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Ethics and the ASWB Exam: 1.07 Privacy and Confidentiality

Ethics and the ASWB Exam: 1.07 Privacy and Confidentiality

Preparing for the ASWB exam can feel like navigating a maze of theories, codes, and best practices. Among the most vital and often most nuanced topics you’ll encounter is Ethics and the ASWB Exam: 1.07 Privacy and Confidentiality. This section of the NASW Code of Ethics isn’t just a rulebook line item; it’s the foundation of trust between you and the clients you’ll serve. Whether you’re aiming for your LMSW or LCSW, understanding how to ethically handle confidential information is non-negotiable.

It’s one thing to memorize the definition of confidentiality. It’s another thing to know what to do when you’re faced with a subpoena, or when a client reveals something potentially harmful. The ASWB exam isn’t just testing your ability to recall facts. It’s testing how you apply those ethics in high-stakes, real-world situations. That’s precisely why Section 1.07 deserves your full attention.

In this post, we’re breaking down what 1.07 means for your exam and your future as a Social Worker. You’ll get a closer look at key principles, a practice question with expert rationale, and practical guidance for how to study this topic effectively. Plus, we’ll show you why Agents of Change is one of the best tools available for mastering these concepts and walking into the exam with confidence.

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 1.07 Privacy and Confidentiality?

When we discuss Section 1.07 of the NASW Code of Ethics, we’re referring to a fundamental aspect of Social Work identity. This section spells out how Social Workers are expected to handle private information shared by clients. It answers an essential question: When someone opens up to you in a Social Work setting, how far does that trust go?

a picture of a social worker securing client files and protecting privacy

Here is the full official text of Section 1.07 as published by the National Association of Social Workers:

1.07 Privacy and Confidentiality

(a) Social Workers should respect clients’ right to privacy. Social Workers should not solicit private information from clients unless it is essential to providing services or conducting Social Work evaluation or research. Once private information is shared, standards of confidentiality apply.

(b) Social Workers may disclose confidential information when appropriate with valid consent from a client or a person legally authorized to consent on behalf of a client.

(c) Social Workers should protect the confidentiality of all information obtained in the course of professional service, except for compelling professional reasons. The general expectation that Social Workers will keep information confidential does not apply when disclosure is necessary to prevent serious, foreseeable, and imminent harm to a client or others. In all instances, Social Workers should disclose the least amount of confidential information necessary to achieve the desired purpose; only information that is directly relevant to the purpose for which the disclosure is made should be revealed.

(d) Social Workers should inform clients, to the extent possible, about the disclosure of confidential information and the potential consequences, when feasible before the disclosure is made. This applies whether Social Workers disclose confidential information on the basis of a legal requirement or client consent.

(e) Social Workers should discuss with clients and other interested parties the nature of confidentiality and limitations of clients’ right to confidentiality. Social Workers should review with clients circumstances where confidential information may be requested and where disclosure of confidential information may be legally required. This discussion should occur as soon as possible in the Social Worker-client relationship and as needed throughout the course of the relationship.

(f) When Social Workers provide counseling services to families, couples, or groups, they should seek agreement among the parties involved concerning each individual’s right to confidentiality and obligation to preserve the confidentiality of information shared by others. Social Workers should inform participants in family, couples, or group counseling that Social Workers cannot guarantee that all participants will honor such agreements.

(g) Social Workers should inform clients involved in family, couples, marital, or group counseling of the Social Worker’s, employer’s, and agency’s policy concerning the Social Worker’s disclosure of confidential information among the parties involved in the counseling.

(h) Social Workers should not disclose confidential information to third-party payers unless clients have authorized such disclosure.

(i) Social Workers should not discuss confidential information in any setting unless privacy can be ensured. Social Workers should not discuss confidential information in public or semipublic areas such as hallways, waiting rooms, elevators, or restaurants.

(j) Social Workers should protect the confidentiality of clients during legal proceedings to the extent permitted by law. When a court of law or other legally authorized body orders Social Workers to disclose confidential or privileged information without a client’s consent and such disclosure could cause harm to the client, Social Workers should request that the court withdraw the order or limit the order as narrowly as possible or maintain the records under seal, when appropriate.

(k) Social Workers should protect the confidentiality of clients when responding to requests from members of the media.

(l) Social Workers should protect the confidentiality of clients’ written and electronic records and other sensitive information. Social Workers should take reasonable steps to ensure that clients’ records are stored in a secure location and that clients’ records are not available to others who are not authorized to have access.

(m) Social Workers should take precautions to ensure and maintain the confidentiality of information transmitted to other parties through the use of computers, electronic mail, facsimile machines, telephones, and other electronic or computer technology. Disclosure of identifying information should be avoided whenever possible.

(n) Social Workers should transfer or dispose of clients’ records in a manner that protects clients’ confidentiality and is consistent with applicable laws governing records and Social Work licensure.

(o) Social Workers who provide services via electronic media (such as computer, telephone, radio, and television) should inform recipients of the limitations and risks associated with such services.

(p) Social Workers should avoid posting any identifying or confidential information about clients on professional websites or other forms of social media.

Breaking It Down: What You Actually Need to Know

Now that you’ve seen the full text, let’s look at what it means in practice. Here’s a simplified breakdown of each part of 1.07 and how it might show up on the ASWB exam or in real-life Social Work.

(a) Respect for Privacy

Don’t go fishing for information. If you don’t need it to help the client or assess their situation, you don’t need to ask. When a client does share something personal, it becomes protected immediately.

(b) Disclosure With Consent

If you need to share information, get permission first. That consent must come from the client or someone legally allowed to give it.

(c) Exceptions to Confidentiality

Sometimes disclosure is necessary, such as when someone is in immediate danger. But even then, keep it limited. Only share what’s absolutely needed for safety or legal action.

(d) Inform Clients When You Can

If you must disclose something, try to tell the client beforehand, especially if the law requires you to share it. Transparency helps maintain trust.

(e) Set Expectations Early

Talk about confidentiality from the start. Explain when you might have to break it and under what conditions. Revisit that conversation when needed.

(f) Family, Couples, and Group Settings

Everyone involved should understand how confidentiality works in a group. Make it clear that while you aim to protect privacy, you can’t guarantee that others will do the same.

(g) Be Upfront About Agency Policies

Let clients know about your workplace’s rules when it comes to sharing information within a group or family session.

(h) Third-Party Payers

Insurance companies and funders can only get information if the client signs off. No signature, no sharing.

(i) Physical Privacy

No client info should be talked about where others can hear. That includes break rooms, hallways, elevators, or any public space.

(j) Legal Protection

If a court orders you to disclose information, do everything you can to reduce harm to the client. Ask to limit the order, seal records, or remove non-essential information.

(k) Media Requests

Never share client information with the press. This includes interviews, stories, or casual comments.

(l) Secure Records

Keep all client documents—paper or digital—safe. Lock them up or password-protect them. Unauthorized access is an ethics violation.

(m) Electronic Communications

When using email, texts, or phone calls, think security. Only share identifying details if absolutely necessary, and always double-check the recipient.

(n) Disposing of Records

Don’t just toss sensitive records in the trash. Shred them or follow legally required steps for disposal.

(o) Digital Services

If you’re using technology for services (like telehealth), clients need to know about the risks. That includes possible privacy limitations or technology issues.

(p) Social Media Boundaries

Never post anything about a client, even vaguely or anonymously. Social media is public. The risk is too high.

Understanding Section 1.07: Privacy and Confidentiality means more than memorizing the words. It’s about knowing how to think ethically when the moment requires it. Whether you’re faced with a crisis call, a court subpoena, or a client who’s unsure about telehealth, this section equips you with the ethical grounding to act wisely and legally.

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 Privacy and Confidentiality Matter on the ASWB Exam

Privacy and confidentiality aren’t just ethical guidelines. On the ASWB exam, these critical concepts appear across a range of question types, including ethics, case management, and legal responsibilities. If you want to pass, you have to move beyond surface knowledge and know how to apply these principles in practice.

A client and a therapist talking deeply about a sensitive topic in a safe warm office

Let’s look at why this topic deserves your attention and how it’s likely to show up on exam day.

Testing More Than Memorization

The ASWB exam isn’t designed to see if you’ve read the Code of Ethics. It’s built to assess whether you can apply those ethics when things get complicated, fast. You may encounter questions that require you to make judgment calls, prioritize client safety, or balance ethical and legal obligations.

Expect to see questions that:

  • Ask what a Social Worker should do first when faced with a confidentiality dilemma

  • Present scenarios involving minors, families, or court orders

  • Involve technology, electronic records, or digital communication

  • Test your knowledge of informed consent and exceptions to confidentiality

Situational Thinking is Key

You won’t just get straightforward “What does 1.07 say?” types of questions. You’ll need to identify ethical action in gray areas. Consider these examples:

  • A teen confides suicidal thoughts but begs you not to tell anyone.

  • A parent wants access to a child’s session notes.

  • You’re working with a family, and one member shares something privately.

Each of these situations demands more than a textbook answer. You’ll have to balance privacy with safety, law with ethics, and individual rights with collective well-being.

High-Yield Concepts You Must Know

To prepare effectively, focus on mastering these high-yield concepts from Section 1.07:

  • Limits of confidentiality: Know the situations where confidentiality must be broken (like imminent risk of harm).

  • Informed consent: Understand when and how it should be obtained.

  • Client rights: Recognize clients’ control over their own information and how that applies in practice.

  • Group and family dynamics: Be clear on how confidentiality works in multi-person sessions.

  • Court involvement: Know the ethical steps to take when you’re ordered to testify or release records.

These ideas aren’t optional—they’re heavily tested, and your response could mean the difference between a right or wrong answer.

How It Can Trip You Up

Even well-prepared test-takers can stumble on these questions. Why? Because the answer choices are often subtle. You might see multiple answers that seem “right.” The key is figuring out what’s most ethical or what action should come first.

Common traps include:

  • Choosing to act without client consent when it isn’t legally required

  • Overlooking the need to inform clients about disclosures

  • Ignoring the need to limit what information is shared, even when disclosure is justified

  • Forgetting digital and electronic confidentiality standards

The ASWB Exam Is a Reflection of Real Practice

Section 1.07 isn’t tested just because it’s in the Code of Ethics. It’s tested because you’ll use it constantly in practice. If you don’t know when to protect client information, or when it’s legally and ethically appropriate to share it, you can cause harm, both to the client and to your career.

When you encounter questions about privacy and confidentiality, treat them as opportunities. This is your chance to demonstrate that you understand what it means to be a responsible, trustworthy Social Worker.

Use Smart Tools to Study It Right

Understanding this topic deeply means studying with the right materials. Agents of Change offers everything you need to master privacy and confidentiality for the exam, including:

  • Realistic practice questions on confidentiality scenarios

  • Flashcards with key vocabulary and ethics principles

  • Live group study sessions that break down tough topics

  • Study plans that ensure you cover all of the Code of Ethics thoroughly and on time

With access until you pass, there’s no risk in starting early. And since all materials are created by experienced Social Workers who’ve taken the exam themselves, you’re studying what really matters.

3) ASWB Practice Question: Privacy and Confidentiality

A Social Worker is treating a 14-year-old client who recently disclosed during a session that she is sexually active and occasionally drinks alcohol at parties. The client is not in immediate danger, is not being abused, and has asked the Social Worker not to share this information with her parents. What is the Social Worker’s BEST course of action?

A. Inform the client’s parents of her behavior, as they are legally responsible for her care
B. Maintain the client’s confidentiality and continue to explore the behavior in future sessions
C. Break confidentiality and notify child protective services
D. End treatment unless the client agrees to share this information with her parents

Correct Answer:
B. Maintain the client’s confidentiality and continue to explore the behavior in future sessions

Rationale:

Section 1.07 of the NASW Code of Ethics emphasizes that confidentiality should be maintained unless there is a compelling professional reason to break it, such as serious, foreseeable, and imminent harm. In this case, while the client’s behavior raises concern, there is no evidence of immediate danger, abuse, or a mandatory reporting situation.

Respecting the adolescent’s confidentiality encourages trust and ongoing engagement in treatment. It allows the Social Worker to address risky behavior through education and support while maintaining the therapeutic alliance. Disclosing this information to the parents without a legal or clinical requirement would violate ethical guidelines and potentially harm the client’s willingness to continue therapy.

Answer A is incorrect because there is no law requiring disclosure of this information to the parents.
Answer C is inappropriate because the behavior does not meet the threshold for a CPS report.
Answer D would be unethical and unnecessary, as it pressures the client and disrupts care without justification.

4) FAQs – Code of Ethics: 1.07 Privacy and Confidentiality

Q: How can I tell when confidentiality must be broken on the ASWB exam?

A: Great question and one that shows up often on the exam. The NASW Code of Ethics makes it clear that confidentiality should be maintained unless there’s a compelling professional reason to break it. On the ASWB exam, this usually means:

  • There’s a serious, foreseeable, and imminent risk of harm to the client or someone else

  • There’s a legal requirement to report (like suspected child abuse or elder abuse)

  • A court order demands disclosure

If those elements aren’t present, the ethical choice is almost always to maintain confidentiality. Look for clues in the question that point to danger, legal mandates, or consent. If none of those show up, preserving the client’s privacy is typically the best answer.

Q: What’s the best way to study Section 1.07 without memorizing every line?

A: Studying for the ASWB exam doesn’t mean you need to memorize the entire Code word for word. Instead, focus on understanding how the principles apply in real-life situations. Use tools like:

  • Practice questions that involve confidentiality dilemmas

  • Flashcards with key concepts like informed consent, group confidentiality, or legal disclosure

  • Scenario-based study to test your judgment in realistic ethical situations

The best way to approach this topic is through application, not recitation. And that’s precisely why Agents of Change is such a valuable resource. Their materials don’t just tell you what’s in the Code; they teach you how to think like a Social Worker under exam pressure, with the ethics to match.

Q: How do I approach confidentiality questions involving minors, families, or groups?

A: These scenarios can trip people up. Here are some guidelines to keep in mind:

  • Minors: Even though parents or guardians often have legal rights to information, Social Workers should still respect the minor’s privacy when possible, especially if sharing information could harm the therapeutic relationship. Always consider the minor’s capacity for informed consent, the nature of the disclosure, and whether there’s a risk of harm.

  • Families and Couples: Discuss confidentiality with all parties at the beginning of treatment. Make it clear that information shared individually might be brought into the group if it’s clinically relevant. You can’t guarantee everyone will honor confidentiality, but you can set clear expectations.

  • Group Therapy: Encourage participants to maintain each other’s confidentiality, but remind them that you cannot enforce it. Confidentiality agreements can help, but they are not legally binding in the same way your ethical duty is.

When these types of questions show up on the exam, slow down. Ask yourself: Who is at risk? What are the legal requirements? And what is the most ethical way to preserve trust while protecting safety?

5) Conclusion

Understanding Ethics and the ASWB Exam: 1.07 Privacy and Confidentiality isn’t just about passing a test. It’s about proving you’re ready to uphold the values at the core of Social Work. Clients trust you with their most private thoughts, experiences, and fears. The decisions you make about what to share, when to share it, and how to protect client information speak volumes about your integrity and professional readiness.

As you prepare for the ASWB exam, make sure you’re going beyond just reading the Code of Ethics. Learn how to apply it effectively in complex situations, particularly where legal and ethical concerns intersect. Think critically, look for context in every question, and always return to the core principle: do what protects your client’s dignity, privacy, and safety. That mindset will guide you to the correct answer more often than memorization ever will.

► 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:

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

► 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.

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