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Ethics and the ASWB Exam: 3.06 Client Transfer

Ethics and the ASWB Exam: 3.06 Client Transfer

Preparing for the ASWB exam can feel overwhelming, especially when it comes to the ethics portion. Among the many sections of the NASW Code of Ethics, 3.06 Client Transfer is one that often trips up test-takers. This section deals with how Social Workers should manage the transfer of clients between professionals in a way that safeguards client well-being while maintaining professional integrity. Understanding it is critical, not only for passing the exam but also for becoming an effective and ethical practitioner.

Ethics is the backbone of Social Work, and client transfer situations are far from theoretical. They happen every day in real-world practice. Whether a client requests a new practitioner or a transfer occurs because of agency changes, this process requires sensitivity, communication, and a deep respect for the client’s autonomy. For the exam, you need to know more than just the definition of 3.06 Client Transfer; you need to understand how it applies to practical scenarios.

This blog will break down everything you need to know about 3.06 Client Transfer in clear, straightforward language. You will learn why this section is important, how it shows up on the test, and how to approach related questions with confidence. By the end, you will see that mastering this topic is not only achievable but also essential for your success on the exam and in your future career.

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 3.06 Client Transfer?

Full Text of NASW Code of Ethics Section 3.06

(a) When an individual who is receiving services from another agency or colleague contacts a social worker for services, the social worker should carefully consider the client’s needs before agreeing to provide services. To minimize possible confusion and conflict, social workers should discuss with potential clients the nature of the clients’ current relationship with other service providers and the implications, including possible benefits or risks, of entering into a relationship with a new service provider.

(b) If a new client has been served by another agency or colleague, social workers should discuss with the client whether consultation with the previous service provider is in the client’s best interest.

Breakdown and Explanation of Each Subsection

Paragraph (a)

This part emphasizes thoughtful decision‑making when someone already engaged with another provider reaches out. A Social Worker must assess the client’s needs carefully before saying yes. It encourages a conversation about the client’s current service relationship, clarifying any overlap, potential confusion, or conflicts. The goal is to help clients understand the risks and benefits of changing to a new professional. That conversation supports informed choice and helps avoid misunderstandings at the outset.

Paragraph (b)

Here, the focus shifts to the value of consultation with the previous provider. If a client already receives services elsewhere, the Social Worker should explore whether it’s in the client’s best interest to involve that prior provider. That might mean coordinating care, sharing relevant information (with consent), or simply acknowledging continuity needs. The emphasis is on ethical collaboration, not isolation, to ensure the client’s welfare is prioritized.

Why Each Piece Matters in Practice

  • Client’s needs first: The Social Worker doesn’t jump into service provision without thinking things through. That protects the client and the integrity of the professional relationship.

  • Clarity and transparency: Explaining potential implications prevents conflict, confusion, and even unintended boundary crossing.

  • Respecting prior work: Inviting consultation with an earlier provider recognizes the client’s existing support network and promotes continuity in care.

Together, these two points create a framework that keeps clients at the center, prevents fragmentation in services, and models ethical professionalism closely tied to real Social Work values.

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 3.06 Client Transfer Matters on the ASWB Exam

If you are preparing for the ASWB exam, you cannot afford to overlook Section 3.06 Client Transfer. This section of the NASW Code of Ethics is more than just a guideline for professional behavior; it is a key topic that appears in questions testing your ability to think critically, apply ethics in context, and protect client well-being.

1. Ethical Reasoning Is a Core Testing Area

The ASWB exam places a strong emphasis on ethics, and client transfer scenarios are a common way to assess this.

  • High-frequency topic: Ethics-related questions, including client transfer, appear throughout the exam because they reveal how well you understand Social Work practice standards.

  • Application-focused: You are expected to go beyond memorizing definitions and demonstrate that you can interpret and apply ethical principles in real-world situations.

  • Critical thinking required: These questions often present nuanced situations where you must weigh options and determine the most ethical course of action.

When you master 3.06, you improve your ability to confidently answer these scenario-based questions.

2. Protecting Client Welfare Is Always the Priority

The ASWB exam constantly reinforces one principle: client interests come first. Section 3.06 directly reflects this value.

  • Minimizing harm: Understanding this section ensures you can identify actions that prevent unnecessary disruptions in a client’s care.

  • Informed decision-making: You learn to recognize when you must discuss risks and benefits with a client before proceeding with a transfer.

  • Collaboration over competition: The exam will test whether you understand the importance of consulting with other providers when it is in the client’s best interest.

By fully grasping these points, you can quickly identify the correct answers in questions that involve client transitions between professionals.

3. Common Exam Pitfalls Related to Client Transfer

Many test-takers lose points on ethics questions because they make assumptions or overlook key steps.

  • Skipping consultation: Some choose an answer that ignores the need to consult with a previous provider (with client consent) when this step is critical.

  • Acting too quickly: Others pick responses where the Social Worker immediately agrees to provide services without properly considering the client’s needs.

  • Missing informed consent: Failing to explain risks and benefits to the client is another common trap.

Knowing Section 3.06 well helps you avoid these mistakes.

4. How to Study This Topic Effectively

Memorizing the text of Section 3.06 is just the beginning. You need to understand how it plays out in exam questions.

Here are practical ways to prepare:

  • Use real-world scenarios: Practice identifying the ethical issues in sample client transfer situations.

  • Review rationales: Always read the explanations for both correct and incorrect answers when practicing.

  • Join live study groups: Programs like Agents of Change offer 2 live study groups each month where you can discuss ethics topics and clarify tricky areas.

  • Follow a study plan: With Agents of Change, every program includes a structured plan to keep you organized and focused on what matters most.

And remember, you have access until you pass your exam, so starting early is never too soon!

3) ASWB Practice Question: Client Transfer

A Social Worker in private practice receives a call from a client who is currently working with another Social Worker at a community agency. The client expresses dissatisfaction with their current provider and wants to switch immediately. What should the Social Worker do FIRST?

A. Contact the client’s current Social Worker to coordinate the transfer
B. Explain to the client that switching providers without consultation is unethical
C. Explore the client’s needs, discuss their current relationship with the existing provider, and explain the possible implications of transferring
D. Agree to provide services immediately to avoid a disruption in care

Correct Answer: C

Explore the client’s needs, discuss their current relationship with the existing provider, and explain the possible implications of transferring.

Rationale

Section 3.06 Client Transfer emphasizes that before accepting a new client who is already receiving services elsewhere, a Social Worker must carefully consider the client’s needs and discuss the nature of the client’s existing professional relationship. The goal is to minimize confusion or conflict and ensure the client can make an informed decision.

  • Option A is incorrect because contacting the client’s current provider should not happen until you have the client’s consent and only after the initial discussion about needs and implications.

  • Option B is incorrect because it is overly rigid and does not align with the ethical guidance in Section 3.06, which prioritizes informed decision-making rather than denying the client’s request outright.

  • Option D is incorrect because immediately agreeing to provide services without assessing the situation ignores the ethical obligation to evaluate the client’s needs and the potential consequences of the transfer.

By choosing C, the Social Worker follows the correct sequence of ethical actions, protecting the client’s welfare and complying with the NASW Code of Ethics.

4) FAQs – Code of Ethics: 3.06 Client Transfer

Q: What does Section 3.06 Client Transfer actually require Social Workers to do?

A: Section 3.06 requires Social Workers to assess a client’s needs, review their existing professional relationship, and discuss any potential consequences of transferring before agreeing to provide services.

If appropriate and with the client’s consent, the Social Worker should also consult with the previous provider to support continuity of care. The focus is always on the client’s best interest, minimizing disruption, and ensuring informed decision-making.

Q: Why does the ASWB exam emphasize ethics questions like 3.06 Client Transfer?

A: The ASWB exam is designed to ensure that future Social Workers understand how to apply ethical principles in real-life scenarios. Section 3.06 is particularly important because it tests your ability to balance professional responsibilities, respect client autonomy, and avoid unnecessary harm. By mastering this topic, you demonstrate that you can recognize ethical dilemmas, think critically, and choose the most client-centered course of action.

Q: How can I study Section 3.06 Client Transfer more effectively?

A: Success with this topic comes from more than just memorizing the text. Here are a few effective strategies:

  • Work through scenario-based questions: This helps you apply the standard to realistic situations.

  • Join live study groups: With Agents of Change, you get two live study groups each month where you can review ethics topics with expert guidance.

  • Use structured study plans: Every Agents of Change program comes with a built-in study plan that keeps you organized.

  • Take advantage of practice exams: These allow you to see how Section 3.06 is tested and learn from detailed rationales.

The best part? With Agents of Change, you keep your access until you pass your exam, so you can start preparing confidently without worrying about running out of time.

5) Conclusion

Understanding 3.06 Client Transfer is more than just an academic requirement. It is a reflection of what it truly means to protect clients, respect their autonomy, and ensure smooth transitions in care. By taking the time to learn this section of the NASW Code of Ethics, you are not only preparing for exam success but also strengthening the foundation of your future Social Work practice.

When you study this topic thoroughly, you reduce the risk of falling into common test traps and build confidence in your ability to handle ethical scenarios with precision.

Mastering Section 3.06 Client Transfer is about more than passing a test. It is about becoming the kind of Social Worker who can meet clients where they are and guide them responsibly through moments of change. By combining ethical knowledge with effective exam preparation, you position yourself to succeed on the ASWB exam and, more importantly, to serve clients with the highest level of care and professionalism.

► 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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