status, political belief, religion, and mental or physical
disability.
(c) Social workers should cooperate with social work colleagues and
with colleagues of other professions when such cooperation serves
the well-being of clients.
2.02 Confidentiality
Social workers should respect confidential information shared by
colleagues in the course of their professional relationships and
transactions. Social workers should ensure that such colleagues understand
social workers' obligation to respect confidentiality and any exceptions
related to it.
2.03 Interdisciplinary Collaboration
(a) Social workers who are members of an interdisciplinary team should
participate in and contribute to decisions that affect the well-being
of clients by drawing on the perspectives, values, and experiences
of the social work profession. Professional and ethical obligations
of the interdisciplinary team as a whole and of its individual members
should be clearly established.
(b) Social workers for whom a team decision raises ethical concerns
should attempt to resolve the disagreement through appropriate channels.
If the disagreement cannot be resolved, social workers should pursue
other avenues to address their concerns consistent with client well-being.
2.04 Disputes Involving Colleagues
(a) Social workers should not take advantage of a dispute between
a colleague and an employer to obtain a position or otherwise advance
the social workers' own interests.
(b) Social workers should not exploit clients in disputes with colleagues
or engage clients in any inappropriate discussion of conflicts between
social workers and their colleagues.
2.05 Consultation
(a) Social workers should seek the advice and counsel of colleagues
whenever such consultation is in the best interests of clients.
(b) Social workers should keep themselves informed about colleagues'
areas of expertise and competencies. Social workers should seek consultation
only from colleagues who have demonstrated knowledge, expertise,
and competence related to the subject of the consultation.
(c) When consulting with colleagues about clients, social workers
should disclose the least amount of information necessary to achieve
the purposes of the consultation.
2.06 Referral for Services
(a) Social workers should refer clients to other professionals when
the other professionals' specialized knowledge or expertise is needed
to serve clients fully or when social workers believe that they are
not being effective or making reasonable progress with clients and
that additional service is required.
(b) Social workers who refer clients to other professionals should
take appropriate steps to facilitate an orderly transfer of responsibility.
Social workers who refer clients to other professionals should disclose,
with clients' consent, all pertinent information to the new service
providers.
(c) Social workers are prohibited from giving or receiving payment
for a referral when no professional service is provided by the referring
social worker.
2.07 Sexual Relationships
(a) Social workers who function as supervisors or educators should
not engage in sexual activities or contact with supervisees, students,
trainees, or other colleagues over whom they exercise professional
authority.
(b) Social workers should avoid engaging in sexual relationships
with colleagues when there is potential for a conflict of interest.
Social workers who become involved in, or anticipate becoming involved
in, a sexual relationship with a colleague have a duty to transfer
professional responsibilities, when necessary, to avoid a conflict
of interest.
2.08 Sexual Harassment
Social workers should not sexually harass supervisees, students,
trainees, or colleagues. Sexual harassment includes sexual advances,
sexual solicitation, requests for sexual favors, and other verbal
or physical conduct of a sexual nature.
2.09 Impairment of Colleagues
(a) Social workers who have direct knowledge of a social work colleague's
impairment that is due to personal problems, psychosocial distress,
substance abuse, or mental health difficulties and that interferes
with practice effectiveness should consult with that colleague when
feasible and assist the colleague in taking remedial action.
(b) Social workers who believe that a social work colleague's impairment
interferes with practice effectiveness and that the colleague has
not taken adequate steps to address the impairment should take action
through appropriate channels established by employers, agencies,
NASW, licensing and regulatory bodies, and other professional organizations.
2.10 Incompetence of Colleagues
(a) Social workers who have direct knowledge of a social work colleague's
incompetence should consult with that colleague when feasible and
assist the colleague in taking remedial action.
(b) Social workers who believe that a social work colleague is incompetent
and has not taken adequate steps to address the incompetence should
take action through appropriate channels established by employers,
agencies, NASW, licensing and regulatory bodies, and other professional
organizations.
2.11 Unethical Conduct of Colleagues
(a) Social workers should take adequate measures to discourage, prevent,
expose, and correct the unethical conduct of colleagues.
(b) Social workers should be knowledgeable about established policies
and procedures for handling concerns about colleagues' unethical
behavior. Social workers should be familiar with national, state,
and local procedures for handling ethics complaints. These include
policies and procedures created by NASW, licensing and regulatory
bodies, employers, agencies, and other professional organizations.
(c) Social workers who believe that a colleague has acted unethically
should seek resolution by discussing their concerns with the colleague
when feasible and when such discussion is likely to be productive.
(d) When necessary, social workers who believe that a colleague has
acted unethically should take action through appropriate formal channels
(such as contacting a state licensing board or regulatory body, an
NASW committee on inquiry, or other professional ethics committees).
(e) Social workers should defend and assist colleagues who are unjustly
charged with unethical conduct.
3. Social Workers' Ethical Responsibilities in Practice
Settings
3.01 Supervision and Consultation
(a) Social workers who provide supervision or consultation should
have the necessary knowledge and skill to supervise or consult appropriately
and should do so only within their areas of knowledge and competence.
(b) Social workers who provide supervision or consultation are responsible
for setting clear, appropriate, and culturally sensitive boundaries.
(c) Social workers should not engage in any dual or multiple relationships
with supervisees in which there is a risk of exploitation of or potential
harm to the supervisee.
(d) Social workers who provide supervision should evaluate supervisees'
performance in a manner that is fair and respectful.
3.02 Education and Training
(a) Social workers who function as educators, field instructors for
students, or trainers should provide instruction only within their
areas of knowledge and competence and should provide instruction
based on the most current information and knowledge available in
the profession.
(b) Social workers who function as educators or field instructors
for students should evaluate students' performance in a manner that
is fair and respectful.
(c) Social workers who function as educators or field instructors
for students should take reasonable steps to ensure that clients
are routinely informed when services are being provided by students.
(d) Social workers who function as educators or field instructors
for students should not engage in any dual or multiple relationships
with students in which there is a risk of exploitation or potential
harm to the student. Social work educators and field instructors
are responsible for setting clear, appropriate, and culturally sensitive
boundaries.
3.03 Performance Evaluation
Social workers who have responsibility for evaluating the performance
of others should fulfill such responsibility in a fair and considerate
manner and on the basis of clearly stated criteria.
3.04 Client Records
(a) Social workers should take reasonable steps to ensure that documentation
in records is accurate and reflects the services provided.
(b) Social workers should include sufficient and timely documentation
in records to facilitate the delivery of services and to ensure continuity
of services provided to clients in the future.
(c) Social workers' documentation should protect clients' privacy
to the extent that is possible and appropriate and should include
only information that is directly relevant to the delivery of services.
(d) Social workers should store records following the termination
of services to ensure reasonable future access. Records should be
maintained for the number of years required by state statutes or
relevant contracts.
3.05 Billing
Social workers should establish and maintain billing practices that
accurately reflect the nature and extent of services provided and
that identify who provided the service in the practice setting.
3.06 Client Transfer
(a) When an individual who is receiving services from another agency
or colleague contacts a social worker for services, the social worker
should carefully consider the client's needs before agreeing to provide
services. To minimize possible confusion and conflict, social workers
should discuss with potential clients the nature of the clients'
current relationship with other service providers and the implications,
including possible benefits or risks, of entering into a relationship
with a new service provider.
(b) If a new client has been served by another agency or colleague,
social workers should discuss with the client whether consultation
with the previous service provider is in the client's best interest.
3.07 Administration
(a) Social work administrators should advocate within and outside
their agencies for adequate resources to meet clients' needs.
(b) Social workers should advocate for resource allocation procedures
that are open and fair. When not all clients' needs can be met, an
allocation procedure should be developed that is nondiscriminatory
and based on appropriate and consistently applied principles.
(c) Social workers who are administrators should take reasonable
steps to ensure that adequate agency or organizational resources
are available to provide appropriate staff supervision.
(d) Social work administrators should take reasonable steps to ensure
that the working environment for which they are responsible is consistent
with and encourages compliance with the NASW Code of Ethics. Social
work administrators should take reasonable steps to eliminate any
conditions in their organizations that violate, interfere with, or
discourage compliance with the Code.
3.08 Continuing Education and Staff Development
Social work administrators and supervisors should take reasonable
steps to provide or arrange for continuing education and staff development
for all staff for whom they are responsible. Continuing education
and staff development should address current knowledge and emerging
developments related to social work practice and ethics.
3.09 Commitments to Employers
(a) Social workers generally should adhere to commitments made to
employers and employing organizations.
(b) Social workers should work to improve employing agencies' policies
and procedures and the efficiency and effectiveness of their services.
(c) Social workers should take reasonable steps to ensure that employers
are aware of social workers' ethical obligations as set forth in
the NASW Code of Ethics and of the implications of those obligations
for social work practice.
(d) Social workers should not allow an employing organization's policies,
procedures, regulations, or administrative orders to interfere with
their ethical practice of social work. Social workers should take
reasonable steps to ensure that their employing organizations' practices
are consistent with the NASW Code of Ethics.
(e) Social workers should act to prevent and eliminate discrimination
in the employing organization's work assignments and in its employment
policies and practices.
(f) Social workers should accept employment or arrange student field
placements only in organizations that exercise fair personnel practices.
(g) Social workers should be diligent stewards of the resources of
their employing organizations, wisely conserving funds where appropriate
and never misappropriating funds or using them for unintended purposes.
3.10 Labor-Management Disputes
(a) Social workers may engage in organized action, including the
formation of and participation in labor unions, to improve services
to clients and working conditions.
(b) The actions of social workers who are involved in labor-management
disputes, job actions, or labor strikes should be guided by the profession's
values, ethical principles, and ethical standards. Reasonable differences
of opinion exist among social workers concerning their primary obligation
as professionals during an actual or threatened labor strike or job
action. Social workers should carefully examine relevant issues and
their possible impact on clients before deciding on a course of action.
4. Social Workers' Ethical Responsibilities as Professionals
4.01 Competence
(a) Social workers should accept responsibility or employment only
on the basis of existing competence or the intention to acquire the
necessary competence.
(b) Social workers should strive to become and remain proficient
in professional practice and the performance of professional functions.
Social workers should critically examine and keep current with emerging
knowledge relevant to social work. Social workers should routinely
review the professional literature and participate in continuing
education relevant to social work practice and social work ethics.
(c) Social workers should base practice on recognized knowledge,
including empirically based knowledge, relevant to social work and
social work ethics.
4.02 Discrimination
Social workers should not practice, condone, facilitate, or collaborate
with any form of discrimination on the basis of race, ethnicity,
national origin, color, sex, sexual orientation, age, marital status,
political belief, religion, or mental or physical disability.
4.03 Private Conduct
Social workers should not permit their private conduct to interfere
with their ability to fulfill their professional responsibilities.
4.04 Dishonesty, Fraud, and Deception
Social workers should not participate in, condone, or be associated
with dishonesty, fraud, or deception.
4.05 Impairment
(a) Social workers should not allow their own personal problems,
psychosocial distress, legal problems, substance abuse, or mental
health difficulties to interfere with their professional judgment
and performance or to jeopardize the best interests of people for
whom they have a professional responsibility.
(b) Social workers whose personal problems, psychosocial distress,
legal problems, substance abuse, or mental health difficulties interfere
with their professional judgment and performance should immediately
seek consultation and take appropriate remedial action by seeking
professional help, making adjustments in workload, terminating practice,
or taking any other steps necessary to protect clients and others.
4.06 Misrepresentation
(a) Social workers should make clear distinctions between statements
made and actions engaged in as a private individual and as a representative
of the social work profession, a professional social work organization,
or the social worker's employing agency.
(b) Social workers who speak on behalf of professional social work
organizations should accurately represent the official and authorized
positions of the organizations.
(c) Social workers should ensure that their representations to clients,
agencies, and the public of professional qualifications, credentials,
education, competence, affiliations, services provided, or results
to be achieved are accurate. Social workers should claim only those
relevant professional credentials they actually possess and take
steps to correct any inaccuracies or misrepresentations of their
credentials by others.
4.07 Solicitations
(a) Social workers should not engage in uninvited solicitation of
potential clients who, because of their circumstances, are vulnerable
to undue influence, manipulation, or coercion.
(b) Social workers should not engage in solicitation of testimonial
endorsements (including solicitation of consent to use a client's
prior statement as a testimonial endorsement) from current clients
or from other people who, because of their particular circumstances,
are vulnerable to undue influence.
4.08 Acknowledging Credit
(a) Social workers should take responsibility and credit, including
authorship credit, only for work they have actually performed and
to which they have contributed.
(b) Social workers should honestly acknowledge the work of and the
contributions made by others.
5.
Social Workers' Ethical Responsibilities to the Social Work
Profession
5.01 Integrity of the Profession
(a) Social workers should work toward the maintenance and promotion
of high standards of practice.
(b) Social workers should uphold and advance the values, ethics,
knowledge, and mission of the profession. Social workers should protect,
enhance, and improve the integrity of the profession through appropriate
study and research, active discussion, and responsible criticism
of the profession.
(c) Social workers should contribute time and professional expertise
to activities that promote respect for the value, integrity, and
competence of the social work profession. These activities may include
teaching, research, consultation, service, legislative testimony,
presentations in the community, and participation in their professional
organizations.
(d) Social workers should contribute to the knowledge base of social
work and share with colleagues their knowledge related to practice,
research, and ethics. Social workers should seek to con-tribute to
the profession's literature and to share their knowledge at professional
meetings and conferences.
(e) Social workers should act to prevent the unauthorized and unqualified
practice of social work.
5.02 Evaluation and Research
(a) Social workers should monitor and evaluate policies, the implementation
of programs, and practice interventions.
(b) Social workers should promote and facilitate evaluation and research
to contribute to the development of knowledge.
(c) Social workers should critically examine and keep current with
emerging knowledge relevant to social work and fully use evaluation
and research evidence in their professional practice.
(d) Social workers engaged in evaluation or research should carefully
consider possible consequences and should follow guidelines developed
for the protection of evaluation and research participants. Appropriate
institutional review boards should be consulted.
(e) Social workers engaged in evaluation or research should obtain
voluntary and written informed consent from participants, when appropriate,
without any implied or actual deprivation or penalty for refusal
to participate; without undue inducement to participate; and with
due regard for participants' well-being, privacy, and dignity. Informed
consent should include information about the nature, extent, and
duration of the participation requested and disclosure of the risks
and benefits of participation in the research.
(f) When evaluation or research participants are incapable of giving
informed consent, social workers should provide an appropriate explanation
to the participants, obtain the participants' assent to the extent
they are able, and obtain written consent from an appropriate proxy.
(g) Social workers should never design or conduct evaluation or research
that does not use consent procedures, such as certain forms of naturalistic
observation and archival research, unless rigorous and responsible
review of the research has found it to be justified because of its
prospective scientific, educational, or applied value and unless
equally effective alternative procedures that do not involve waiver
of consent are not feasible.
(h) Social workers should inform participants of their right to withdraw
from evaluation and research at any time without penalty.
(i) Social workers should take appropriate steps to ensure that participants
in evaluation and research have access to appropriate supportive
services.
(j) Social workers engaged in evaluation or research should protect
participants from unwarranted physical or mental distress, harm,
danger, or deprivation.
(k) Social workers engaged in the evaluation of services should discuss
collected information only for professional purposes and only with
people professionally concerned with this information.
(l) Social workers engaged in evaluation or research should ensure
the anonymity or confidentiality of participants and of the data
obtained from them. Social workers should inform participants of
any limits of confidentiality, the measures that will be taken to
ensure confidentiality, and when any records containing research
data will be destroyed.
(m) Social workers who report evaluation and research results should
protect participants' confidentiality by omitting identifying information
unless proper consent has been obtained authorizing disclosure.
(n) Social workers should report evaluation and research findings
accurately. They should not fabricate or falsify results and should
take steps to correct any errors later found in published data using
standard publication methods.
(o) Social workers engaged in evaluation or research should be alert
to and avoid conflicts of interest and dual relationships with participants,
should inform participants when a real or potential conflict of interest
arises, and should take steps to resolve the issue in a manner that
makes participants' interests primary.
(p) Social workers should educate themselves, their students, and
their colleagues about responsible research practices.
6.
Social Workers' Ethical Responsibilities to the Broader Society
6.01 Social Welfare
Social workers should promote the general welfare of society, from
local to global levels, and the development of people, their communities,
and their environments. Social workers should advocate for living
conditions conducive to the fulfillment of basic human needs and
should promote social, economic, political, and cultural values and
institutions that are compatible with the realization of social justice.
6.02 Public Participation
Social workers should facilitate informed participation by the public
in shaping social policies and institutions.
6.03 Public Emergencies
Social workers should provide appropriate professional services in
public emergencies to the greatest extent possible.
6.04 Social and Political Action
(a) Social workers should engage in social and political action that
seeks to ensure that all people have equal access to the resources,
employment, services, and opportunities they require to meet their
basic human needs and to develop fully. Social workers should be
aware of the impact of the political arena on practice and should
advocate for changes in policy and legislation to improve social
conditions in order to meet basic human needs and promote social
justice.
(b) Social workers should act to expand choice and opportunity for
all people, with special regard for vulnerable, disadvantaged, oppressed,
and exploited people and groups.
(c) Social workers should promote conditions that encourage respect
for cultural and social diversity within the United States and globally.
Social workers should promote policies and practices that demonstrate
respect for difference, support the expansion of cultural knowledge
and resources, advocate for programs and institutions that demonstrate
cultural competence, and promote policies that safeguard the rights
of and confirm equity and social justice for all people.
(d) Social workers should act to prevent and eliminate domination
of, exploitation of, and discrimination against any person, group,
or class on the basis of race, ethnicity, national origin, color,
sex, sexual orientation, age, marital status, political belief, religion,
or mental or physical disability.
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©2003 National Association of Social Workers. All Rights Reserved.
