Ethics and the ASWB Exam: 1.03 Informed Consent

When preparing for the ASWB exam, ethics isn’t just one section among many; it’s the backbone of everything Social Workers do. And within the NASW Code of Ethics, Standard 1.03 Informed Consent holds a unique place of importance. It’s the practice of making sure clients fully understand what they’re agreeing to before any services begin. Sounds simple? It’s anything but. On the exam and in real life, informed consent is nuanced, requiring Social Workers to blend legal knowledge, cultural awareness, and ethical clarity—all at once.

For future Social Workers, truly understanding informed consent isn’t about memorizing a definition. It’s about recognizing what it looks like in action, knowing when it’s required, and spotting those subtle gray areas where consent may be unclear or compromised. The ASWB exam often tests these very situations, especially when it comes to minors, mandated clients, or individuals with cognitive challenges. If you’re not clear on how to ethically and legally obtain informed consent, you risk choosing the wrong answer or worse, practicing unethically once you’re licensed.

In this post, we will walk through Informed Consent in a way that feels practical, real, and relevant. You’ll get a solid understanding of how this standard is applied and see a sample test question with a detailed rationale. Whether you’re deep into your prep or just getting started, this guide will help you approach informed consent with more confidence and clarity.

Learn more about the ASWB exam and create a personalized ASWB study plan with Agents of Change. We’ve helped tens of thousands of Social Workers pass their ASWB exams and want to help you be next!

1) What Is Section 1.03: Informed Consent?

Section 1.03 of the NASW Code of Ethics outlines the ethical responsibility of social workers to ensure that clients understand and voluntarily agree to the services being provided. It’s more than just securing a signature on a form. It’s about creating a transparent, honest, and culturally appropriate dialogue where clients are informed, empowered, and free to make their own decisions.

The Official Text of 1.03: Informed Consent

Here’s the exact wording from the NASW Code of Ethics, which you’ll want to be familiar with for both practice and the ASWB exam:

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 detailed verbal explanations 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 and 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 computers, telephones, radio, and television) should inform recipients of the limitations and risks associated with such services.

(f) Social Workers should obtain clients’ informed consent before audio or video recording clients or permitting observation of services to clients by a third party.

Understanding Key Elements of Section 1.03

Voluntary Participation Is Non-Negotiable

Clients must participate in services freely and voluntarily, except in cases where services are legally mandated. Even then, clients still have the right to understand the nature and purpose of the intervention. Consent is not truly informed unless it’s given without coercion, manipulation, or incomplete information.

Clear Language, No Jargon

One of the most emphasized points in Section 1.03 is the use of clear and understandable language. Social Workers are expected to communicate in ways that reflect the client’s level of education, language fluency, and cognitive ability. This includes avoiding overly clinical terms or assumptions that the client “already knows.”

Special Considerations for Capacity and Comprehension

When clients are unable to fully comprehend the nature of services, due to cognitive limitations or literacy issues, Social Workers must take extra steps. This might include using interpreters, speaking with a legal guardian, or simplifying explanations. The ethical obligation is always to include the client in decision-making as much as possible, even when full legal consent must come from another party.

Working with Involuntary Clients

Just because a client is ordered to attend therapy or an assessment doesn’t mean they’ve forfeited the right to be informed. Section 1.03(d) requires that Social Workers still explain the nature of the services and clarify the client’s rights within those boundaries. This builds transparency and helps foster trust, even in difficult circumstances.

Tech-Based Services and Consent

With more Social Workers offering virtual services, 1.03(e) has become increasingly relevant. Clients must be informed about the risks and limitations of online communication, including issues like confidentiality, data breaches, and technical interruptions. The responsibility lies with the Social Worker to ensure the client knows what to expect.

Consent for Recordings and Observations

Section 1.03(f) is specific and often overlooked: if you’re recording a session or allowing someone else to observe for training or supervision, you must obtain explicit consent beforehand. This protects client privacy and aligns with ethical expectations around transparency.

By understanding these sub-sections of 1.03 Informed Consent, you’re preparing not just for the ASWB exam, but for ethical, client-centered practice. The more fluent you are with this section, the easier it becomes to navigate complex scenarios, on the test and in the real world.

Agents of Change packages include 30+ ASWB topics, 2 free study groups per month, and hundreds of practice questions so you’ll be ready for test day!

2) Why Informed Consent Matters on the ASWB Exam

Informed consent isn’t just a legal formality. It’s one of the most frequently tested ethical concepts on the ASWB exam and for good reason. Section 1.03 of the NASW Code of Ethics represents the kind of professional judgment, client respect, and attention to detail that the exam is designed to assess.

Whether you’re sitting for the Bachelors, Masters, or Clinical level, understanding how and when informed consent applies is a must.

It Shows Up in Realistic, High-Stakes Scenarios

The ASWB exam doesn’t just ask you to define terms. It challenges you to apply ethics to real-life, often emotionally complex situations. You’ll see questions involving minors, clients with cognitive limitations, court-ordered clients, or situations involving telehealth. Each of these has slightly different rules around informed consent, and the exam expects you to know the difference.

Common question types might include:

Choosing the most appropriate first step when a client refuses to sign a consent form
Identifying what’s ethically required before initiating telehealth services
Handling informed consent when a legal guardian is involved
Determining how to proceed when a client speaks limited English

It’s a Cross-Topic Principle

Informed consent touches multiple content areas on the exam. It’s not confined to a single domain like “Professional Ethics.” You’ll find it woven through other areas, such as:

Assessment and Intervention Planning: Are you ethically allowed to start a treatment plan without full consent?
Diversity and Cultural Competence: Are you considering whether your client actually understands what they’re agreeing to?
Professional Relationships: How does informed consent influence how you introduce the client-therapist relationship?

That makes it a concept worth mastering early—it’ll show up again and again, sometimes in subtle ways.

You’ll Likely Face Consent-Based Dilemmas

The exam loves to test how you handle conflict between what’s ethical and what’s allowed. You may encounter dilemmas like:

A parent wants to sit in on their teen’s therapy, but the teen refuses
A client says they understand but doesn’t read the language the consent form is written in
A supervisor asks to observe a session for training purposes, and the client hesitates

In each of these, the test will expect you to slow down, evaluate what’s missing in the informed consent process, and make the most ethically sound choice.

It’s a “Safety First” Signal in Questions

Here’s a little exam tip: Informed consent often appears in questions that are really testing client safety, autonomy, and self-determination. When you’re not sure what to do, think:

Have the client’s rights been fully explained?
Have they had the chance to make a clear, unpressured decision?
Are there any misunderstandings that might affect their participation?

If the answer is no to any of these, then addressing informed consent is probably your next best step.

How It Can Be Framed in Test Questions

Expect questions that disguise informed consent issues within other concerns. For example:

Scenario: A Social Worker begins services with a non-English-speaking client and provides them with an English consent form, which they sign. A week later, the client expresses confusion about the therapy’s goals.

The real issue: Did the client ever truly give informed consent? If language or comprehension was a barrier, the answer is no, even if the form was signed.

Key Takeaways for Exam Success

When approaching ASWB questions related to informed consent, remember these pointers:

Consent must be informed, voluntary, and understood
Clients can withdraw consent at any time
Consent must be adapted for special situations (e.g., language barriers, developmental disabilities, involuntary status)
Written forms aren’t enough—verbal understanding is essential
Always respect clients’ rights to ask questions and refuse services

In short, Informed Consent isn’t just another concept on your study list. It’s a foundational piece of professional practice and one that will likely appear in some of the most high-weight questions on your exam.

3) ASWB Practice Question: Informed Consent

A Social Worker is meeting with a new adult client who has been referred by their primary care doctor for therapy related to anxiety. During the intake session, the Social Worker explains the purpose of therapy, potential risks and benefits, confidentiality limits, the client’s right to withdraw at any time, and answers all of the client’s questions. The client appears attentive and agrees to proceed, but does not sign any formal documentation. What is the MOST ethical next step for the Social Worker?

A. Proceed with treatment since verbal consent was obtained
B. Revisit the informed consent process using simpler language
C. Document the discussion and ask the client to sign a written consent form
D. Delay treatment until the referring physician provides written approval

Correct Answer:

C. Document the discussion and ask the client to sign a written consent form

Rationale:

C is correct because while verbal consent may be appropriate in some limited situations, best practice—especially in outpatient therapy with an adult—is to obtain written informed consent after thoroughly explaining the service. It protects both the client and the Social Worker and fulfills ethical and legal expectations. Documentation ensures there’s a record of the agreement and transparency.

A is incorrect because although the client verbally agreed and seemed informed, the absence of a signed consent form leaves the Social Worker vulnerable ethically and possibly legally. Verbal consent is not always sufficient, particularly in ongoing clinical treatment.

B is incorrect because there’s no indication the client didn’t understand. The client appeared attentive and asked questions, which suggests comprehension. There’s no need to simplify language further at this point.

D is incorrect because the referring physician’s approval is not a substitute for the client’s informed consent. Social Workers are ethically required to obtain the client’s consent, not the referrer’s.

4) FAQs – Code of Ethics: 1.03 Informed Consent

Q: What exactly counts as “informed” in informed consent?

A: “Informed” means the client has been given all relevant information about the services they’re agreeing to in a way they can fully understand and process. This includes the purpose of the service, risks and benefits, limits to confidentiality, costs (if applicable), alternatives, and the right to refuse or withdraw.

Just handing a client a form to sign isn’t enough. Social Workers must ensure the client genuinely comprehends the information, and they must be given the chance to ask questions. The language used should match the client’s literacy level, cultural context, and primary language. When in doubt, it’s your responsibility as a Social Worker to check for understanding—not the client’s responsibility to ask.

Q: How does informed consent apply to minors or clients who can’t legally consent?

A: When working with clients who are minors or who lack legal capacity (due to cognitive or developmental challenges), Social Workers must obtain consent from a legally authorized third party, such as a parent, guardian, or healthcare proxy.

But that’s not where your ethical duty ends. Even if a third party is making decisions, Social Workers are expected to include the client in the process to the fullest extent possible, explain services in developmentally appropriate ways, and honor their preferences when feasible. Section 1.03 of the NASW Code makes it clear: protection of the client’s interests must remain the top priority, even when someone else is providing consent.

Q: Is informed consent still necessary for clients who are court-mandated or receiving services involuntarily?

A: Yes, absolutely. Even when services are involuntary—such as those ordered by a court or a child welfare agency—clients still have the right to understand what’s happening and to know the extent and limits of their choices.

According to NASW Standard 1.03(d), Social Workers must explain the nature and scope of the services, clarify what aspects are required versus optional, and ensure the client knows their rights within the process. While full refusal may not be possible in these cases, ethical practice demands transparency and respect for autonomy as much as the law allows.

5) Conclusion

Informed consent is not just a procedural requirement. It reflects the core values of Social Work, including respect, transparency, and self-determination. Section 1.03 of the NASW Code of Ethics outlines these expectations clearly, but it is the responsibility of each Social Worker to carry them out thoughtfully and consistently. Whether you are working with a hesitant adolescent, a non-English-speaking client, or someone receiving services involuntarily, informed consent is the foundation for ethical and effective practice.

On the ASWB exam, informed consent often appears in complex, scenario-based questions. You may not be asked to define it directly, but you will need to recognize situations where consent is missing, misunderstood, or ethically complicated. Understanding how and when informed consent applies can make the difference between selecting the best answer and making a critical mistake. It also prepares you to face the ethical realities of professional Social Work with clarity and confidence.

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

About the Instructor, 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:

► Facebook Group: https://www.facebook.com/groups/aswbtestprep

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

#socialwork #testprep #aswb #socialworker #socialwork #socialworktest #socialworkexam #exam #socialworktestprep #socialworklicense #socialworklicensing #licsw #lmsw #lcsw #aswbexam #aswb #lcswexam #lmswexam #aswbtestprep #aswbtest #lcswtestprep #lcswtest #lmswtestprep #lmswtest #aswbcourse #learningstyles #learningstyle

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: 1.03 Informed Consent

Ethics and the ASWB Exam: 1.03 Informed Consent

1) What Is Section 1.03: Informed Consent?

The Official Text of 1.03: Informed Consent

Understanding Key Elements of Section 1.03