AUSTRALIAN ASSOCIATION OF SOCIAL WORKERSABN 93 008 576 010

A A S W

Code of Ethics1999

AASW Code of Ethics accepted at the Australian Association of Social Workers’

Annual General Meeting, Canberra, 19 November 1999

Second edition: 2002

Australian Association of Social Workers

Suite 18 National Press Club

16 National Circuit

Barton ACT 2600

[Postal address: PO Box 4956, Kingston ACT 2604]

Tel: (02) 6273 0199

Fax: (02) 6273 5020

Email: aaswnat@aasw.asn.au

Website: www.aasw.asn.au

ISBN: 0-909255-32-6

Design and layout: Karen Silsby

Copyright © Australian Association of Social Workers 2002

This publication is copyright. Apart from fair dealing for the purpose of

private study, research, criticism or review, as permitted under the

Copyright Act, no part may be reproduced by any process without

written permission.

Table of Contents1 PURPOSE OF SOCIAL WORK .................................................................................5

1.1 Commitment and aims ..................................................................................................... 51.2 Social work ......................................................................................................................... 51.3 Australian Association of Social Workers ..................................................................... 6

2 NATURE AND PURPOSE OF THE CODE .................................................................. 7

3 VALUES AND PRINCIPLES ..................................................................................... 83.1 Value: Human dignity and worth .................................................................................... 8

3.1.1 Principles ................................................................................................................ 83.2 Value: Social justice .......................................................................................................... 8

3.2.1 Principles ................................................................................................................ 83.3 Value: Service to humanity .............................................................................................. 9

3.3.1 Principles ................................................................................................................ 93.4 Value: Integrity ................................................................................................................... 9

3.4.1 Principles ................................................................................................................ 93.5 Value: Competence .......................................................................................................... 10

3.5.1 Principles ............................................................................................................... 10

4 ETHICAL PRACTICE ............................................................................................. 114.1 General ethical responsibilities ..................................................................................... 11

4.1.1 Respect for human dignity and worth ..............................................................114.1.2 Commitment to social justice ............................................................................ 114.1.3 Social work service ............................................................................................. 124.1.4 Professional integrity ......................................................................................... 124.1.5 Practice competence ............................................................................................ 13

4.2 Responsibilities to clients ............................................................................................. 144.2.1 Priority of clients’ interest ................................................................................. 144.2.2 Conflicts of interest ............................................................................................ 144.2.3 Client self determination .................................................................................... 14

4.2.3(1) Informed consent ............................................................................... 154.2.3(2) Involuntary clients .............................................................................. 15

4.2.4 Cultural awareness ............................................................................................... 154.2.5 Information privacy/confidentiality ..................................................................... 164.2.6 Records .................................................................................................................. 174.2.7 Termination/interruption of service ................................................................. 18

4.3 Responsibilities to colleagues ...................................................................................... 184.4 Responsibilities in the workplace ................................................................................. 19

4.4.1 Service provision ..................................................................................................194.4.2 Management ......................................................................................................... 19

4.5 Responsibilities in particular settings ......................................................................... 204.5.1 Education, training, supervision and evaluation ........................................... 204.5.2 Research ................................................................................................................ 204.5.3 Private practice .................................................................................................... 21

4.6 Responsibilities to the profession ............................................................................... 21

5 GUIDELINES FOR ETHICAL DECISION-MAKING ................................................. 225.1 Ethical decision-making ................................................................................................ 22

5.1.2 Conflicts of interest ............................................................................................ 235.1.2(1) Involuntary clients .............................................................................. 235.1.2(2) Multiple clients ................................................................................... 235.1.2(3) Confidentiality ..................................................................................... 235.1.2(4) Workplace ............................................................................................ 24

5.1.3 Conscientious objection .................................................................................... 24

6 GLOSSARY OF TERMS .......................................................................................... 25

References ........................................................................................................................................... 30

Appendix 1: Human rights treaties to which Australia is a party .................................................. 31

Appendix 2: Summary of procedure for inquiries/complaints ...................................................... 32

Acknowledgments ................................................................................................................................. 33

5

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

1.1 Commitment and aimsThe social work profession is committed to thepursuit and maintenance of human well-being.Social work aims to maximise the development ofhuman potential and the fulfilment of human needs,through an equal commitment to:• working with and enabling people to achieve

the best possible levels of personal and socialwell-being

• working to achieve social justice through socialdevelopment and social change.

This involves:• upholding people’s interests and rights• working with individuals, groups and

communities in the pursuit and achievement ofequitable access to social, economic and politicalresources

• providing assistance to improve the well-beingof clients. Clients1 are individuals, families,groups, communities, organisations andsocieties, especially those who are neglected,vulnerable, disadvantaged or have exceptionalneeds

• raising awareness of structural inequities• promoting policies and practices that achieve a

fair allocation of social resources• acting to bring about social change to reduce

social barriers, inequality and injustice.To accomplish its aims, the social work professionpursues:• the development and application of knowledge,

theory and skills regarding human behaviour,social processes and social structures

• the development and redistribution of resourcesto meet the needs of individuals andcommunities.

The social work profession subscribes to theprinciples and aspirations of the United NationsUniversal Declaration of Human Rights and otherinternational conventions derived from thatDeclaration.2

The Australian Association of Social Workersand its members adhere to the InternationalFederation of Social Workers’ Ethics of SocialWork—Principles and Standards (1994). In developingthis Australian Code of Ethics direct reference hasbeen made to the latter document.

1.2 Social work

Social work operates at the interface betweenpeople and their environments. Social workers arequalified professionals who practise their professionin a broad range of government and non-government settings.

Social workers practise in a variety of ways,including:• engaging in interpersonal practice,3 groupwork,

advocacy,4 community work and social action toaddress both personal difficulties and publicissues

• undertaking research, social policy development,administration, management, consultancy,education, training, supervision and evaluationto further human well-being and socialdevelopment.

The social work profession recognises itsresponsibility to contribute to the internationalsocial work community. The profession supportshuman welfare projects at local, state, national andinternational levels.

AASW Code of Ethics

1 PURPOSE OF SOCIAL WORK

1 See Glossary—Client2 See Appendix 1: Human Rights Treaties to which Australia is a party3 See Glossary—Interpersonal practice4 See Glossary—Advocacy

6

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

1.3 Australian Association of Social

Workers

The Australian Association of Social Workers(AASW) is a professional body with collectiveresponsibilities. In the context of the AASW Codeof Ethics, the Association aims to:• demonstrate and model ethical values, decision-

making and action• set ethical standards and be available for

reference on ethical matters• carry out its corporate duties in an ethical and

accountable manner• seek discussion on issues of social injustice and

act as a reliable vehicle for the collectiveresponse of members to such issues

• ensure that members are afforded their fullprofessional rights as understood by thespecifications of this Code

• ensure that its members are aware of theirethical responsibilities

• provide support to members to enable them touphold these responsibilities

• hold its members accountable for practising inaccordance with these responsibilities

• advocate on behalf of social workers foradequate resources to enable them to fulfil theprofessional obligations of this Code

• monitor the profession’s self-regulationrequirements and work towards strengtheningregulatory measures for the profession.

7

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

The Code of Ethics5 of the Australian Association ofSocial Workers expresses the values and principleswhich are integral to, and characterise, the socialwork profession. It is intended to assist socialworkers, collectively and individually, to act inethically accountable ways in the pursuit of theprofession’s aims.

In their professional capacity, members of theAASW are required to abide by this Code.

As an embodiment of the shared ethicalunderstanding of the members of the AASW, theCode remains open to revision in the light ofexperience and changed circumstances. The Code isformally reviewed as specified in the Constitution ofthe AASW.

The purpose of the Code is to:• identify the values and principles which

underpin ethical social work practice• provide a guide and standard for ethical social

work conduct and accountable service• provide a foundation for ethical reflection and

decision-making• guide social workers when determining what

demands they may legitimately make on theiremployers, colleagues and the AASW

• provide clarification of social workers’ actionsin the context of industrial or legal disputes

• act as a basis for investigation and adjudicationof formal complaints about unethical conduct.

The values, principles and practice responsibilitiesoutlined in the Code will assist the social workprofession, the social worker, clients, employers andother interested parties to:• identify the ideals and purpose of the social

work profession• identify the professional obligations of social

workers• identify what constitutes ethical social work

behaviour.

Clarification of these issues will assist in thepreparation of formal complaints about unethicalconduct.

2 NATURE AND PURPOSE OF THE CODE

5 See Glossary—Code of ethics; Ethics

8

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

In the determination and pursuit of its aims, socialwork is committed to five basic values:

• Human dignity and worth

• Social justice

• Service to humanity

• Integrity

• Competence

In carrying out their professional tasks and duties,social workers strive to act in ways that give equalpriority to respect for human dignity and worth

and the pursuit of social justice. Thiscommitment is demonstrated through service to

humanity, integrity and competence, whichcharacterise professional social work practice.

Social work principles are derived from thevalues; together, they underpin ethical social workpractice.

3.1 Value: Human dignity and worth

The social work profession holds that:• every human being has a unique worth• each person has a right to well-being, self-

fulfilment and self-determination, consistentwith the rights of others.

3.1.1 Principles

a) Social workers respect the inherent dignity andworth of every person.

b) Social workers respect the basic human rights ofindividuals and groups as expressed in The UnitedNations Universal Declaration of Human Rights andother international conventions derived fromthat Declaration.6

c) Social workers foster individual well-being,autonomy and personal/social responsibility,with due consideration for the rights of others.

d) Social workers recognise and respect groupidentity and interdependence and the collectiveneeds of particular communities.

3 VALUES and PRINCIPLES

3.2 Value: Social justice

The social work profession holds that each societyhas an obligation to pursue social justice, to providemaximum benefit for all its members and to affordthem protection from harm.

The profession understands social justice toencompass:• the satisfaction of basic human needs• the equitable distribution of resources to meet

these needs• fair access to public services and benefits to

achieve human potential• recognition of individual and community rights

and duties• equal treatment and protection under the law• social development and environmental

management in the interests of human welfare.

3.2.1 Principles

a) Social workers promote distributive justice andsocial fairness, acting to reduce barriers andexpand choice and potential for all persons,with special regard for those who aredisadvantaged, vulnerable, oppressed, or haveexceptional needs.

b) Social workers act to change social structuresthat preserve inequalities and injustice.

c) Social workers meet their responsibilities tosociety by engaging in action to: promotesocietal well-being, advocate for equitabledistribution of resources; and effect positivesocial change in the interests of social justice.

d) Social workers espouse the cause of humanrights, affirming that civil and political rightsmust be accompanied by economic, social andcultural rights.

e) Social workers oppose and work to eliminate allviolations of human rights.

6 See Appendix 1

9

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

f) Social workers oppose prejudice and negativediscrimination7 against any person or group ofpersons, on any grounds. Social workerschallenge views and actions that vilify orstereotype particular persons or groups.

g) Social workers recognise Aboriginal and TorresStrait Islander people as the indigenous peopleof Australia. They acknowledge the historicaldisadvantage suffered by indigenous people andthe implications of this for social work practice.

h) Social workers recognise and respect the racialand cultural diversity of Australian society,taking into account the further diversity thatexists among the individuals, families, groupsand communities within indigenous and othercultures.8

i) Social workers reject the abuse of power forexploitation or suppression. They support anti-oppressive policies and practices that aim toempower clients.

j) Social workers contribute disciplined knowledgeand skill to aid individuals, groups, communitiesand societies in their development and in themanagement of conflicts and theirconsequences.

k) Social workers promote public participation insocietal processes and decisions and in thedevelopment and implementation of socialpolicies and services.

3.3 Value: Service to humanity

The social work profession holds service in theinterests of human well-being and social justice as aprimary objective. The fundamental goals of socialwork service are:• to meet personal and social needs• to enable people to develop their potential.

3.3.1 Principles

a) In their practice, social workers place theobjective of service before personal aims, viewsor advantage.

b) Social workers work with, on behalf of, or inthe interests of people to enable them to dealwith personal and social difficulties and toobtain essential resources and services. Thiswork may include, but is not limited to,interpersonal practice, groupwork, communitywork, social development, social action, policydevelopment and research.

c) In providing service, social workers apply theirknowledge and skill in ways that maximise thebenefit of their involvement.

d) Social workers recognise and respect individualand collective goals, responsibilities anddifferences.

e) Social workers are responsible for using theirpower and authority in ways that servehumanity.

f) Social workers make ethically accountableprofessional decisions based on their nationaland international codes of ethics.

3.4 Value: Integrity

The social work profession values honesty, reliabilityand impartiality in social work practice.

3.4.1 Principles

a) Social workers uphold and promote the aims,values, principles, knowledge and practicestandards of the social work profession.

b) Social workers maintain a high quality ofprofessional conduct and behave with dignityand responsibility.

c) Social workers strive for impartiality in theirprofessional practice, refraining from imposingtheir personal values, views and preferences onclients.

7 See Glossary—Discrimination8 See Glossary—Culture

10

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

3.5 Value: Competence

The social work profession values proficiency insocial work practice.

3.5.1 Principles

a) Social workers identify, expand, develop, useand disseminate knowledge, theory and skill forsocial work practice.

b) Social workers improve their practice by engagingin activities such as continuing professionaleducation, supervision and personal development.

c) Social workers analyse the basis and nature ofsocial needs and social problems and encourageinnovative strategies and techniques to meetboth new and existing needs.

d) Social workers contribute professional expertiseto the development and implementation ofhuman welfare policies and programmes.

e) Social workers ensure ongoing professionalcompetence by contributing to the education,training and supervision of social workcolleagues and students.

f) Social workers are responsible for the standardof service that they, or social work studentsunder their direct supervision, provide.

11

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

This section sets out the ethical behaviours whichare expected of social workers in carrying out theirpractice responsibilities. Given the complexity ofissues that social workers deal with in varioussettings, the extent of discretion in relation to theseduties may vary in certain circumstances, relying onthe informed professional and ethical judgment ofthe particular social worker. In carrying out theirprofessional practice responsibilities, social workersare entitled to reciprocal rights, which include:• the right to exercise professional discretion and

professional judgment• the right to re-direct or refuse service on

justifiable grounds9

• the right to safety in professional practice• the right to freedom from discrimination in the

workplace• the right to reasonable working conditions,

continuing professional education and training• the right to support from the profession when

acting in an ethically obligatory or permissibleway.

The following practice responsibilities are dividedinto six main categories: General EthicalResponsibilities, Responsibilities to Clients,Responsibilities to Colleagues, Responsibilities in theWorkplace, Responsibilities in Particular Settings andResponsibilities to the Profession.

These responsibilities are based on, and apply,the values and principles. They represent desirablegoals as well as ethical duties to be carried out in thecourse of social work practice.

The responsibilities establish minimum standardsfor professional social work conduct and are a guideto best practice. They can also be used as:1) a guide and checklist for educative and

supervisory purposes2) a benchmark for the assessment of professional

behaviour3) the basis for determinations regarding reported

breaches of the Code.

4 ETHICAL PRACTICE

4.1 General ethical responsibilities

4.1.1 Respect for human dignity and

worth

a) Social workers will demonstrate respect forclients and seek to preserve and promote theirdignity, individuality, rights, responsibilities andcultural affiliation.

b) Social workers will have regard for individualbeliefs, values, culture, goals, needs and desires,as well as kinship and communal bonds. Theywill respect people’s right to have views thatdiffer from their own or from those that aregenerally held.

c) Social workers will respect the right ofindividuals to make informed decisions abouttheir well-being and about service and resourcealternatives.

d) Social workers will ensure that clients or theirauthorised representatives participate indecision-making processes.

4.1.2 Commitment to social justice

a) Social workers will promote policies, practicesand social conditions that uphold human rightsand that seek to ensure access, equity andparticipation for all.

b) Social workers will act without prejudice,seeking to prevent and eliminate negativediscrimination10 based on grounds such as:national origin, race, culture,11 appearance,language, gender, sexual preference, ability, age,place of residence, belief, religion, politicalaffiliation and social, economic, health ormarital status. In circumstances whereindividual/group differences affect clients’needs, positive discrimination12 may be ethicallyjustifiable.

9 See Guideline—Conscientious objection10 See Glossary—Discrimination11 See Glossary—Culture12 See Glossary—Discrimination

12

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

c) Social workers will aim to empower individuals,families, groups, communities and societies inthe pursuit and achievement of equitable accessto social, economic and political resources andin attaining self-determination, self-managementand social well-being.

d) Social workers will acknowledge the racial andcultural diversity within Australian society andwill promote policies, procedures and practicesthat respect this diversity.

e) Social workers will promote public participationin the development and implementation ofsocial policies and services.

4.1.3 Social work service

a) Social workers will provide a competent andhumane service to clients, mindful of fulfillingtheir duty of care13 and observing the principlesof natural justice.14

b) Social workers will provide assistance to clientsin an objective, equitable and just manner,facilitating their access to resources, services,rights and opportunities that contribute to theirwell being.

c) Social workers will engage in participative, openand empowering processes to enable clients tofurther their desires and interests as far as ispossible, taking into account the relevantinterests of others. This includes undertakingadvocacy with and on behalf of clients.

d) Social workers will seek to ensure that servicesare offered and delivered in a culturallyappropriate manner.

e) When making referrals, social workers will aimto refer clients to competent and reputableservice providers.

f) Where clients are not satisfied with the level ofservice or service provision, social workers willadvise clients regarding their right to complain,the appropriate avenues to take and theprocedures to follow in making a complaint.

g) Social workers will preserve the commitment toautonomy and social justice when engaging insocial action and community development withclient groups and communities.

h) Social workers will promote the ethicalprinciples and standards of the profession whenundertaking broader types of service such asadministration, policy development, education,research.

i) Social workers will seek input and feedbackfrom clients in the evaluation of serviceprovision.

4.1.4 Professional integrity

a) Social workers will carry out professional dutieswith integrity, refraining from any behaviourwhich contravenes professional principles andstandards or which damages the profession’sintegrity.

b) Social workers will represent their professionalqualifications, competence, experience,achievements and affiliations with honesty andaccuracy.

c) Social workers’ private conduct will notcompromise the fulfilment of professionalresponsibilities.

d) When making public statements or performingpublic actions social workers will clarifywhether they are acting as private individuals, oras representatives of the social work profession,an organisation or group. When representing theprofession or an organisation, social workerswill correctly reflect policies, procedures andservices and distinguish between personal andofficial views or positions.

13 See Glossary—Duty of care14 See Glossary—Natural justice

13

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

e) Social workers will ensure that professionalrelationships are not exploited to gain personal,material or financial advantage.

f) Social workers will avoid any form of physicalcontact which may violate professionalboundaries, result in unintentional psychologicalharm, or damage the professional relationship.Social workers will remain sensitive to thevariety of ways in which clients and others mayinterpret physical contact, with particularreference to cultural and gender differences.

g) Recognising that conflicts of interest15 can arisefrom engaging in dual or multiple relationships16

with clients, former clients, researchparticipants, students, supervisees or colleagues,social workers will set and enforce explicit,appropriate professional boundaries to minimisethe risk of conflict, exploitation or harm.(Practitioners are called upon to defend theirbehaviour in the event of complaint orinvestigation regarding professionalmisconduct).

h) Social workers will not engage in any form ofsexual conduct17 with clients, students,supervisees, research participants or othersdirectly involved in a professional relationshipwhich invites trust and confidence in thepractitioner’s role and/or involves an unequaldistribution of power or authority in the socialworker’s favour.

i) Where the potential for exploitation or harmexists, social workers will not enter into anintimate or sexual relationship with a formerclient. In circumstances where any suchrelationship is considered, professionalconsultation is essential.

4.1.5 Practice competence

a) Social workers will act to maintain and expandtheir levels of current knowledge, theory andskill in order to provide quality service andaccountable practice.

b) Social workers will undertake practice onlywithin their areas of competence or wheretraining/supervision pertinent to their work roleis available or accessible.

c) Social workers will, throughout theirprofessional lifetime, utilise availablesupervision and consultation, or take activesteps to ensure that they receive appropriatesupervision, as a means of maintaining andextending practice competence.

d) Social workers will appraise new approachesand methodologies to extend their professionalexpertise.

e) Social workers will participate in developingand implementing culturally appropriateknowledge and practice, in order to ensurecompetence in the provision of culturallysensitive service18

f) Social workers will advance the knowledge baseof social work by facilitating and contributingto evaluation and research and sharing researchknowledge and practice wisdom withcolleagues.

g) Social workers will take appropriate action ifill-health, impairment or any other factor islikely to interfere with their professionaljudgment or performance of duty. They willseek to ensure that their clients, colleagues andemployers are not disadvantaged and will takesteps towards ensuring their continuing well-being both in their own interests and in theinterests of competent service.

15 See 4.2.2 & Guideline—Conflicts of interest16 See Glossary—Dual and multiple relationships17 See Glossary—Sexual conduct; Sexual harassment18 See Glossary—Culturally sensitive practice

14

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

4.2 Responsibilities to clients

4.2.1 Priority of clients’ interest

a) Social workers will maintain the best interestsof clients as a priority, with due regard to therespective interests of others.

b) In exceptional circumstances, the priority ofclients’ interests may be outweighed by theinterests of others, or by legal requirements andconditions. In such situations clients should bemade aware that their interests, or those ofothers, may be jeopardised.

c) Social workers will seek to safeguard the rightsand interests of clients who have limited orimpaired decision-making capacity when actingon their behalf, or when another person,whether legally authorised or not, is acting forthe client.

d) Social workers will collaborate with otherprofessionals and service providers in theinterests of clients, maintaining their privacy,and with clients’ knowledge and consentwhenever possible. Social workers will recognisethe right of client determination in this regardand where feasible, include clients in suchconsultations.

e) Social workers will identify and promote thelegitimate interests of involuntary clients,19

taking into account any conditions that apply totheir situation.

4.2.2 Conflicts of interest

a) Social workers will remain aware of thepotential for conflicts of interest20 which mayaffect their ability to exercise professionaldiscretion and unbiased judgment. Theseinterests may derive from personal, emotional,conscientious, sexual, familial, social, religious,financial, business, political, professional ororganisational factors.

Where such a situation is foreseeable, socialworkers should declare their interest to theemploying authority and negotiate a solution. Ifalready involved in a professional relationship whenthe conflict of interest arises, social workers shoulddeclare it and take appropriate action, such asconsulting with a senior person and, where relevant,the client or clients. This may result in renegotiatingthe professional relationship, or terminating it andreferring appropriately.

4.2.3 Client self-determination

a) Social workers will promote the self-determination and autonomy of clients, activelyseeking to enable them to make informeddecisions on their own behalf.

b) Social workers will discuss with clients theirrights and responsibilities and provide themwith honest and accurate available informationregarding:• the nature of the social work service being

offered• the recording of information and who will

have access to such information• the purpose, nature, extent and known

implications of the options open to them• the foreseeable potential risks and benefits

of proposed courses of action• their right to obtain a second opinion or to

refuse or cease service (where clients arevoluntary clients)

• their rights of access to records and toavenues of complaint.

c) Social workers will act to reduce barriers to self-determination for those who are unable to actfor themselves, because of factors such asvulnerability, disability, dependence.

19 See Glossary—Involuntary clients20 See Guideline—Conflicts of interest

15

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

d) Social workers will endeavour to minimise theuse of legal or other compulsion. Any actionwhich violates or diminishes the civil or legalrights of clients must be ethically, professionallyand legally justifiable. Action of this kindshould be taken only after careful evaluation ofthe situation and, if possible, in collaborationwith clients and other professionals.

4.2.3(1) Informed consent

a) Social workers will ensure that clientsunderstand informed consent21 and thecircumstances in which it may be required.

b) Where clients have limited capacity tocomprehend or grant informed consent, socialworkers will provide information in accordancewith clients’ level of understanding, restrictingtheir freedom of decision and action as little aspossible.

c) When informed consent is required and theclient cannot grant informed consent, socialworkers will, with the client’s permission ifapplicable, obtain informed consent from aparty empowered in accordance with relevantState legislation to provide consent on theclient’s behalf.22

d) Depending on their maturity and level ofunderstanding, children should be given theopportunity to indicate their assent or otherwiseto services/treatment when consent is requiredfrom their parents or guardians.

4.2.3(2) Involuntary clients

a) Social workers will recognise that in some casestheir ability to promote self-determination islimited because clients may be involuntaryclients or because clients’ actions pose a seriousthreat to themselves or others.23

b) In all cases where clients’ right to self-determination is limited by the social work role,duty of care, the law, or by other serviceproviders or parties, social workers will assistclients to negotiate and attain as muchautonomy as possible. In particular, involuntaryclients should be made aware of any limitationsthat apply to their right to refuse services andshould be advised how, and in whatcircumstances, information will be shared withother parties.

c) Social workers will encourage involuntaryclients to participate in decisions about thegoals, alternatives and services available tothem. Wherever possible or warranted, clientsshould be notified regarding decisions takenabout them, except where there is evidence thatthis information may bring about, or exacerbate,serious harm to individuals or the public.

d) Social workers engaged in statutory practice willacknowledge the nature and responsibility ofany legally mandated authority they carry andensure that the principles of natural justice areapplied in all cases. Social workers should adviseclients about such authority and its scope andshould ensure that any specific limitations aremade explicit within the working relationship.Social workers should always remain aware ofthe potential impact of informal or coercivepower on involuntary clients.

4.2.4 Cultural awareness

a) Social workers will acknowledge thesignificance of culture24 in their practice,recognising the impact their own racial andcultural identities, views and biases can have ontheir practice and on culturally different clients.

b) Social workers will obtain a working knowledgeand understanding of clients’ racial and culturalaffiliations, identities, values, beliefs andcustoms.

21 See Glossary—Informed consent22 See Glossary—Adult guardianship23 See Guideline—Involuntary clients24 See Glossary—Culture; Culturally sensitive practice

16

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

c) Social workers will recognise and acknowledgethe diversity within and among cultures, takinginto account individual, family, group andcommunity needs and differences.

d) Social workers will remain sensitive to, and seekto understand, particular perspectives andresponses, recognising that these may not alwaysbe in accord either with the social worker’sown, or with those of the general community.

e) Social workers will ascertain and take intoaccount the manner in which individual clientswish confidentiality to apply within theircultural context.

f) Social workers will endeavour to provideservices to clients in language they understand,using an independent, qualified interpreter and/or translator where feasible and appropriate.

g) When engaged in education, administration,policy development and the like, social workerswill promote awareness of cultural and cross-cultural issues and culturally sensitive practice.25

4.2.5 Information privacy/

confidentiality

a) Social workers will respect the right of clientsto a relationship of trust, to privacy andconfidentiality of their information26 and toresponsible use of information obtained in thecourse of professional service. This includes:• taking care not to intrude unnecessarily on

clients’ privacy when seeking information• obtaining informed consent from clients or

their authorised representatives to use theirinformation

• determining to whom clients wish suchinformation to be given or not to be given,and in what detail

• determining from whom information aboutclients may be requested

• treating information obtained from relativesor others about clients in the sameconfidential manner as clients’ information.

b) At the commencement of a professionalrelationship, social workers will inform clientsor their authorised representatives regarding:• the limits of confidentiality in any given

situation, explaining agency or legalrequirements regarding the recording,computerising or sharing of information

• the purposes for which information isobtained

• to whom the information may be madeavailable

• how the information may be used• the right to view or review their records.

c) Social workers will use confidential informationonly for the purpose for which it was acquired;or, with the consent of the client, for a directlyrelated purpose; or with lawful excuse (e.g.court subpoena; statutory requirement).

d) Social workers will communicate clients’confidences only to appropriate personnel,either in clients’ presence or with their informedconsent. When disclosing information, socialworkers will seek to protect clients’ privacy,limiting content to that required for the specificpurpose.(i) Confidences may be revealed without clients’

consent when compelling ethical or legalreasons prevail, for instance:

• to fulfil legal or statutory requirements (e.g.child protection)27

• to protect clients, other individuals or thepublic where the practitioner becomesaware that there is a risk to the client’ssafety or that of others.28

25 See Glossary—Culturally sensitive practice26 See Glossary—Information privacy; Confidentiality27 See Guideline—Conflicts of interest: Confidentiality28 See Glossary—Duty to warn; Guideline—Conflicts of interest: Confidentiality

17

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

(ii) Before taking action to disclose clients’confidences without consent, the level ofperceived risk should be carefully assessed,preferably in consultation with otherprofessionals. Clients should be notifiedwhen disclosure without consent is intendedor has occurred, unless this iscontraindicated by issues of potential harmor by legal provisions.

e) Social workers will obtain informed consent ofclients or their authorised representatives beforeclients’ activities are mechanically orelectronically recorded or observed by a thirdparty.

f) In situations where two or more people areinvolved, social workers will clarify the natureof confidentiality with participants. They willseek a commitment from members of groups torespect the privacy of shared information.

g) Social workers will ensure clients’ anonymityand remove identifying details when permittedto use confidential information for purposessuch as case presentation, consultation, teaching,research or education (c.f. 4.2.6.b.).

4.2.6 Recordsa) Social workers will record information

impartially and accurately, taking care to:• report only essential and relevant details• refrain from using emotive or derogatory

language• acknowledge the basis of subjective

opinions• protect clients’ privacy and that of others

involved in the situation.Where records are shared across professions oragencies, information should be recorded only tothe degree that it addresses clients’ needs andmeets the essential requirements of those to benotified. When transmitting confidentialinformation through mechanical or electronicchannels, particular attention should be given toprotection of privacy.

b) Before using clients’ records for any purposethat is not specifically authorised, social workerswill obtain the informed consent of clients ortheir representatives and will remove or omitidentifying information. Where it is not possibleto remove or disguise clients’ identities, theirknowledge and consent are particularlynecessary. In some circumstances, access toclient records may be officially authorised orrequired by statute. Before releasinginformation, the authority of the personrequesting access and the nature of that accessshould be checked to ensure that only relevantmaterial is released. Where consent of clientshas not been obtained, attempts should be madeto notify them that such access has beengranted.

c) Social workers will ensure that clients havereasonable access to official social work recordsconcerning them. However, if there arecompelling professional, ethical or legal reasonsfor refusing access, social workers should adviseclients of their right to request a review of thedecision through organisational or legal channels(e.g. Freedom of Information).

d) Social workers will take due care to protect theconfidences of others when providing clientswith access to records.

e) If clients are not satisfied with their records ortreatment, social workers will advise themregarding complaints mechanisms.

f) Social workers will protect clients’ records,store them securely and, where applicable, retainthem for any required statutory period.

g) When disposing of confidential records, paperfiles should be shredded or burned andmechanical or electronic records should becleared.

18

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

4.2.7 Termination/Interruption of

Service

a) Social workers will renegotiate or terminateprofessional relationships and services whenthese relationships and services no longer servethe interests or needs of clients.Whether the decision to renegotiate orterminate is that of clients or social workers,the reason for the decision should be consideredand discussed. Social workers should also discusswith clients their needs, options and preferencesbefore continuing or discontinuing services oroffering to seek transfer or referral.

b) Social workers will respect the right ofvoluntary clients to discontinue service, engageanother practitioner or seek a second opinion.Social workers should discuss with clients theissues involved, and, if termination is an option,offer assistance with the process.

c) When obliged to interrupt or terminate aprofessional relationship for personal orprofessional reasons, social workers will seek toadvise clients regarding the discontinuation ofservice and if possible, ensure their referral toanother professional person.

4.3 Responsibilities to colleagues

a) Social workers will relate to both social workcolleagues and colleagues from other disciplineswith respect, integrity and courtesy, seeking tounderstand differences in viewpoints andpractice.

b) When working in teams, social workers willutilise the expertise of other team members anddisciplines for the benefit of their clients.

c) Social workers will co-operate with otherdisciplines to promote and expand ideas,knowledge, theory and skills, experience andopportunities that improve professionalexpertise and service provision.

d) Before accepting as clients those who have beenreceiving services from colleagues or outsideagencies, social workers will obtain clients’consent to communicate appropriately withthose colleagues or agencies if this is considerednecessary.

e) Social workers will consider carefully thepotential for professional conflicts of interestwhere close personal relationships, social,business or sexual relationships with colleaguesare contemplated or existing.

f) Social workers will remain open to constructivecomment on their practice or behaviour. Anycriticism of colleagues’ practice or behaviourmust be defensible and must be dealt with in aprofessional manner.

g) Social workers will address suspected orconfirmed professional misconduct,incompetence, unethical behaviour ornegligence29 by a colleague through theappropriate organisational, professional or legalchannels. Social workers should familiarisethemselves with the complaints processes oftheir workplace and with the AASW proceduresfor complaints against members.30

29 See Glossary—Negligence; Malpractice30 See Glossary—Complaints procedures;

Appendix 2—Procedure for inquiries/complaints

19

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

4.4 Responsibilities in the

workplace

4.4.1 Service provisiona) Social workers will acknowledge and strive to

carry out the stated aims and objectives of theemploying organisation, agency or servicecontractor, consistent with the requirements ofthis Code.

b) Social workers will work towards the bestpossible standards of service provision and willbe accountable for their practice.

c) Social workers will use the organisation’sresources honestly and only for their intendedpurpose.

d) Social workers should appropriately challenge,and work to improve, policies, procedures,practices and service provisions which:• are not in the best interests of clients• are inequitable• are in any way oppressive, disempowering or

culturally inappropriate• demonstrate unfair discrimination.

e) When policies or procedures of employingbodies contravene professional standards, socialworkers should endeavour to effect changethrough consultation, using appropriateorganisational channels.

f) Social workers should take all reasonable steps toensure that employers are aware of the socialwork Code of Ethics and should advocate forconditions and policies that reflect its ethicalposition.

g) Social workers will uphold the ethical principlesand responsibilities of this Code, even thoughemployers’ policies or official orders may not becompatible with its provisions. Attempts toresolve conflicts between ethical principles andorganisational policies and practices should beconsistent with the values and principles of thisCode.31

h) Social workers engaging in action to improveservices or working conditions will be guided bythe ethics of the profession.

4.4.2 Management

In addition to the general provisions of the Code,social workers in management will undertake specificethical responsibilities.a) Acquaint organisational administrators with the

AASW Code of Ethics and its implications forsocial work practice. They should encourageemployers to recognise the principles andobjectives of the Code and to eliminateworkplace factors which prohibit or obstructadherence to its terms.

b) Encourage non-discriminatory policies andpractices and advocate for resources to meetclients’ needs.

c) Promote effective teamwork andcommunication and an efficient and accountablesocial work service.

d) Seek to obtain/maintain adequate staff levelsand acceptable working conditions for staff.

e) Arrange for appropriate professional supervisionfor social work staff.

f) Ensure that staff under their direction receiveongoing training and professional education andadvocate for adequate resources to meet staffdevelopment needs.

g) Provide or arrange debriefing, crisis and/orongoing support for staff, especially when theyexperience difficult or traumatic circumstances.

h) Use finances only for the purposes for whichthey are granted and account for theirexpenditure with accuracy.

31 See Guideline—Conflicts of interest: Workplace

20

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

4.5 Responsibilities in particular

settings

4.5.1 Education, training, supervision

and evaluation

In addition to the general provisions of the Code,social workers engaged in education, training,supervision or evaluation will undertake specific ethicalresponsibilities.a) Possess and maintain the necessary knowledge,

skill and methodology to perform these taskscompetently.

b) Seek to ensure that their professionalrelationships in these areas are constructive andnon-exploitative.

c) Include the social work profession’s ethicalvalues and principles as a component of theirinstructions.

d) Foster in social work students and supervisees aknowledge and understanding of both the socialwork profession and this Code, emphasising therelationship of these to their practice.

e) Inform students regarding their ethicalresponsibilities to agencies, supervisors andclients.

f) Seek to ensure that students are effectivelysupervised when on field placement.

g) Take all reasonable steps to ensure that socialwork students and social workers under theirsupervision act in accordance with the principlesof this Code.

h) Adhere to the principles of privacy andconfidentiality in the supervisory relationship,acknowledging any limitations that may apply inparticular circumstances.

i) Recognise that the supervisor’s role is intendedto be educational, supportive, developmentaland work- focused. In the event that superviseesrequest or require therapy, they should bereferred to another competent practitioner.

j) Evaluate the performance of students andsupervisees fairly and responsibly.

4.5.2 Research

In addition to the general provisions of the Code,social workers engaged in research will undertakespecific ethical responsibilities.a) Observe the conventions of ethical scholarly

inquiry when engaged in study and research.b) Utilise only appropriately qualified practitioners

to carry out research that requires theapplication of specialised techniques.

c) Place the interests of research participantsabove the social worker’s personal interests orthe interests of the research project.

d) Consider carefully the possible consequences forindividuals and society before participating in,or engaging in proposed research or evaluation,and also before publishing research results.

e) Submit research proposals to an appropriateethics or review body where applicable.

f) Ascertain that due care has been taken toprotect the privacy and dignity of researchparticipants.

g) Ensure that informed consent to participationhas been obtained from either the potentialparticipants or their representatives. In addition,children and others whose ability to provideconsent is compromised for any reason, shouldbe offered the opportunity to express theirassent or objection to research procedures andtheir views should be given due regard.

h) Consent must be given voluntarily, withoutcoercion or inferred disadvantage for refusal tocooperate. Participants should be informed thatthey may withdraw from a programme at anytime, taking into account stated conditions ofentry and closure, and without compromisingany treatment being received from a service.

i) Strive to protect research participants fromunwarranted physical, mental or emotionaldiscomfort, distress, harm, danger ordeprivation.

21

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

j) Seek to ensure the anonymity and/orconfidentiality of research participants and dataand discuss them only in limited circumstancesfor professional purposes. Any identifyinginformation obtained from or about participantsduring the research process will be treated asconfidential.

k) Report research and evaluation resultsaccurately and objectively, acknowledging thecontributions of others and respecting copyrightlaw. In research and scholarly endeavours, creditshould be taken only for work actuallyperformed.

l) Where feasible, inform research participants ortheir representatives of research results that arerelevant to them.

m) Bring research results that indicate ordemonstrate social inequalities or injustices tothe attention of the relevant bodies.

n) Store research material securely and for therequired period.

4.5.3 Private practiceIn addition to the general provisions of the Code,social workers in private practice will undertakespecific ethical responsibilities.a) Advise clients regarding fee schedules and any

costs before commencing professional serviceand charge only for hours and servicescontracted with them. When setting fees,reference to relevant AASW guidelines isrecommended.

b) Arrange appropriate temporary or substituteservice for clients when unavailable or unable tocontinue practice.

c) Inform clients and offer suitable referral whenclients’ needs fall outside the practitioner’s areaof expertise or ability to access services/resources.

d) Not solicit the clients of either their colleaguesor their place of employment for privatepractice.

e) Maintain practice records in accordance withthis Code.

f) Maintain adequate professional indemnity andpublic liability insurance coverage as aprotection for clients.

4.6 Responsibilities to the

profession

a) Social workers will uphold the dignity andintegrity of the profession and will inform theirpractice from a recognised social workknowledge base.

b) Social workers will strive for and promoteexcellence in the social work profession. Theywill engage in discussion about, and constructivecriticism of the profession, its theories, methodsand practices.

c) Social workers will promote the profession ofsocial work, its processes and outcomes and willdefend the profession against unjust criticism.

d) Social workers will take appropriate actionwhere a breach of this Code of Ethics occurs.32

e) Social workers will cooperate with both AASWinvestigations into matters of complaint againstthemselves or other social workers and therequirements of any associated disciplinaryhearings.

f) Social workers will report to the AASW and/orrelevant organisational body, persons whomisrepresent their qualifications as a socialworker, or their eligibility for, or membershipof, the AASW.

32 See Glossary—Complaints procedures; Appendix 2—Procedures for inquiries/complaints

22

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

5.1 Ethical decision-makingThis Code offers guidance in making decisions thatare ethically justifiable, but it intentionally does notspecify what to decide in particular situations.

Ethical decision-making is the process of criticalreflection, evaluation and judgment through which apractitioner resolves ethical issues, problems anddilemmas.33

These can occur in social work practice indiverse circumstances. Some examples are:• when the interests of clients conflict with those

of various other parties or with those of thesocial worker, organisation or wider system

• when conflict occurs between the care andcontrol functions of the social worker

• when there is a discrepancy between the needsand interests of clients and either theavailability and distribution of resources ordemands for efficiency and utility

• when the social worker’s ethical responsibilitiesconflict with the interests of otherprofessionals, groups of professionals, agencypolicies/procedures or legislative requirements.

Ethical dilemmas arise when a practitioner must makea choice between alternative courses of action, eachof which is supported by moral considerations andeach of which will result in an outcome that is, insome way, undesirable.

Practitioners should reflect on ethical problemsand dilemmas and make decisions about them in thelight of the values and principles outlined in this Code.At the same time they should be aware of their ownmoral, cultural, political, religious, societal andprofessional values and biases and the possibleinfluence of these on their judgments. Ethicalreflection can resolve problems and can assist one tofind one’s way through dilemmas.

When ethical values and principles conflict,social workers have a responsibility to decide whichwill take priority. While it may be difficult toarbitrate between values and principles which, in

the circumstances, appear to be of equalimportance, it is necessary to do so in order to cometo a decision and achieve an ethically justifiableresult.

On occasion, tensions may arise betweenobserving the Code principles and complying withlegal or other requirements. While social workersshould generally act in accordance with the law andwith organisational directives, neither the law northe direction of others should be taken as disposingof moral issues, problems and dilemmas or asoverriding moral obligations.

In evaluating morally complicated situations it isimportant to examine both the nature and context ofthe issues, as well as the potential consequences of theavailable courses of action. If at all possible, wherethe interests of clients are involved, clients shouldbe included in the decision-making process.

In this ethical decision-making process, it isimportant for social workers to incorporate generalprinciples of decision-making, including:• having full and relevant information on the

matter about which a decision is being made• taking reasonable steps to ensure that their

practice and decision-making is beingundertaken in an ethical manner

• exercising a duty of care in relation to thematter and associated decision-making

• observing and implementing the principles ofnatural justice (‘procedural fairness’)34

• being open in the decision-making process,within appropriate confidentiality requirements

• being accountable at all stages of their practiceand the decision-making process.

In making ethical decisions consultation withcolleagues, supervisors, and/or other competentprofessionals is advisable. Such consultation isessential when the situation is outside the socialworker’s experience or area of expertise. Socialworkers are often called upon to justify theirdecisions and should be able to demonstrate clearlythe factors involved in arriving at these decisions.

5 GUIDELINES FOR ETHICAL DECISION-MAKING

33 See Glossary—Ethical issues, problems and dilemma34 See Glossary—Natural justice

23

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

5.1.2 Conflicts of interest

Conflicts of interest may arise when relationships orcircumstances result in, or may be perceived toresult in, influencing, or having the potential toinfluence or affect, a social worker’s capacity towork in an objective and impartial manner. When aconflict of interest is foreseeable, or occurs, thesocial worker must identify the conflict of interest,declare it to the relevant person or authority, andtake appropriate action.

Where the public interest served by theprofession clashes with the private interests ofprofessionals, social workers must act in such a waythat their judgment is neither impaired nor seen tobe impaired. The social worker should refuse toaccept, or should refer, cases where it is not possibleto avoid such conflicts of interest.

This may be difficult when working in ruralcommunities or with specific groups, or in situationswhere the social worker is a sole worker, becauserefusal or referral may be impossible. In thesecircumstances, the conflict should be declared to theappropriate senior person and a solution negotiatedif possible. However, it may be necessary for thesocial worker and the client/s to acknowledge andwork with such conflicts within the situation. If nosupervisor or professional colleague is available forconsultation, social workers could contact theirAASW Branch Office or the AASW National Officefor assistance in accessing a support person.

Conflicts of interest can occur in differentcircumstances. These are some examples:

5.1.2(1) Involuntary clients

Tensions frequently arise when the social workfunctions of care and control conflict with theinterests of mandated or non-voluntary clients, orwith the requirements of the law, third partycontractors or other interested parties. Whenaddressing such conflicts, consultation with otherprofessionals is recommended. As far as is possible,social workers should be open with clients aboutsuch conflicts; should seek to involve clients inidentifying and negotiating the best possible

outcomes; and should advocate on behalf of clientsto gain reasonable rights and benefits in accordancewith organisational and societal objectives. At alltimes clients’ interests remain a priority, with dueconsideration for the respective interests of others.

5.1.2(2) Multiple clients

Where the interests of one client or group ofclients are actually in conflict, or could come intoconflict, with the interests of one or more others,the social worker should clarify with all partieswhose interests will take precedence - for example,where the social worker has more than one memberof a family, a business, or of some otherorganisation as clients; or where the prime mandateof the organisation/agency is clear, ie: hospitals topatients, child protection to the child, aged careteams to the aged person, and so on.

The social worker should also identify whoamong the parties will be considered the primaryclient or clients and should endeavour to minimisethe potential for conflicts of interest which mayarise from either the situation or associatedobligations such as ethical considerations or legalrequirements (as in child protection for example).

5.1.2(3) Confidentiality

When confidential disclosures by either adultclients or children imply that they, or other persons,are at risk of injury or harm, questions as to ‘Who isthe client?’ and ‘To whom do I owe primaryallegiance?’ create difficult dilemmas, particularlywhere mandatory reporting laws do not apply. Insituations of threatened or actual domestic or otherviolence or child abuse, the vulnerable person andher/his protection are the principal concerns. Socialworkers have an ethical obligation to shareappropriately information that will enhance suchprotection or that will inform relevant decision-making. Such disclosures may constitute a legitimatebreach of confidentiality.

On the other hand, when required by law toreport or divulge confidential information, tensionsmay arise between the legal demands and ethical

24

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

considerations. Following consultation, thepractitioner, relying on the Code, may decide thatmaintaining confidentiality is ethically justified inthe circumstances. However, reliance on the Codemay not protect the practitioner from legal sanction.It is important to be aware of legislation relating toprivacy of information (eg Commonwealth PrivacyAct 1988); Australian Standard AS4400 PersonalPrivacy Protection in Healthcare Information Systems; andof the Information Privacy Principles endorsed by thevarious State Privacy Committees.

5.1.2(4) Workplace

Conflicts may arise between adhering to theCode of Ethics and carrying out employmentdemands that are inconsistent with its provisions.Tensions among ethical considerations, officialorders, the interests of clients, contractualagreements and the need to remain employed may bevery difficult to balance and resolve. In thesecircumstances, social workers should seek thesupport of social work colleagues, supervisors ormanagers, where available. When the employer’sinterests or instructions conflict with ethicalpractice considerations, social workers should makethis clear to the employing authority and attempt tonegotiate a solution, protecting the best interests ofclients where these are involved.

If serious ethical conflicts continue, advice andsupport could be requested from the AASW, otherpertinent groups or the wider community.Challenging employers on ethical grounds mayexpose practitioners to organisational or legalcensure. Social workers should acknowledge andtake account of this in developing strategies toaddress the situation.

5.1.3 Conscientious objection

In exceptional circumstances, conscientiousobjection may be a justifiable ground for redirectingservice. Given the diversity of reasonable ethicalviews held by individuals within the social workprofession, the AASW respects the rights of socialworkers to refuse to engage in work that offendsagainst deeply held personal/moral/spiritual/cultural convictions. However, conscientiousobjection must be based on reasoning that isconsistent with the profession’s aims, values andprinciples and that includes a clear understanding ofthe social worker’s role and duty.

Conscientious objection should not be confusedwith a social worker’s unwillingness to confrontcertain issues or to work with particular clientsbecause of their personal fears, difficulties orlimitations. These are not generally ethical concerns,but matters for professional consultation andsupervision.

The ‘conscientious objection’ provision shouldnot be used:• to avoid examining personal values, stereotypes

or biases• to avoid fulfilling work expectations• to discriminate against clients• to deny service to clients.Social workers who foresee a possible conflictbetween such convictions and work duties shouldinform their current or prospective employers. Inthe event of such conflicts, they should notifycolleagues and superiors in order to reach a solutionwhich would not disadvantage clients, colleagues oremployers. This may mean re-directing clients toother practitioners or services.

25

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Adult Guardian: An Adult Guardian is a legallyappointed substitute decision-maker for an adultwho is not capable of making reasonedpersonal, medical or lifestyle decisions forthemselves. Office of the Public Advocate (1996)

Advocacy: Action for and with an individual orgroup. The practice of directly representing ordefending clients’ interests and ensuring thatclients’ rights or entitlements are maintained.Advocacy includes action to empower clients orcommunity groups; to enable self-determinationand/or self-advocacy; to promote access toservices, facilities or benefits; to achieverepresentation in decision-making processes.Corey, Corey & Callanan (1998); AASW (1996)

Autonomy: The ability to function independentlywithout coercion, duress or undue influence.Wyld; Rooney (1992)

Client (Social Work): One term used by socialworkers to refer to recipients of their services.Other terms include ‘consumers’, ‘customers’and ‘service users’. In this document, clients arethe individuals, groups, families, organisations orcommunities provided with social workservices. Clients may be divided into voluntaryclients and involuntary clients (see specificheadings). Banks (1995); Barker (1991); Rooney(1992)

Code of Ethics: An explicit statement of thevalues, principles and rules of a profession,providing a guide to, and regulating, the conductof its members. Barker (1991)

Competence: Fulfilling the educationalrequirements and having the capability toperform a specific task or duty. Competence insocial work involves acquiring and continuallydeveloping the knowledge, skills, and experienceto provide a professional, effective servicewhich reflects the values expressed in theprofession’s Code of Ethics. Competence in thelegal sense, refers to the capacity to comprehendand act rationally. Barker (1991); Wyld; Compton& Galaway (1979)

Complaints Procedures: Complaints againstmembers of the AASW can be made bycontacting an AASW Branch Office or byspeaking to the Convenor of the local BranchEthics Committee. The complaints mechanism isoutlined in Appendix 2 of this document andthe full procedure is contained in the AASW By-Laws on Ethics.

Confidentiality: The restriction of access topersonal information to authorised persons, atauthorised times, in an authorised manner.Social workers have an ethical responsibility torespect clients’ confidences, disclosinginformation obtained in the course of theirduties only with the consent or knowledge ofclients or their endorsed representatives. Inlimited circumstances, such information may berevealed under legal or authorised directive,through civil duty or to prevent harm (cf Duty toWarn). Privacy of Information Committee (1996);Bates et al (1985)

Culture: Affects every aspect of our lives becauseit influences our view of social andpsychological reality. Interpreted broadly, culturecan be associated with a racial or ethnic group aswell as with gender, religion, economic status,nationality, physical capacity or handicap, oraffectional or sexual orientation. Pederson(1944) describes culture as includingdemographic variables such as age, gender andplace of residence; status variables such associal, educational and economic background;formal and informal affiliations; and theethnographic variables of nationality, ethnicity,language and religion. (Corey, Corey & Callanan(1998)

6 GLOSSARY OF TERMS

26

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Culturally Sensitive Practice: Each racial grouphas philosophical, social, religious, political andcultural values, views and attitudes. To engagein ethical culturally sensitive practice, practitionersneed to be aware of, and analyse, their own andthe profession’s cultural origins, values, biasesand constructs. They need to: 1) become awareof and deal with the biases, stereotypes andassumptions about particular races and culturesthat underpin their practice; 2) become awareof the values and worldviews of culturallydifferent clients; 3) develop appropriateintervention strategies that take into accountthe racial, social, cultural, historical andenvironmental influences of culturally differentclients. (Meemeduma (1993); (Corey, Corey &Callanan (1998). Barker (1991) definesCulturally Sensitive Practice as:Professional social work that emphasises andvalues the special capabilities, distinctivecultural histories and particular needs of peopleof various indigenous and ethnic origins.

Discrimination: Ability in, and act of, perceivingdifferences and/or distinguishing betweenpeople or things. Negative discrimination -discrimination against: Prejudging and/ortreating people unfavourably on the basis ofdiscernible differences. Positivediscrimination - discrimination in favourof: Policy of favouring particularlydisadvantaged persons or groups when allocatingresources. The term is sometimes used todescribe the preferential treatment of apreviously victimised person or minority group.Wyld; Timms (1982); Barker (1991)

Dual/Multiple Relationships: Relationshipswith clients that are additional to the primaryprofessional relationship are termed dual ormultiple relationships. They may be professional,interpersonal, familial, social, sexual, financial orbusiness. Such relationships may blur theboundaries of the professional/clientrelationship, resulting in the potential forimpaired judgment, conflicts of interest andexploitation of the client. Dual or multiplerelationships may occur together with, or

following, the primary professional relationshipand may involve former clients. Corey, Corey &Callanan (1998)

Duty of Care: The obligation to take reasonable careto avoid acts or omissions which one canreasonably foresee would be likely to injureanother; also, the duty of people in particularcircumstances and occupations to protect andcontrol others. Duty of Care may be owed topersons in specific categories, such as by a doctorto a patient; a social worker to a client. The dutyis breached if a person fails to act in accordancewith the required standard of care. The standard ofcare which would be required of a social workerwould be the standard of competence of areasonable person possessing skills in the area ofsocial work. Thus, if the worker departs, forexample, from accepted professional practice (orif that practice itself is negligent) then breach ofthe legal standard of care might be regarded ashaving occurred (see Negligence). Bates et al (1985);Nygh et al (1997)

Duty to Warn: The responsibility to report threatsmade by a client, if the social worker believesthat the client will carry out such threats andthat they will result in danger, harm or injury tothe client or others. Where practitioners becomeaware, in the course of a professionalrelationship, that a risk to public safety exists,they will be excused from breachingconfidentiality where they disclose informationabout the risk in order to protect the public. Inthis context, ‘public safety’ includes instanceswhere the risk is to a particular individual. Someof these exemptions are established throughstatute, others through judicial interpretation ofthe law. Practitioners should be aware that theduty to warn is unlikely to arise in day to day casemanagement and so disclosure on this basis willbe a rare occurrence. In circumstances wheresocial workers consider that a client represents arisk to the public, they should carefully assessthe level of risk and, where possible, discuss thesituation with colleagues or superiors beforeacting. Rosen et al (1987); Privacy of InformationCommittee (1996); Bates et al (1985)

27

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Empower: To give power to, as in giving a personcapacity or enabling them to perform somephysical or mental activity.

Empowerment (Social Work): the process ofhelping individuals, families, groups andcommunities increase their personal,interpersonal, socioeconomic and politicalstrength and influence to improve theircircumstances. Wyld; Barker (1991)

Ethical Issues/Problems/Dilemmas: EthicalIssues pervade the social work task (includingwhat appear to be legal or technical matters) inthat social work takes place in the context ofthe welfare state, premised on principles ofsocial justice and public welfare, and the socialworker has professional power in therelationship with the user (client). EthicalProblems arise when the social worker sees thesituation as involving a difficult moral decision.Ethical Dilemmas occur when the socialworker sees her/himself as faced with a choicebetween two equally unwelcome alternativeswhich may involve a conflict of moralprinciples, and it is not clear which choice willbe the right one. Banks (1995)

Ethics: A system of beliefs held about whatconstitutes moral judgment and right conduct.Ethics are moral principles adopted by a culture,group, profession or an individual to providerules for ethical conduct. Corey, Corey & Callanan(1998)

Information Privacy: The right of individuals toexercise appropriate control over the extent towhich personal information about them isavailable to others. Privacy of InformationCommittee (1996)

Informed Consent: The law requires three mainelements for consent to be valid - capacity,information and volition. The person must bementally and legally competent to give consent.This requires an ability to understand andappreciate the nature and consequences of aprocedure or an intervention. Sufficientinformation must be provided to the person toenable her/him to come to a reasoned decision,based on full disclosure of the facts.Information should be provided clearly andcomprehensibly and should include the purposeof the service; the risks and benefits, limits andoptions; and the person’s rights. Consent mustbe freely given, without the imposition ofundue influence and may be either implied orexpressed orally or in writing. If a person is notlegally competent, consent may be obtainedfrom the legal guardian. In the event of legalaction regarding consent, the onus is on thepractitioner or the organisation to show thatconsent for intervention was obtained. NSWDepartment of Health (1992)

Interpersonal Practice: Includes, but is notlimited to, casework, counselling, clinicalintervention, work with individuals, couplesand families, referral etc.

Involuntary Clients: Unwilling clients whoinclude both non-voluntary clients - those whoreceive services under social duress (eg:individual, familial, organisational or situationalpressure) and mandated clients - those whoreceive services as a result of a legal directive.Barker (1991); Rooney (1992)

Malpractice: Wilful or negligent behaviour by aprofessional person that violates the relevantCode of Ethics and professional standards ofcare, proving harmful to the client. Barker(1991)

Mediation: An intervention based on a cooperativeproblem-solving process which seeks to resolvedisputes between parties. The process aims toclarify what is in dispute, reconcile differences,find compromises or reach mutually satisfactoryagreements. AASW (1996)

28

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Moral: Dealing with, or capable of distinguishingbetween, right and wrong.

Morals: Principles or standards with respect toright and wrong in conduct.

Morality: Concerned with perspectives of rightand proper conduct; involves an evaluation ofaction using some broader cultural context orreligious standard as a base. Wyld; Corey, Corey &Callanan (1998)

Natural & Civil Rights: Natural Rights: Thoserights which appertain originally and essentiallyto each person as a human being - rights whichare necessarily inherent, which are innate andwhich come from the very elementary laws ofnature such as life, liberty, the pursuit ofhappiness, self-preservation and personalsecurity. Natural rights include, for example, theright not to be deprived of life as a direct meansto an end; not to be deceived in the course offactual communication; not to be condemnedon charges which are known to be false; not tobe denied procreative capacity; and to beaccorded respectful consideration in anyassessment of the common good. Civil andPolitical Rights: Those protecting theindividual from the arbitrary exercise of powerby the State. Such rights include the right to life,liberty, freedom of movement, a fair trial andfreedom from discrimination. Paramount is thatall people have the right to self-determination.Civil Rights are distinguishable from NaturalRights in that they depend on the law forenforcement. Civil rights include the right ofevery citizen to seek redress of wrongs and theenforcement of rights in the courts, and as anincident to this, include the right of a party totestify in a criminal case in his/her own behalf.West Publishing Co. (1955): Nygh et al (1997)

Natural Justice (also Procedural Fairness): Theright to be given a fair hearing and theopportunity to present one’s case; the right tohave a decision made by a unbiased ordisinterested decision-maker; and the right tohave that decision based on logically probativeevidence. Denial of natural justice is a groundof review against an administrative decision. Atcommon law, denial of natural justice allows areview in circumstances where theadministrative decision might affect a person’srights, interests, or legitimate expectations.Rights or interests include personal liberty,status, preservation of livelihood and reputationas well as proprietary rights and interests (cfNatural and Civil Rights). Nygh et al (1997)

Negligence: Failure to exercise reasonable care orcaution resulting in others being subjected tounwarranted risk of harm; failure to fulfilresponsibility that is necessary to protect or helpanother. Contributory Negligence occurs when aperson’s failure to exercise prudent caution,combined with the negligence of another,results in harm to a third individual. Criminal(Culpable) Negligence occurs when one is soreckless, careless or indifferent to the safety ofothers that injury or death results. Barker (1991)

Principle: A moral, political or other rule, tenet orconviction which serves as a guide for conductor action - especially for right conduct. Wyld

Profession: The body of persons avowing orpractising a particular calling and publiclyespousing certain ideals, values, levels oflearning and expertise. Professions usually havea service orientation and fulfil a specific need orpurpose. Formal acceptance of a professionaloccupation is provided through publicrecognition and utilisation of the services itoffers. A profession enhances its publiccredibility by expanding its body of knowledge,refining its values and skills, ensuring that itsmembers comply with its established standardsand making public the actions it takes to reachthese goals. Wyld; Barker (1991)

29

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Professional: (n) A person who is eligible formembership of a particular profession; (adj) Thedegree to which a person behaves or acts inaccordance with the accepted values, conductand ethical code of a profession and is trainedand/or skilled in its methods. Wyld; Barker(1991)

Professional Relationship: The association orbond formed between a practitioner and clientin the course of their interaction. According toCompton & Galloway, the professionalrelationship is guided by two primary identifyingfactors: i) the overall purpose of the professionand its value system; ii) the character andpurpose of the practitioner/client interaction.The essential elements of all professionalrelationships are said to be: (1) concern for theother/s, (2) commitment and obligation, (3)acceptance and expectation, (4) empathy, (5)authority and power, (6) genuineness andcongruence. Compton & Galaway (1979)

Self-Determination: In social work, refers toclient self-direction; to the avoidance ofcoercive imposition, and to freedoms of variouskinds. Self-determination recognises the rights andneeds of clients to be free to make their ownchoices and decisions without interference. Self-determination may be limited in order toprevent harm. Timms (1982); Barker (1991)

Self-Fulfilment: Refers to the full development ofindividual potential. The freedom to develop tothe utmost, and accomplish, all that of which aperson is capable, in view of their character,natural faculties, powers, passions etc; especiallyregarded as the end of ethical action. Barker(1991); Wyld

Sexual Conduct: Includes sexual contact,behaviour and relationships; sexual expressions;unwarranted intrusion into a person’s current orformer sexual history or sexual preference; andsexual harassment. Commonwealth; ConsolidatedActs (1984)

Sexual Harassment: Unwelcome sexual advances,unwelcome requests for sexual favours or otherunwelcome conduct of a sexual nature incircumstances where a reasonable person wouldanticipate that the person harassed would beoffended, humiliated or intimidated. Conduct of asexual nature includes making lewd gestures andpropositions, touching someone who does notwant the touching or seeking to exchange sexualfavours for employment or other opportunities.Such conduct also includes making a statementof a sexual nature to a person, or in the presenceof a person, whether the statement is made orallyor in writing. In Australia, sexual harassment isagainst the law. Commonwealth; Consolidated Acts(1984); Barker (1991)

Social Justice: Fairness in the distribution of socialresources, rights, opportunities and duties. Fourbroad objectives of Social Justice are: 1) equity - toovercome unfairness caused by unequal access toeconomic and other resources and power; 2) rights- to gain equal effective and legal industrial andpolitical rights; 3) access - to ensure greaterequality of access to essential goods and services;4) participation - to create expanded opportunitiesfor real participation by all people in the decisionsthat govern their lives. Social Justice strategies areprimarily about implementation, planning and co-ordination, as well as about systematicredistribution of existing government resources,both financial and management. Graycar &Jamrozik (1989)

Values: Relative ethical beliefs or standardsconsidered desirable by a culture, group or anindividual. Values pertain to principles andattitudes that provide direction to everydayliving. They can be considered as preferred butunproven beliefs which guide and direct the workof the professional. Wyld; Barker (1991); Compton& Galaway (1979).

Value Statements: Refer to what is good, desirableand preferred; they represent a purpose or goaltoward which action is directed. Compton &Galaway (1979)

Voluntary Clients: Those clients who eitherrequest or agree to services. Barker (1991);Rooney (1992)

30

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Australian Association of Social Workers (1989) Codeof Ethics & By-Laws on Ethics, Canberra, AASW.

Australian Association of Social Workers (1996)‘Australian Coding Standards: Social Work CodingDefinitions’ in Official NCC Australian Version ofICD9CM, University of Sydney, National CodingCouncil.

Banks, S. (1995) Ethics and Values in Social Work,London, Macmillan.

Barber, J. (1991) Beyond Casework, London,Macmillan.

Barker, R.L. (1991) The Social Work Dictionary,Maryland, NASW Press.

Bates, F. et al (1985) The Australian Social Worker &the Law, UK, The Law Book Co. Ltd.

British Association of Social Workers (1996) A Codeof Ethics for Social Work, UK, BASW.

Canadian Association of Social Workers (1994) SocialWork Code of Ethics, Ontario, CASW.

Coady, M. & Bloch, S. (1996) Codes of Ethics and theProfessions, Victoria, Melbourne University Press.

Commonwealth; Consolidated Acts (1984) SexDiscrimination Act 1984 - Sect 28A Canberra, AGPS.

Compton, B.R. & Galaway, B. (1979) Social WorkProcesses, Illinois, The Dorsey Press.

Corey, G. Corey, M. & Callanan, P. (1998) Issues andEthics in the Helping Professions, USA, Brooks/Cole.

Graycar, A. & Jamrozik, A. (1989) How AustraliansLive, South Melbourne, Macmillan Australia.

Irish Association of Social Workers (1995) Code ofEthics, Dublin, IASW.

International Federation of Social Workers (1994)Ethics of Social Work – Principles and Standards,Norway, IFSW.

International Federation of Social Workers (1997)Policy Paper on Human Rights, Norway, IFSW.

Meemeduma, P. (1993) ‘Reshaping the Future:Cultural Sense and Social Work’ in Proceedings of the23rd Biennial Conference of the AASW, NSW,University of Newcastle.

National Association of Social Workers (1997) Codeof Ethics of the NASW, USA, Michigan StateUniversity.

New South Wales Department of Health (1992)Manual for Health Service Areas: Patient MattersManual, Sydney, NSWDOH.

New Zealand Association of Social Workers (1993)Code of Ethics & Bicultural Code of Practice, NZ,NZASW.

Nygh, Hon. Dr. P.E. et al (1997) ButterworthsAustralian Legal Dictionary, Sydney, Butterworths.

Office of the Public Advocate (1996) Guardianshipand Administration: An Introduction to Guardianship andAdministration in Western Australia, WA, Office ofthe Public Advocate.

Privacy of Information Committee (1996)Information Privacy: Code of Practice, Sydney, NSWDepartment of Health.

Rhodes, M. L. (1986) Ethical Dilemmas in Social WorkPractice, GB, Routledge & Keegan Paul.

Rooney, R.H. (1992) Strategies for Work withInvoluntary Clients, NY, London University Press.

Rosen, S. M., Fanshel, D. & Lutz, M.E. (1987)Encyclopedia of Social Work, Silver Springs NT,NASW.

Timms, N. & R. (1982) Dictionary of Social Welfare,London, Routledge & Keegan Paul.

West Publishing Co. (1955) Words and Phrases,Vol.28, St. Paul, Minn., West Publishing Co.

Wyld, H.C.(Ed) The Universal English Dictionary,London, Routledge & Keegan Paul.

REFERENCES

31

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

The International Covenant on Civil

and Political Rights (ICCPR)

• The International Covenant on Economic Socialand Cultural Rights

• The First Optional Protocol to the ICCPR• The Second Optional Protocol to the ICCPR• The Convention on the Elimination of all

Forms of Racial Discrimination (CERD)• The Convention against Torture and other Cruel,

Inhuman or Degrading Forms of Punishment(CAT)

• The Convention on the Elimination of AllForms of Discrimination against Women(CEDAW)

• The Convention on the Rights of the Child• Convention Concerning Discrimination in

Respect of Employment and Occupation(International Labour Organisation Conventionnumber 111)

• The Convention on the Prevention andPunishment of the Crime of Genocide

• The Convention on the Political rights ofWomen

• The Convention on the Nationality of MarriedWomen

• The Slavery Convention of 1926 (as amended)and the 1953 Protocol amending the 1926Convention

• The Supplementary Convention on theAbolition of Slavery, the Slave Trade, andInstitutions and Practices similar to Slavery

• The Convention on the reduction ofStatelessness

• The Convention relating to the Status ofStateless Persons

• The Convention relating to the Status ofRefugees of 28th July 1951 and the Protocolrelating to the Status of Refugees of 31 January1967

Human Rights Declarations to which

Australia Subscribes

• Declaration on the Rights of the Child• Declaration on the Rights of Mentally Retarded

Persons• Declaration on the Rights of Disabled Persons• Declaration on the Elimination of all forms of

Intolerance and of Discrimination Based onReligion or Belief

Legislation Relevant to the Above

Covenants and Declarations

• The Racial Discrimination Act 1975• The Sex Discrimination Act 1984• The Disability Discrimination Act 1992• The Human Rights and Equal Opportunity

Commission Act 1986

Appendix 1:

HUMAN RIGHTS TREATIES TO WHICH AUSTRALIA IS A PARTY

32

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

Inquiry re potential complaint to respondent’s AASW Branch

BEC convenor or delegate explains and manages complaint process

Negotiation/Mediation/Referral

Information gathering**

BEC decides if case to answer

Complaint proceeds to hearing

Hearing of complaint by Complaints Panel

Complaint dismissed* Complaint substantiated

Penalty not affectingmembership status

imposed by ComplaintsPanel

Penalty affectingmembership status

imposed by ComplaintsPanel

Decision of Complaints Panel open to appeal

Appeal to NEC

Reconsideration hearing

Formal complaint lodgedNo further action*

Negotiated/mediated resolution*

Complaint not accepted* Additional information gathering**

SUMMARY OF PROCEDURE FOR INQUIRIES RE COMPLAINTSREGARDING CONDUCT OF AASW MEMBERS

Penalty enactedby BEC*

Penalty enactedby AASW Directors*

* Matter recorded and sent promptly to National Office for storage.** Investigator appointed if required.

Appendix 2:

33

AA

SW

Co

de

of

Eth

ics

• 19

99 (

seco

nd

ed

itio

n)

ACKNOWLEDGMENTS

The Board of Directors wishes to thank the AASWNational Ethics Committee of 1999 for reviewingand rewriting the Association’s Code of Ethics.

Convenor: Marianne BushMembers: Diane Barnes

Wendy BowlesSuellen BullockClaire BundeyImelda DoddsHazel Schollar

Vice President Ethics: Kate BakerProject Officer: Narelle Grace

The Branch Ethics Committees (BEC) and theNational Ethics Committee (NEC) providedinformation and commentary, while material fromBEC, NEC and AASW files and records, social workjournals, conference proceedings and papers furnisheda substantial number of issues for considerationduring the review.

Consultation with ethicists Margaret M. Coadyand Andrew Alexandra and with AASW lawyer

Gerald Santucci resulted in valuablerecommendations which were incorporated into thedocument.

Numerous responses to consultations on the firstand subsequent drafts were received from socialworkers, consumers and employers. Contributionsadded substance to the overall revision of the Codewere incorporated into the final ‘recommendedrevisions’ document.

Thanks are due to:Elvira Ramanauskas (AASW), who prepared the

drafts and final document for publication; PeterLewis and Jenny Baker (CCAHS), who providedvaluable advice regarding statistical technology;Diane Barnes (NEC), who set up the database forrecording the questionnaire responses; and ElspethBrowne, who proof-read the ‘recommendedrevisions’ document.

JO GAHANational President[on behalf of the Board of Directors]25 January 2000