Ethics and the ASWB Exam: 5.02 Evaluation and Research

1) What Is 5.02 Evaluation and Research?

The NASW Code of Ethics provides specific guidance for Social Workers engaged in research and program evaluation.

Section 5.02 Evaluation and Research reads as follows:

5.02 Evaluation and Research
a. Social Workers should monitor and evaluate policies, the implementation of programs, and practice interventions.
b. Social Workers should promote and facilitate evaluation and research to contribute to the development of knowledge.
c. Social Workers should critically examine and keep current with emerging knowledge relevant to Social Work and fully use evaluation and research evidence in their professional practice.
d. Social Workers engaged in evaluation or research should carefully consider possible consequences and should follow guidelines developed for the protection of evaluation and research participants. Appropriate institutional review should be obtained when necessary.
e. Social Workers engaged in evaluation or research should obtain voluntary and written informed consent from participants when appropriate, without any implied or actual deprivation of services for refusal to participate; without undue inducement to participate; and with due regard for participants’ well-being, privacy, and dignity. Informed consent should include information about the nature, extent, and duration of participation requested and disclosure of risks and benefits of participation in the research.
f. When evaluation or research participants are incapable of giving informed consent, Social Workers should provide an appropriate explanation to the participants, obtain the participants’ assent to the extent possible, and obtain written consent from an appropriate proxy.
g. Social Workers should never design or conduct evaluation or research that does not use consent procedures, such as certain forms of naturalistic observation and archival research, unless rigorous safeguards are in place to protect the participants.
h. Social Workers should take appropriate steps to ensure that participants in evaluation and research have access to appropriate supportive services.
i. Social Workers engaged in evaluation or research should protect participants from unwarranted physical or mental distress, harm, danger, or deprivation.
j. Social Workers engaged in evaluation or research should protect the anonymity or confidentiality of participants and of the data obtained from them. Social Workers should inform participants of any limits to confidentiality, the measures that will be taken to ensure confidentiality, and when any records containing research data will be destroyed.
k. Social Workers who report evaluation and research results should protect participants’ confidentiality by omitting identifying information unless proper consent has been obtained authorizing disclosure.
l. Social Workers should report evaluation and research findings accurately. They should take steps to correct any errors later found in published data using standard publication methods.
m. Social Workers engaged in evaluation or research should be alert to and avoid conflicts of interest and dual relationships with participants, should inform participants when a real or potential conflict of interest arises, and should take steps to resolve the issue in a manner that makes participants’ interests primary.
n. Social Workers should educate themselves, their students, and their colleagues about responsible research practices.

Breaking Down Each Portion of 5.02

a. Monitoring and evaluating practice
Social Workers have a responsibility to check whether programs and interventions are working effectively. This ensures accountability and ongoing improvement.
b. Promoting knowledge through research
Social Workers aren’t just practitioners; they’re contributors to the growth of the profession. By supporting research, they advance the field.
c. Staying current
This portion emphasizes professional growth. Social Workers must stay updated with new knowledge and integrate evidence-based practices.
d. Considering consequences
Every evaluation or research project has potential risks. Ethical Social Workers anticipate these risks and follow formal review processes when needed.
e. Informed consent
This is a cornerstone of ethical research. Participants must know what they’re signing up for, and their choice to participate must be free from coercion or consequences for refusal.
f. When participants can’t consent
In cases where individuals cannot legally or cognitively give consent, Social Workers must obtain it from proxies while still involving the participant as much as possible.
g. Exceptions to consent
In rare cases like archival studies or naturalistic observation, written consent may not be possible. Even then, safeguards must protect participants.
h. Providing support services
Research participation should never leave people without the care or resources they need.
i. Protecting from harm
Physical, emotional, or psychological harm must be avoided at all costs during the research process.
j. Confidentiality and data protection
Participants deserve to know how their data will be used, stored, and eventually destroyed. This section reinforces transparency and trust.
k. Confidentiality in reporting
Even in publications or presentations, identifying information must remain private unless explicit permission is granted.
l. Accurate reporting
Integrity is key. Findings must be reported honestly, and mistakes corrected publicly if discovered later.
m. Avoiding conflicts of interest
Researchers must avoid dual roles or situations that might exploit participants. When conflicts arise, the participant’s well-being comes first.
n. Teaching responsible practices
Ethics in research isn’t just for current Social Workers; it’s a responsibility to pass on to students and colleagues to protect the future of the profession.

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 5.02 Evaluation and Research Matters on the ASWB Exam

The ASWB exam isn’t just about memorizing theories or intervention strategies. It’s about showing that you can apply the NASW Code of Ethics to real-world situations. Section 5.02 Evaluation and Research is often tested because it reflects how Social Workers balance professional growth with protecting clients.

1. Ethics Are at the Heart of the Exam

The ASWB exam constantly circles back to ethics. Whether a question is about confidentiality, dual relationships, or research, the test wants to see if you know the difference between right and wrong in a professional context.

5.02 highlights core ethical duties that guide Social Workers in evaluation and research settings.
The exam uses this section to test critical thinking in scenarios where client safety or informed consent may be at risk.
Knowing these standards shows you can prioritize clients’ rights above all else.

2. Scenario-Based Questions Rely on It

Many questions on the ASWB exam are situational, meaning they put you in the shoes of a Social Worker and ask what you should do first. When research or program evaluation shows up, 5.02 is your compass.

You might see a scenario like:

A client refuses to participate in a program study. What should you do?
A research team pressures you to share identifiable client data. How do you respond?
A client with limited capacity is involved in an evaluation. What’s your responsibility?

Each of these questions hinges on knowing the principles of informed consent, confidentiality, and protection from harm.

3. It Connects to Broader Social Work Practice

While it’s framed as “research,” 5.02 isn’t just about academic studies. The ASWB exam may test this section through broader program evaluation, data collection, or agency policy review.

Program evaluation: Social Workers often measure the effectiveness of services. You need to know the ethical boundaries of collecting and using client data.
Evidence-based practice: Staying current and using research findings ties directly into making ethical treatment decisions.
Accountability: Agencies and funders may want results, but the exam wants to see if you’d protect clients even when pressured.

4. Key Concepts to Master for Exam Day

To tackle questions related to 5.02 Evaluation and Research, make sure you can confidently explain:

Informed consent: Clients must know risks, benefits, and the voluntary nature of participation.
Confidentiality: Identifying information stays private unless explicit permission is given.
Protection from harm: Clients should never face physical, emotional, or social harm during evaluation or research.
Accurate reporting: Fabrication, omission, or misrepresentation is unethical and test-worthy.
Conflicts of interest: You must avoid situations where your role as a researcher overlaps with your role as a practitioner.

5. Why the Exam Cares So Much

At its core, the ASWB exam is trying to answer a question: Can this candidate practice Social Work ethically and responsibly? Section 5.02 helps examiners see if you’ll stand firm on values like integrity, honesty, and client dignity, even when it’s inconvenient.

If you can demonstrate mastery of these principles, you’ll be well prepared for any research or evaluation question that appears on your test.

3) ASWB Practice Question: 5.02 Evaluation and Research

A Social Worker is conducting a program evaluation at a community mental health center. During the consent process, a client expresses concern that refusing to participate might result in fewer services. What should the Social Worker do first?

A) Reassure the client that participation will not affect their services and review the voluntary nature of consent.
B) Offer the client a small incentive to encourage participation.
C) Explain that program evaluation is necessary for continued funding and encourage the client to participate.
D) Remove the client from the study immediately and continue without clarifying further.

Correct Answer:
A) Reassure the client that participation will not affect their services and review the voluntary nature of consent.

Rationale:
According to NASW Code of Ethics 5.02 (Evaluation and Research), participation in research or program evaluation must always be voluntary and free of coercion. The Social Worker’s first responsibility is to ensure the client fully understands that refusal will not affect access to services.

Option A is correct because it addresses the client’s concern directly while upholding ethical standards of informed consent and voluntariness.
Option B is incorrect since offering incentives risks creating undue inducement, which undermines voluntary participation.
Option C is unethical because it pressures the client by linking participation to funding, disregarding their right to choose freely.
Option D is premature. Simply removing the client without clarifying their rights denies them the opportunity to make an informed choice.

This type of question highlights how the exam tests your ability to apply ethical reasoning to real-life practice scenarios, especially when clients fear consequences tied to participation.

4) FAQs – Code of Ethics: 5.02 Evaluation and Research

Q: Will the ASWB exam ask me to recall the exact wording of 5.02 Evaluation and Research?

A: Not usually. The exam is less about memorizing the precise language and more about whether you can apply the principles. For example, instead of asking you to list what 5.02 says about informed consent, the exam might give you a scenario where a client feels pressured to join a research project. Your job is to identify that consent must be voluntary, informed, and without consequences for refusal.

Q: How can I recognize a test question that connects to 5.02 Evaluation and Research?

A: Look for clues involving research, program evaluation, data collection, or agency studies. If a scenario mentions things like “consent,” “confidentiality,” “participants,” or “research findings,” you’re likely being tested on 5.02.

The key is to ask yourself: Is the client’s dignity, privacy, or autonomy being protected? If not, the answer probably involves reinforcing those protections.

Q: What’s the best way to study 5.02 without getting overwhelmed?

A: Break it into digestible parts. Focus on the big themes: consent, confidentiality, protection from harm, accurate reporting, and avoiding conflicts of interest. Then practice applying these to sample questions.

Using a structured program like Agents of Change makes it easier since you’ll have practice exams, flashcards, and study groups to reinforce your understanding. Plus, you keep access until you pass, so you can return to these principles as often as needed without worrying about running out of time.

5) Conclusion

Preparing for the ASWB exam can feel intimidating, but understanding the ethical foundation behind 5.02 Evaluation and Research helps transform anxiety into clarity. This section of the NASW Code of Ethics reminds Social Workers that protecting participants’ dignity, ensuring informed consent, and maintaining confidentiality are non-negotiable parts of practice. When you recognize how these standards apply to everyday scenarios, answering exam questions becomes less about guessing and more about relying on professional values.

The exam is designed to test whether future Social Workers can apply these principles under pressure, often through real-world situations that mirror the complexities of practice. By studying 5.02 carefully, you build confidence in your ability to identify ethical issues quickly and choose responses that reflect integrity. This preparation doesn’t just help you pass the test; it strengthens your foundation for ethical decision-making in your career.

► 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:

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► 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.

Ethics and the ASWB Exam: 5.02 Evaluation and Research

Ethics and the ASWB Exam: 5.02 Evaluation and Research