This oversized section of the Code of Ethics lays out the responsibilities social workers have when conducting, participating in, or using research and evaluation. It spans everything from informed consent and confidentiality to avoiding harm, protecting participant rights, and contributing to the knowledge base of the profession.
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 using electronic technology to facilitate evaluation or research, social workers should ensure that participants provide informed consent for the use of such technology. Social workers should assess whether participants are able to use the technology and, when appropriate, offer reasonable alternatives to participate in the evaluation or research.
(g) 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.
(h) 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.
(i) Social workers should inform participants of their right to withdraw from evaluation and research at any time without penalty.
(j) Social workers should take appropriate steps to ensure that participants in evaluation and research have access to appropriate supportive services.
(k) Social workers engaged in evaluation or research should protect participants from unwarranted physical or mental distress, harm, danger, or deprivation.
(l) 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.
(m) 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.
(n) Social workers who report evaluation and research results should protect participants’ confidentiality by omitting identifying information unless proper consent has been obtained authorizing disclosure.
(o) 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.
(p) 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.
(q) Social workers should educate themselves, their students, and their colleagues about responsible research practices.
TL;DR? Here are the essentials to putting 5.02 in action:
Social workers should engage with research thoughtfully, ethically, and responsibly.
Participants’ rights and well-being come first—this includes obtaining informed consent, protecting privacy, and ensuring no undue distress.
Good research also means honest results—social workers must not misrepresent findings or withhold known limitations.
When informed consent is not possible (e.g., naturalistic observation), it must be reviewed and justified by a recognized board.
Technology use in research adds complexity—social workers must ensure accessibility and informed consent here too.
This section covers a lot, and exam research questions will often zero in on one or two key principles at a time. Be especially ready for items involving:
Informed consent
Look for answer choices that support full, voluntary, and well-informed consent. Questions may test how to handle minors, tech-based consent, or people with impaired capacity.
Withdrawal rights
Participants can leave a study at any time—no penalty, no pressure. That’s a clear ethical standard.
Confidentiality
If a test item involves how research data is shared or stored, the right answer will often highlight protecting participants’ identities or explaining confidentiality limits.
Responsible reporting
Questions may include scenarios where a social worker discovers an error in published data or is tempted to skip steps to meet a deadline. Look for options that prioritize honesty and accuracy.
Conflict of interest
Be on the lookout for dual relationships or blurred lines between researcher and participant. The ethical path involves transparency and putting the participant’s welfare first.
How this could show up on the ASWB exam:
A social worker is conducting research using an online survey tool to evaluate a new intervention. Several participants have low digital literacy and struggle to complete the survey on their own. What is the MOST appropriate next step for the social worker?
A. Provide a simplified survey omitting informed consent.
B. Offer paper-based alternatives or in-person support while ensuring informed consent is preserved.
C. Exclude the participants from the study to preserve research integrity.
D. Record participant responses verbally without additional documentation.
Know the answer?
Here's ours, and how we got there: A and D both bypass informed consent protections—clear ethical violations. C excludes participants unfairly without attempting accommodation. B is correct—it maintains informed consent while offering alternative formats to increase accessibility.
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