nasw essential steps for ethical problem solving

Essential Steps for Ethical Problem-Solving 1. DETERMINE whether there is an ethical issue or/and dilemma. Is there a conflict of values, or rights, or professional responsibilities? (For example, there may be an issue of self-determination of an adolescent versus the well-being of the family.) 2. IDENTIFY the key values and principles involved. What meanings and limitations are typically attached to these competing values? (For example, rarely is confidential information held in absolute secrecy; however, typically decisions about access by third parties to sensitive content should be contracted with clients.) 3. RANK the values or ethical principles which - in your professional judgement - are most relevant to the issue or dilemma. What reasons can you provide for prioritizing one competing value/principle over another? (For example, your client's right to choose a beneficial course of action could bring hardship or harm to others who would be affected.) 4. DEVELOP an action plan that is consistent with the ethical priorities that have been determined as central to the dilemma. Have you conferred with clients and colleagues, as appropriate, about the potential risks and consequences of alternative courses of action? Can you support or justify your action plan with the values/principles on which the plan is based? (For example, have you conferred with all the necessary persons regarding the ethical dimensions of planning for a battered wife's quest to secure secret shelter and the implications for her teen-aged children?) 5. IMPLEMENT your plan, utilizing the most appropriate practice skills and competencies. How will you make use of core social work skills such as sensitive communication, skillful negotiation, and cultural competence? (For example, skillful colleague or supervisory communication and negotiation may enable an impaired colleague to see her/his impact on clients and to take appropriate action.) 6. REFLECT on the outcome of this ethical decision making process. How would you evaluate the consequences of this process for those involved: Client(s), professional(s), and agency (ies)? (Increasingly, professionals have begun to seek support, further professional training, and consultation through the development of Ethics review Committees or Ethics Consultation processes.)

From discussion by Frederick Reamer & Sr. Ann Patrick Conrad in Professional Choices: Ethics at Work (1995), video available from NASW Press 1-800-227-3590 Format developed by Sr. Vincentia Joseph & Sr. Ann Patrick Conrad NASW Office of Ethics and Professional Review, 1-800-638-8799 750 1 st Street, NE, Suite 700, Washington, DC 20002

Read the Code of Ethics

The NASW Code of Ethics is a set of standards that guide the professional conduct of social workers. The 2021 update includes language that addresses the importance of professional self-care. Moreover, revisions to Cultural Competence standard provide more explicit guidance to social workers. All social workers should review the new text and affirm their commitment to abide by the Code of Ethics. Also available in Spanish.

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 dual 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:

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:

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.

* For information on the NASW Professional Review Process, see NASW Procedures for Professional Review.

Furthermore, 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. In situations when conflicting obligations arise, social workers may be faced with complex ethical dilemmas that have no simple answers. 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.

With growth in the use of communication technology in various aspects of social work practice, social workers need to be aware of the unique challenges that may arise in relation to the maintenance of confidentiality, informed consent, professional boundaries, professional competence, record keeping, and other ethical considerations. In general, all ethical standards in this Code of Ethics are applicable to interactions, relationships, or communications, whether they occur in person or with the use of technology. For the purposes of this Code, “technology-assisted social work services” include any social work services that involve the use of computers, mobile or landline telephones, tablets, video technology, or other electronic or digital technologies; this includes the use of various electronic or digital platforms, such as the Internet, online social media, chat rooms, text messaging, e-mail and emerging digital applications. Technology-assisted social work services encompass all aspects of social work practice, including psychotherapy; individual, family, or group counseling; community organization; administration; advocacy; mediation; education; supervision; research; evaluation; and other social work services. Social workers should keep apprised of emerging technological developments that may be used in social work practice and how various ethical standards apply to them.

Professional self-care is paramount for competent and ethical social work practice. Professional demands, challenging workplace climates, and exposure to trauma warrant that social workers maintain personal and professional health, safety, and integrity. Social work organizations, agencies, and educational institutions are encouraged to promote organizational policies, practices, and materials to support social workers’ self-care.

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 should take measures to care for themselves professionally and personally. 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 >>

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 >>, 6. social workers' ethical responsibilities to the broader society >>.

nasw essential steps for ethical problem solving

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Eth3338 - section 2: best practice models of ethical decision making.

This course will now present a number of ethical decision making models, covering current and best practices strategies from the social work and counseling arenas, as well as from the private business sector. Each of these models will be presented in an easily printable form, allowing the trainee to print and store the models for easy later reference. Models are arranged in order of increasing complexity, from the simplest model to the most detailed model. The clinician who wishes to operate from the most defensible and responsible ethical position would do well to have a comprehensive knowledge of all of these models, operate using the combined principles and understandings of these best practices models - applying them with integrity and skill - while carefully documenting the work and noting which model or models were utilized to arrive at the ethical decision. Model I: Elaine Congress ETHIC Model of Decision Making In her article, What Social Workers Should Know About Ethics: Understanding and Resolving Practice Dilemmas, (Advances in Social Work Practice, Vol. 1 No 1 Spring 2000, pgs 1 – 25), Congress discusses the major tenets of the newly revised NASW Code of Ethics. In addition to her review, Congress also presents the ETHIC model of decision making: “This easy to use five step process includes examining personal, agency, client, and professional values, thinking about ethical standards and relevant laws, hypothesizing about consequences, identifying the most vulnerable, and consulting with supervisors.” This model, described in more detail below, is meant to be a quick and as effective as possible approach to resolving ethical dilemmas. E – Evaluate relevant personal, societal, agency, client and professional values T – Think about what ethical standard of the NASW Code of Ethics applies, as well as relevant laws and case decisions H – Hypothesize about possible consequences of different decisions I - Identify who will benefit and who will be harmed in view of social work’s commitment to the most vulnerable C – Consult with supervisor and colleagues about the most ethical choice Congress, Elaine P., What Social Workers Should Know About Ethics: Understanding and Resolving Practice Dilemmas, Advances in Social Work Practice, Vol. 1 No 1 Spring 2000, pgs 1 – 25 Model II: American Counseling Association Approach to Ethical Decision Making In its statement of purpose, the ACA Code of Ethics states that counselors are expected to use a credible decision making approach to resolving dilemmas: “When counselors are faced with ethical dilemmas that are difficult to resolve, they are expected to engage in a carefully considered ethical decision-making process. Reasonable differences of opinion can and do exist among counselors with respect to the ways in which values, ethical principles, and ethical standards would be applied when they conflict. While there is no specific ethical decision making model that is most effective, counselors are expected to be familiar with a credible model of decision making that can bear public scrutiny and its application.” A Practitioner’s Guide to Ethical Decision Making ( 2006) developed by Holly Forester-Miller and Thomas Davis for the American Counseling Association presents an ethical decision making model for ACA members. This model is summarized below. ACA Ethical Decision Making Model 1. Identify the problem. 2. Apply the ACA Code of Ethics. 3. Determine the nature of the dimensions of the dilemma. 4. Generate potential courses of action. 5. Consider the potential consequences of all options, choose a course of action. 6. Evaluate the selected course of action. 7. Implement the course of action. Forester-Miller and Davis conclude that: “It is important to realize that different professionals may implement different courses of action in the same situation. There is rarely one right answer to a complex ethical dilemma. However, if you follow a systematic model, you can be assured that you will be able to give a professional explanation for the course of action you chose.” Citing Van Hoose and Paradise (1979) they go on to say: “a counselor ‘is probably acting in an ethically responsible way concerning a client if: (1) he or she has maintained personal and professional honesty, coupled with (2) the best interests of the client, (3) without malice or personal gain, and (4) can justify his or her actions as the best judgment of what should be done based upon the current state of the profession.’” Forrester-Miller, H. and Davis, T. (1996). A practitioner’s guide to ethical decision making. Alexandria, VA. American Counseling Association. Van Hoose, W. H. and Paradise, L.V. (1979). Ethics in counseling and psychology: Perspectives in issues and decision-making. Cranston, RI: Carroll Press. Model III: Essential Steps for Ethical Problem-Solving – Frederic Reamer and Sr. Ann Patrick Conrad The following approach, discussed by Reamer and Conrad, was included in a video developed by the NASW Office of Ethics and Adjudication and produced by NASW Press and the NASW Insurance Trust as a tool for use by practitioners, faculty members and students, agency administrators, and licensing boards. 1. DETERMINE whether there is an ethical issue or/and dilemma. Is there a conflict of values, or rights, or professional responsibilities? (For example, there may be an issue of self-determination of an adolescent versus the well-being of the family.) 2. IDENTIFY the key values and principles involved. What meanings and limitations are typically attached to these competing values? (For example, rarely is confidential information held in absolute secrecy; however, typically decisions about access by third parties to sensitive content should be contracted with clients.) 3. RANK the values or ethical principles which - in your professional judgment - are most relevant to the issue or dilemma. What reasons can you provide for prioritizing one competing value/principle over another? (For example, your client's right to choose a beneficial course of action could bring hardship or harm to others who would be affected.) 4. DEVELOP an action plan that is consistent with the ethical priorities that have been determined as central to the dilemma. Have you conferred with clients and colleagues, as appropriate, about the potential risks and consequences of alternative courses of action? Can you support or justify your action plan with the values/principles on which the plan is based? (For example, have you conferred with all the necessary persons regarding the ethical dimensions of planning for a battered wife's quest to secure secret shelter and the implications for her teen-aged children?) 5. IMPLEMENT your plan, utilizing the most appropriate practice skills and competencies. How will you make use of core social work skills such as sensitive communication, skillful negotiation, and cultural competence? (For example, skillful colleague or supervisory communication and negotiation may enable an impaired colleague to see her/his impact on clients and to take appropriate action.) 6. REFLECT on the outcome of this ethical decision making process. How would you evaluate the consequences of this process for those involved: Client(s), professional(s), and agency (ies)? (Increasingly, professionals have begun to seek support, further professional training, and consultation through the development of Ethics Review Committees or Ethics Consultation processes.) From discussion by Frederick Reamer & Sr. Ann Patrick Conrad in Professional Choices: Ethics at Work (1995), video available from NASW Press , Retrieved 1/21/08 from: http://www.socialworkers.org/pubs/code/oepr/steps.asp Model IV: Steinman, Richardson and McEnroe Ethical Decision-Making Process The Ethical Decision-Making Manual for Helping Professionals, by Steinman et al. states that before you can begin a decision making process you need to identify the problem. Once the problem is identified, their model includes the following steps: Step 1: Identify the Ethical Standard Involved - What are the codes or laws that apply? If there are none, then why is it a problem? Step 2: Determine the Ethical Trap Possibilities - Possible Ethical Traps to avoid include: a. a belief that there is an easy “commonsense, objective” solution b. conflicting values, such as between personal or religious values and professional values c. the circumstances are so unique they must be taken into consideration, and d. confusion about who will benefit from a decision Step 3: Frame a Preliminary Response – What do the code and the law say you should do; what circumstances, if any, should influence the response; and what is your preliminary response? Step 4: Consider the Consequences – What will happen if you take that action? What are the short and long term consequences? Could there be any unintended consequences? Are the consequences ethically defensible? Step 5: Prepare Ethical Resolution a. What is the situation, including possible relevant circumstances? b. What ethical codes or laws are involved? c. What do these codes or laws suggest I or others do? d. If I have consulted with colleagues, supervisors, or professional ethics boards, at this point, what do they suggest I or others do? e. What are the consequences of taking this action on the client, on me, on my employer, and on others in the community? f. In light of these considerations, here is what I propose……. Step 6: Get feedback – Discuss with your supervisor, respected peer, and/or attorney if legal issues involved

Step 7: Take Action – Use feedback to amend the resolution as needed and then take action. Steinman, Sarah, Richardson, Nan Franks and McEnroe, Tim, The Ethical Decision-Making Manual for Helping Professionals, Brooks/Cole Publishing Company, New York, 1998 Model V: Dolgoff, Loewenberg and Harrington – A General Decision Making Model In presenting his model for making ethical decisions, Dolgoff states that “Ethical decision making is far too complex to permit the development of a simple “how-to” problem-solving model…… A model is a permissible didactic devise as long as it is understood that in real life every decision is preceded and followed by other decisions, many of which have a direct bearing on the matter under consideration.” (pgs. 57 – 58) A General Decision-Making Model Step 1. Identify the problem and the factors that contribute to its maintenance Step 2. Identify all of the persons and institutions involved in this problem, such as clients, victims, support systems, other professionals and others Step 3. Determine who should be involved in the decision making Step 4. Identify the values relevant to this problem held by the several participants identified in Step 2, including the client’s and worker’s Step 5. Identify the goals and objectives whose attainment you believe may resolve (or reduce) the problem Step 6. Identify alternate intervention strategies and targets Step 7. Assess the effectiveness and efficiency of each alternative in terms of the identified goals Step 8. Select the most appropriate strategy Step 9. Implement the strategy selected Step 10. Monitor the implementation, paying particular attention to unanticipated consequences Step 11. Evaluate the results and identify additional problems To assist social workers using Dolgoff’s Decision Making Model, he offers the Ethical Assessment Screen to “help social workers further clarify and integrate the ethical aspects of decision making in social work practice.” (pg 58) Ethical Assessment Screen 1. Identify your own relevant personal values in relation to this ethical dilemma 2. Identify any societal values relevant to the ethical decision to be made 3. Identify the relevant professional values and ethics What can you do to minimize conflicts between personnel, societal, and professional values? 4. Identify alternative ethical options that you may take 5. Which of the alternative ethical actions will protect to the greatest extent your client’s and others’ rights and welfare? 6. Which alternative action will protect to the greatest extent possible society’s rights and interests? What can you do to minimize conflicts between your client’s, others’ and society’s rights and interests? 7. Which alternative action will result in your doing the “least harm” possible? 8. To what extent will alternative actions be efficient, effective and ethical? 9. Have you considered and weighed both the short and long term ethical consequences? Ethical Rules Screen With the Ethical Rules Screen, Dolgoff provides a step to help social workers understand that the Code takes precedent over their own personal values. This concept is relevant to counselors and marriage and family therapists, as well. A social worker who has done an ethical self- assessment, such as the one provided above, will have a better appreciation of the values they hold that are personal versus those that they hold as a professional. The Ethical Rules Screen suggests that if one or more provisions of the Code apply, the Code should be followed. If the Code does not cover the specific issue or if conflicting provisions of the Code apply, Dolgoff offers the social worker a way to rank the provisions of the Code as they apply to that particular situation in the Ethical Principles Screen provided below. Since the NASW Code of Ethics does not place any one particular value, principle or standard above another and recognizes that there will be reasonable differences of opinion, it is important that social workers attempting to apply any decision making model have a justifiable approach for how they have ranked the principles. Ethical Rules Screen Examine the Code of Ethics to determine if any of the Code rules are applicable. These rules take precedence over the worker’s personal value system. If one or more of the Code rules apply, follow the Code rules. If the Code does not address the specific problem, or several Code rules provide conflicting guidance, use the Ethical Principles Screen. Ethical Principles Screen (EPS) 1. Protection of life 2. Equality and inequality 3. Autonomy and freedom 4. Least harm 5. Quality of life 6. Privacy and confidentiality 7. Truthfulness and full disclosure Dolgoff, Ralph, Loewenberg, Frank, and Harrington, Donna, Ethical Decisions for Social Work Practice, Brooks/Cole – Thompson Learning, Belmont, CA, 2005

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