When preparing for the ASWB exam, it's essential to understand not just what the Code of Ethics says, but how to apply it in practice. Section 1.16 of the NASW Code of Ethics focuses on referrals: knowing when to make one, how to do it ethically, and what not to do along the way. Social workers must recognize their limits, protect client welfare, and avoid conflicts of interest in the referral process.

Here’s the full standard:

1.16 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 other services are 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.

What It Means in Practice

This section reinforces three ethical responsibilities around referrals:

  • Recognize when specialized care is needed

  • Facilitate a respectful, informed handoff

  • Never profit from a referral if you're not directly providing a service

Key Guidelines

(a) Refer when needed

  • When you're not equipped to address a client’s needs

  • When another professional may help the client make more meaningful progress

  • When the client requires a different service type or treatment modality

(b) Make the handoff smooth

  • With the client’s consent, share relevant case details

  • Support the transition emotionally and practically

  • Avoid abrupt or incomplete referrals

(c) No payment for referrals without service

  • You may not receive compensation just for connecting a client with another provider

  • Referral bonuses or commissions are unethical unless tied to actual, documented service

Practice Question

Here's how this section of the code might look in an ASWB exam question:

A social worker has been treating a client with severe OCD. After six months with minimal improvement, the social worker determines that the client may benefit from a clinician with advanced CBT training. What is the most ethical action?

A. Refer the client to a CBT specialist and send treatment notes after obtaining consent

B. Begin learning CBT techniques and continue treatment independently

C. Suggest the client find a new cognitively-oriented therapist 

D. Refer the client and accept a finder’s fee from the specialist

The social worker should recognize the client’s need for specialized treatment, initiate a referral, and coordinate the transfer with client consent.
The correct answer is A.

Why not the other choices?

  • B delays appropriate care

  • C lacks proper follow-through

  • D violates ethical rules around referral payment

Preparing for the licensing exam? SWTP’s full-length practice tests help you develop an ease with questions like this—so you’re ready for anything the ASWB throws your way.

Start practicing now.




May 28, 2025
Categories :
  ethics  
  practice  
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