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Ethics and the ASWB Exam: 4.07 Solicitations

Ethics and the ASWB Exam: 4.07 Solicitations

Studying for the ASWB exam can feel overwhelming at times. The material is broad, the scenarios can be tricky, and the ethical standards often require more than memorization. They demand careful thinking and a clear understanding of how Social Work principles apply in real-world situations. One of the sections that often challenges exam-takers is 4.07 Solicitations.

This guideline is part of the NASW Code of Ethics, and it deals with how Social Workers handle solicitation and advertising. At first glance, it may seem like a minor detail, but it actually speaks to the foundation of professional trust. Social Workers are held to high ethical standards because their clients rely on them for safety, guidance, and support. If solicitation is handled poorly, it can blur boundaries and compromise that trust.

For anyone preparing for the ASWB exam, understanding 4.07 is essential. It is not just about recalling the rule. It is about recognizing how it plays out in practice and making sound ethical choices when presented with scenarios on the test. With the right preparation, you can approach these questions with confidence, knowing that you are protecting both clients and your professional integrity.

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 4.07 Solicitations?

a diverse therapist talking to a small group at an event

The NASW Code of Ethics provides very direct language when it comes to solicitation. Here’s the full text of section 4.07:

4.07 Solicitations

(a) Social Workers should not engage in uninvited solicitation of potential clients who, because of their circumstances, are vulnerable to undue influence, manipulation, or coercion.

(b) Social Workers should not engage in solicitation of testimonial endorsements from current clients or from other people who, because of their particular circumstances, are vulnerable to undue influence.

This section is short, but it carries significant weight. Let’s break it down.

Part (a): No Uninvited Solicitation of Vulnerable Clients

This part emphasizes the dangers of approaching people in ways that exploit their vulnerability. For example, imagine a Social Worker attending a community support group and directly encouraging attendees to sign up for their private practice. Even if the intention is to help, the power imbalance and the person’s vulnerable state could make the invitation feel like pressure. The Code makes it clear that protecting client autonomy is the priority.

Key takeaway: Social Workers can advertise publicly, but they must avoid targeted solicitation of individuals who may not be in the best position to make a free, independent choice.

Part (b): No Solicitation of Testimonials from Current Clients

Asking for testimonials may sound harmless at first glance, but it can create serious ethical issues. Clients may feel obligated to provide a glowing statement, fearing that refusing could harm the relationship or impact the quality of care they receive. Even if a Social Worker frames the request as optional, the inherent power imbalance makes it tricky.

Key takeaway: Social Workers should never request testimonials from current clients or anyone who might feel pressured. Doing so risks eroding trust and turning a professional relationship into a transactional one.

Why This Matters for the ASWB Exam

The ASWB exam loves to test ethics through nuanced case studies, and section 4.07 is a favorite because it touches on both professional boundaries and client protection. The exam isn’t just asking whether you know the words of the rule. It’s checking whether you can recognize solicitation in different forms, including subtle or indirect situations.

Bottom line: 4.07 is about preventing misuse of trust. If an action feels like it might blur lines or pressure a client, it’s probably unethical.

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 4.07 Solicitations Matters on the ASWB Exam

When preparing for the ASWB exam, ethics often feels like a balancing act. You’re expected to recall the Code of Ethics, interpret it correctly, and apply it to real-world scenarios.

a diverse therapist talking to a group at an event

4.07 Solicitations is one of those rules that looks simple on paper but becomes much more complex once it’s tested. Here’s why it deserves your full attention.

It Highlights Client Protection Above All

The exam constantly reinforces that the client’s well-being comes first. Section 4.07 is a prime example. Test writers want to know if you can recognize when a Social Worker’s actions might:

  • Exploit vulnerability

  • Blur professional boundaries

  • Create even the appearance of coercion

If a situation leaves a client feeling pressured, it’s a red flag. Knowing this will help you spot the correct answer quickly.

It Tests Boundary Clarity

One of the toughest parts of the exam is distinguishing between acceptable outreach and unethical solicitation. You might see scenarios where a Social Worker is:

  • Handing out business cards at a community fair

  • Asking a current client for a testimonial on a website

  • Running a public ad in the local newspaper

Only one of these is clearly appropriate. Questions like these push you to sharpen your ability to see where professional marketing ends and solicitation begins.

It Reflects Real-World Ethical Dilemmas

The exam is designed to mirror challenges you’ll face in practice. Understanding 4.07 Solicitations prepares you to manage everyday situations like:

  • Deciding whether to promote your private practice at a free workshop

  • Choosing if it’s okay to request feedback from a client for social media

  • Determining how to ethically build visibility without exploiting relationships

By practicing this before the exam, you build confidence not just for test day, but for your professional career.

It Prevents Common Exam Mistakes

Many test-takers stumble on ethics questions because they:

  • Assume consent eliminates ethical concerns

  • Forget that power imbalances make “optional” requests problematic

  • Fail to see the difference between general advertising and targeted solicitation

Keeping these in mind reduces the chance of second-guessing yourself on exam day.

Quick Recap of What to Remember

  • Clients must never feel pressured.

  • Solicitation of testimonials is prohibited.

  • General advertising is fine, direct solicitation is not.

  • Always place client protection over personal gain.

3) ASWB Practice Question: 4.07 Solicitations

A Social Worker has been running a private practice for five years. To increase visibility, they decide to post positive testimonials on their professional website. The Social Worker asks three current clients if they’d be willing to write a short statement about their experiences. One client agrees immediately, another hesitates but ultimately writes one, and the third declines. Which of the following best describes the ethical issue in this scenario?

A. The Social Worker failed to gain informed consent from the hesitant client.
B. The Social Worker engaged in unethical solicitation of testimonial endorsements.
C. The Social Worker violated client confidentiality by discussing website use.
D. The Social Worker failed to provide clients with appropriate referral options.

Correct Answer: B. The Social Worker engaged in unethical solicitation of testimonial endorsements.

Rationale:
According to NASW Code of Ethics 4.07(b), Social Workers should not solicit testimonial endorsements from current clients or from people vulnerable to undue influence. Even if clients agree, the power imbalance means they may feel pressured, as seen with the hesitant client in this case.

Informed consent (Option A) is not the central issue here, because the ethical problem exists regardless of consent. Confidentiality (Option C) isn’t violated, since no client information was shared. Referrals (Option D) are unrelated to this situation. The clearest ethical violation is solicitation of testimonials from current clients, making B the correct answer.

4) FAQs – Code of Ethics: 4.07 Solicitations

Q: Is all advertising considered solicitation under 4.07?

A: No. The NASW Code of Ethics allows Social Workers to use general advertising methods, such as creating websites, posting on social media, or placing ads in newspapers. What 4.07 prohibits is uninvited solicitation of potential clients who are vulnerable to undue influence.

This means directly approaching someone in a way that could exploit their circumstances or create pressure. For example, handing out flyers for private services during a support group you’re leading would be problematic. A public ad in a neutral setting, however, is ethically acceptable.

Q: Can Social Workers ever ask clients for testimonials?

A: Social Workers should avoid asking current clients for testimonials under all circumstances, because the power imbalance can make clients feel obligated to comply. Even if they agree, the “yes” may come from a place of pressure rather than genuine choice.

Former clients may sometimes provide testimonials, but only if enough time has passed to minimize the risk of undue influence and only if the person is in a stable position to give informed, voluntary feedback. When in doubt, it’s safer to avoid testimonials altogether and rely on general marketing methods instead.

Q: Why does the ASWB exam emphasize solicitation ethics so heavily?

A: The ASWB exam is built to test more than memorization. It’s designed to ensure that future Social Workers can apply ethical principles in complex, real-world scenarios. Solicitation is an area where boundaries can be blurred quickly, making it a perfect subject for exam questions.

By asking you to analyze scenarios involving advertising, testimonials, and client vulnerability, the exam assesses your ability to protect clients, maintain trust, and prevent exploitation. Mastering section 4.07 helps you answer questions correctly and prepares you to handle professional situations with clarity and confidence.

5) Conclusion

Understanding 4.07 Solicitations is more than just checking off a study requirement. It is about recognizing the responsibility Social Workers carry in protecting clients from exploitation and maintaining professional boundaries. The exam will challenge you to apply this principle in subtle and sometimes tricky ways, so being clear on what counts as solicitation is essential.

When you prepare with resources that emphasize both knowledge and application, you give yourself a better chance at success. That is where Agents of Change becomes such a valuable partner. With comprehensive materials, practice exams, live study groups, flashcards, and study plans, you are never left wondering how to structure your learning. Since access lasts until you pass, there is no risk in starting early and building steady confidence.

► 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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