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Ethics and the ASWB Exam: 3.04 Client Records

Ethics and the ASWB Exam: 3.04 Client Records

Ethics form the backbone of Social Work practice, guiding professionals through decisions that impact the lives of their clients. One area that often raises questions is recordkeeping. Section 3.04 of the NASW Code of Ethics, known as “Client Records,” sets the standard for how Social Workers document, store, and share client information. For anyone preparing for the ASWB exam, this topic is more than a simple guideline. It represents a critical piece of knowledge that can shape both professional integrity and exam success.

When you sit for the ASWB exam, you will face questions that require more than just memorization. You will need to interpret what 3.04 Client Records means in practice and determine the most ethical response in real-world scenarios. Understanding how to balance client rights, confidentiality, and professional judgment is what will separate confident test-takers from those who second-guess themselves. By mastering this topic, you can approach exam questions with clarity and precision.

This article explores client records in a way that feels practical and actionable. You will see how this section of the NASW Code of Ethics applies to the exam and everyday Social Work. Along the way, we will also share an ASWB practice question with an explanation and introduce you to study tools that will keep you organized and focused. Whether you are just starting your exam prep or you are in the final stretch, this guide will give you the confidence to tackle one of the most important ethical topics on the test.

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 3.04 Client Records?

a social worker reviewing client records on a computer in a warm friendly office

Here’s the full text of Standard 3.04 from the NASW Code of Ethics:

3.04 Client Records
(a) Social workers should take reasonable steps to ensure that documentation in electronic and paper records is accurate and reflects the services provided.
(b) Social workers should include sufficient and timely documentation in records to facilitate the delivery of services and to ensure continuity of services provided to clients in the future.
(c) Social workers’ documentation should protect clients’ privacy to the extent that is possible and appropriate and should include only information that is directly relevant to the delivery of services.
(d) Social workers should store records following the termination of services to ensure reasonable future access. Records should be maintained for the number of years required by state statutes or relevant contracts.

Breakdown of Each Portion

(a) Accuracy and Reflection of Services Provided

Social Workers are responsible for making sure that both electronic and paper records show exactly what services were delivered. Documentation needs to be factual and never exaggerated or fabricated. If you report something in a session summary or update a progress note, the record must correspond closely to what happened.

(b) Sufficient, Timely Documentation for Continuity

You need to document quickly enough so that the record stays fresh and usable. Enough detail must be included so that any other Social Worker or service provider stepping in later will understand the history, goals, interventions used, and next steps. Records that are sparse or delayed increase the risk of misunderstandings or service gaps.

(c) Protecting Privacy and Relevance

This piece emphasizes that records should include only what’s necessary. Overloading a file with speculation or irrelevant personal opinion can compromise client privacy and create unnecessary liability. It’s ethical to include sensitive topics only when they’re pertinent to treatment, and always avoid extraneous or demeaning commentary.

(d) Appropriate Storage and Retention

Once services end, records still need to be stored securely and remain accessible if required later. Retention timelines depend on state law, agency policy, or contractual requirements. That means you must plan for ongoing access, whether for legal purposes, audits, or continuity of care if the client returns.

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 Understanding 3.04 Client Records Matters on the ASWB Exam

Section 3.04 Client Records isn’t just a line in the NASW Code of Ethics. It’s a concept that’s woven directly into the ASWB exam. Many test-takers underestimate how often recordkeeping and documentation come up, but they appear in both direct questions and as underlying factors in broader ethical scenarios.

a diverse 30 something social worker reviewing client records on a computer in a warm friendly office

Knowing this section well can make a measurable difference in your score and boost your confidence on exam day.

Ethical Foundations Tested on the Exam

The ASWB exam is designed to measure your ability to apply ethical standards in realistic, practice-based situations. 3.04 Client Records forms a critical part of that ethical foundation.

  • Accuracy in documentation: You may see questions asking how to respond when documentation errors are discovered.

  • Privacy and relevance: Scenarios often include information about what should or should not be included in a record.

  • Retention rules: Some questions test your ability to identify proper record storage and timelines.

  • Continuity of care: Expect to see examples where recordkeeping impacts future service delivery.

When you understand these components, you can avoid overthinking and choose the answer that best aligns with NASW’s clear expectations.

Common Pitfalls if You Overlook 3.04

Many Social Work candidates struggle with this standard because it seems straightforward on the surface. Yet, the exam frequently tests nuances.

  • Confusing personal notes with official records

  • Forgetting state-specific retention rules

  • Adding irrelevant or subjective information to records

  • Failing to consider the privacy implications of documentation

By reviewing these details beforehand, you reduce the risk of falling for “trap answers” that look correct but conflict with the ethical standard.

The Link Between Ethics and Practical Exam Scenarios

Recordkeeping is rarely isolated in exam questions. It often connects with other ethical areas, such as informed consent, confidentiality, and client access to records.

For example, you may be asked what to do if a client requests to view their file, but you believe it contains information that could harm them emotionally. Without a strong understanding of 3.04 Client Records, it’s easy to choose an incorrect response that violates NASW guidelines.

How to Prepare Effectively for This Topic

Mastering 3.04 doesn’t have to be overwhelming. With the right study tools and strategies, you can break this standard down into manageable steps.

  • Review the exact language of Section 3.04 until it becomes second nature.

  • Practice applying the standard using realistic scenarios.

  • Join study groups where you can hear how other Social Workers interpret these rules.

  • Use structured study plans that keep you focused on this and other high-yield topics.

This is where Agents of Change becomes invaluable. Their program gives you access to:

  • Comprehensive materials and practice exams

  • Two live study groups each month for deeper discussion

  • Flashcards to reinforce key details

  • Study plans that help you stay on track

  • Full access until you pass your exam, so you can start early without worrying about timing

With these resources, you can approach 3.04 Client Records and the ASWB exam as a whole with confidence and clarity.

3) ASWB Practice Question: Client Records

A Social Worker has been providing counseling services to a client for several months. While reviewing the client’s file, the Social Worker notices that some of the progress notes are missing details about specific interventions used in sessions. According to the NASW Code of Ethics Section 3.04 Client Records, what should the Social Worker do first?

A) Leave the records as they are because retroactively adding details could create liability issues.
B) Update the records to include accurate, relevant, and timely information that reflects the services provided.
C) Add personal impressions about the client to ensure future providers have context.
D) Discard the incomplete records and start new documentation moving forward.

Correct Answer

B) Update the records to include accurate, relevant, and timely information that reflects the services provided.

Rationale

Section 3.04 of the NASW Code of Ethics instructs Social Workers explicitly to ensure that client records are accurate and reflect the services provided. Failing to correct incomplete documentation could compromise the continuity of care and create ethical risks.

  • Option A is incorrect because leaving records incomplete violates the expectation of accurate, sufficient documentation.

  • Option C is incorrect because adding personal impressions that are not directly relevant to service delivery breaches the requirement to protect client privacy and include only essential information.

  • Option D is incorrect because discarding records would not only be unethical but also violate record retention standards outlined in 3.04(d).

By selecting B, the Social Worker aligns with both the letter and the spirit of 3.04 Client Records: ensuring accurate, timely, and appropriate documentation while maintaining professional ethics.

4) FAQs – Code of Ethics: 3.04 Client Records

Q: How often does 3.04 Client Records appear on the ASWB exam?

A: While the ASWB exam doesn’t disclose exact numbers, 3.04 Client Records is part of the NASW Code of Ethics, which is a major testing area. Questions about documentation and recordkeeping can appear directly or indirectly in several scenarios, especially within ethics and professional practice questions.

You might encounter straightforward questions asking about proper documentation or more complex scenarios that combine confidentiality, informed consent, and record retention rules. Understanding 3.04 ensures you can confidently navigate these questions without second-guessing your answers.

Q: What’s the biggest mistake Social Workers make regarding 3.04 Client Records on the exam?

A: One of the most common mistakes is assuming that recordkeeping is strictly administrative. Many test-takers focus on clinical skills and underestimate how much the exam tests ethical documentation practices. For example, some candidates think adding extra personal commentary is acceptable, but the NASW Code of Ethics is clear that records must only include accurate, relevant information.

Another frequent error is overlooking retention and access rules, especially when a question asks about a client requesting their file. Knowing these details can prevent you from choosing an answer that seems logical but conflicts with ethical standards.

Q: How can I study 3.04 Client Records effectively and avoid feeling overwhelmed?

A: The key is to break the standard into manageable parts and practice applying it to real-world scenarios. Reading the text of 3.04 repeatedly helps you internalize its exact language. Then, focus on practice questions that challenge you to use the standard rather than memorize it. This is where Agents of Change is beneficial. They provide:

  • Comprehensive study materials that explain ethical standards in plain language

  • Practice exams and flashcards to strengthen retention

  • Two live study groups each month to discuss topics like 3.04 in depth

  • Study plans to keep you organized and on track

  • Access until you pass, which means you can start early without worrying about expiration dates

With these tools, you’ll feel more prepared to handle 3.04 Client Records and the broader ethical questions on the ASWB exam.

5) Conclusion

Understanding 3.04 Client Records is far more than memorizing a small portion of the NASW Code of Ethics. It is about recognizing how proper documentation protects clients, supports ethical decision-making, and directly impacts your success on the ASWB exam. By learning the requirements of this standard and practicing how to apply them, you will develop the confidence to handle record-related questions with precision.

Preparing for this topic does not have to feel overwhelming. With the right approach, you can turn what seems like a technical section of the Code into an area of strength on your exam. Using structured study materials, reviewing realistic examples, and engaging with study groups can make the process more transparent and less stressful.

► 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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