Ethics and the ASWB Exam: 1.16 Referral for Services

1) **What Is Section 1.16 Referral for Services**?

Section 1.16 of the NASW Code of Ethics outlines the ethical responsibilities Social Workers have when it comes to referring clients to other professionals. This section is vital because it addresses the balance between professional self-awareness and client-centered care. It reinforces the idea that no Social Worker can (or should) try to meet every need a client might have.

Here is the full text of Section 1.16 from the NASW Code of Ethics:

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 additional services are required.
(b) Social Workers who refer clients to other professionals should take appropriate steps to facilitate an orderly transfer of responsibility.
(c) Social Workers who refer clients to other professionals are prohibited from giving or receiving payment for a referral when no professional service is provided by the referring Social Worker.

Let’s break it down part by part:

Part (a): When to Refer

“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 services are required.”

This part focuses on two critical situations:

Scope of Competence – If a client’s needs fall outside your training or expertise (e.g., severe trauma, substance use disorder, legal advocacy), you are ethically expected to refer them to someone more qualified.
Lack of Progress – Even if you’re qualified, if sessions aren’t moving forward or the client isn’t improving, this may be a sign that other services or professionals could better support them. This clause urges honest reflection and prioritizes the client’s outcomes over the Social Worker’s desire to continue treatment.

Part (b): How to Refer

“Social Workers who refer clients to other professionals should take appropriate steps to facilitate an orderly transfer of responsibility.”

This is all about the how. An ethical referral isn’t just handing off a phone number. It means ensuring continuity of care by:

Communicating with the new provider (with client consent)
Making sure the client understands the reason for the referral
Clarifying any changes in services
Helping reduce the client’s anxiety or confusion about the transition

The emphasis here is on doing what’s in the client’s best interest, with a focus on transparency, coordination, and care.

Part (c): No Fee-for-Referral

“Social Workers who refer clients to other professionals are prohibited from giving or receiving payment for a referral when no professional service is provided by the referring Social Worker.”

This last part is straightforward but critical. Accepting or offering a “kickback” or referral fee is unethical unless you’re actively involved in the client’s care. Why? Because referrals should always be about what’s best for the client—not financial gain. This clause protects clients from being treated as transactions.

It also ensures that professional integrity isn’t compromised. Even if such payments are common in other industries, in Social Work they undermine the foundation of trust, objectivity, and client-centered service.

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2) Why Understanding Referral for Services Matters on the ASWB Exam

When preparing for the ASWB exam, it’s tempting to focus on big concepts like Human Behavior or Clinical Assessment. But ethics, especially sections like 1.16 Referral for Services, deserve just as much attention. This portion of the Code of Ethics often shows up on the test in subtle, scenario-based questions where you’ll need to think critically, ethically, and quickly.

Let’s break down why Section 1.16 matters and how it’s tested, so you’re not caught off guard on exam day.

It’s About Protecting Clients

At its core, Section 1.16 is designed to protect clients from receiving care that’s ineffective, unsafe, or incomplete. The ASWB wants to know: will you recognize when your own skills aren’t enough, and will you respond responsibly?

Referral-related decisions can impact:

Client safety (especially in crisis or high-risk situations)
Treatment outcomes
Access to specialized services
The therapeutic relationship
Legal and ethical liability

When you understand the purpose behind referrals, you’ll spot the right answer faster, even when options look similar.

It’s a Key Element of Professional Boundaries

The ASWB exam tests your ability to stay within the boundaries of ethical practice. That means understanding the limits of your training and experience. When Section 1.16 is tested, it often comes down to one thing: knowing when to refer because the client needs more than you can offer.

Expect questions that assess your ability to:

Recognize when a client’s needs fall outside your scope
Make ethical decisions about continuing or terminating services
Avoid overstepping into areas you’re not trained for
Balance helping with harm prevention

This means knowing how to act when your professional instinct says, “I care deeply about helping this person,” but your training says, “They’d be safer and better served elsewhere.”

Scenarios Are Tricky: The Exam Loves Nuance

Referral questions are rarely black-and-white. The ASWB often presents you with a real-world situation that’s ethically gray. You might be working with someone for months when they suddenly need a different type of care. Do you keep going, consult, refer, or wait?

Watch for subtle clues in exam questions, like:

A lack of progress over time
New information that shifts treatment needs
Ethical concerns around competence
Client requests that fall outside your training
Inappropriate suggestions like accepting referral fees

You’ll need to evaluate whether the referral is timely, necessary, and done with the client’s best interests in mind. Memorizing isn’t enough; you need to think like a Social Worker under pressure.

You’ll Need to Know What to Avoid

Sometimes, the best answer is about what not to do. That’s why it helps to recognize common missteps the ASWB might include as incorrect choices.

On the exam, wrong answers may include actions like:

Referring a client but failing to follow up or communicate clearly
Accepting a gift or compensation for referring someone
Trying to “treat through it” when you’re clearly out of your depth
Ignoring a client’s resistance to a referral without addressing it
Suggesting a referral without knowing if that provider is qualified or accessible

Understanding Section 1.16 prepares you to sidestep these pitfalls and choose the most ethical, client-focused response every time.

It’s Heavily Weighted in the Ethics Section

Ethics questions make up a significant portion of the ASWB exam, especially in the Bachelors and Masters levels. The board expects Social Workers to have a firm grasp on the NASW Code of Ethics and apply it practically, not just theoretically.

Topics closely related to 1.16 Referral for Services that may appear include:

Informed consent
Professional competence
Client self-determination
Dual relationships
Confidentiality during referral transitions

By mastering Section 1.16, you’re also strengthening your understanding of other ethical responsibilities that often intertwine with referral decisions.

Bottom Line: It’s About Readiness

The ASWB exam is about more than just getting the right answer. It’s about showing that you’re ready to enter (or continue in) the Social Work profession with integrity, humility, and sound judgment.

Mastering Ethics and the ASWB Exam: 1.16 Referral for Services shows you:

Know your limits
Prioritize client welfare
Collaborate across disciplines
Uphold the ethical standards expected in real-world practice

And perhaps most importantly, it shows you’re ready to do what Social Work is all about: serving people with care, respect, and professionalism, even when the next step means letting someone else take the lead.

3) ASWB Practice Question: Referral for Services

A Social Worker at a community mental health clinic has been meeting with a client for several months to address symptoms of mild depression. Recently, the client began describing increasingly severe panic attacks and disclosed a history of trauma that the Social Worker does not have specialized training to treat. The client says they feel safe with the Social Worker and wants to continue working together. What is the MOST appropriate next step?

A) Continue providing support while the client remains engaged, since trust has been established
B) Refer the client to a trauma-informed therapist and terminate all contact
C) Discuss the need for a referral and offer to coordinate care while respecting the client’s preferences
D) Consult a supervisor to see if it’s legally required to refer the client elsewhere

Correct Answer: C) Discuss the need for a referral and offer to coordinate care while respecting the client’s preferences

Rationale:

A) Continue providing support while the client remains engaged, since trust has been established
❌ Incorrect. While trust is important, ethical practice (per Section 1.16) requires Social Workers to recognize when specialized knowledge is needed. Continuing treatment outside one’s competence puts the client at risk, even with a strong rapport.

B) Refer the client to a trauma-informed therapist and terminate all contact
❌ Incorrect. Making a referral may be appropriate, but terminating contact without a transition plan can be abrupt and unethical. Section 1.16(b) stresses the importance of an orderly transfer of responsibility.

C) Discuss the need for a referral and offer to coordinate care while respecting the client’s preferences
✅ Correct. This option aligns fully with 1.16(a) and (b). It shows the Social Worker recognizes their limits, communicates transparently with the client, and facilitates a supportive transition without abandoning them. It also honors the client’s input, a core ethical value.

D) Consult a supervisor to see if it’s legally required to refer the client elsewhere
❌ Incorrect. While consulting a supervisor is often good practice, the scenario already presents an ethical (not just legal) need for referral. The Social Worker’s responsibility under the Code of Ethics doesn’t depend solely on legal requirements.

4) FAQs – **Code of Ethics: 1.16 Referral for Services**

Q: What if a client refuses a referral, even when it’s clearly needed?

A: That’s a common and ethically complex scenario. According to Section 1.16 of the NASW Code of Ethics, Social Workers are expected to refer when specialized expertise is necessary. But clients still have the right to self-determination. If a client refuses a referral, you should first explore their concerns; are they worried about cost, stigma, losing their connection with you, or something else?

Here’s what you can do:

Explain why you’re recommending the referral clearly and compassionately
Normalize the referral process as part of high-quality care
Offer to assist with logistics (e.g., setting up the first appointment)
Document the discussion thoroughly, including the client’s reasons for refusing
Monitor for any ethical or safety concerns that may require a higher level of intervention

Ultimately, while you can’t force a client to accept a referral, your role is to educate, guide, and advocate. If refusal places the client at risk, further action, such as additional consultations or safety planning, may be warranted.

Q: Can a Social Worker keep working with a client after making a referral?

A: Yes, in many situations, continuing the working relationship is both appropriate and encouraged. A referral under Section 1.16 doesn’t automatically mean the Social Worker must end all services. It often depends on why the referral was made.

For example:

If you’re referring a client to a trauma specialist for targeted treatment, you may still provide general support or help with other issues like housing, parenting, or job stability.
If the client’s primary concern now falls outside your expertise and there’s little left within your scope to address, then full transfer of care might be more appropriate.

The key is to maintain clear boundaries and collaborate effectively with the referred provider (with the client’s consent). Ethical Social Work practice means doing what serves the client best; even if that means a team-based approach.

Q: Is it ever ethical to accept a fee or incentive for referring a client to another professional?

A: No, accepting or offering payment for a referral is strictly prohibited under Section 1.16(c) of the NASW Code of Ethics, unless you are providing an actual professional service in the process. This includes commissions, bonuses, or even informal “thank-you” gifts.

Why? Because referrals must be based solely on the client’s best interest, not personal or financial gain. Accepting a fee undermines the integrity of the profession and erodes trust in the Social Worker-client relationship. Even if a referral is appropriate and the provider is competent, accepting payment introduces a conflict of interest that’s considered unethical.

If another provider offers you compensation for referrals, it’s best to decline and inform them of your ethical obligations. Your professional credibility depends on impartial, client-centered decision-making. Always document your referral process thoroughly and transparently.

5) Conclusion

Understanding Ethics and the ASWB Exam: 1.16 Referral for Services is more than checking a box for test prep. It’s a reflection of how seriously you take your responsibility to clients and the profession. Knowing when to refer, how to facilitate that transition, and what to avoid helps ensure that your practice remains ethical, competent, and client-centered, both during the exam and throughout your Social Work career.

As you prepare for the ASWB exam, keep in mind that questions on referrals are often layered with emotional nuance and professional complexity. The right answer is not always about doing more. It’s about doing what is appropriate.

Recognizing your limitations, communicating clearly, and collaborating when needed are marks of a strong Social Worker and a clear indicator of ethical decision-making. That mindset will serve you well in both testing scenarios and real-life cases.

► Learn more about the Agents of Change course here: https://agentsofchangeprep.com

About the Instructor, Dr. Meagan Mitchell: Meagan is a Licensed Clinical Social Worker and has been providing individualized and group test prep for the ASWB for over 10 years. From all of this experience helping others pass their exams, she created the Agents of Change course to help you prepare for and pass the ASWB exam!

Find more from Agents of Change here:

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► Podcast: https://podcasters.spotify.com/pod/show/agents-of-change-sw

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Disclaimer: This content has been made available for informational and educational purposes only. This content is not intended to be a substitute for professional medical or clinical advice, diagnosis, or treatment.

Ethics and the ASWB Exam: 1.16 Referral for Services

Ethics and the ASWB Exam: 1.16 Referral for Services