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41

Ethical, Legal, and Professional Considerations in Assessment

chapter

3

Regardless of the degree to which you think you will use assessment in your practice, it is quite important to understand ethical and legal considerations. Ethical guidelines, assess- ment standards provided by professional organizations, and legal statutes and key court decisions collectively play a role in how counselors perform various assessment activities. In this chapter some of the standards and guidelines within professional organizations that are useful for evaluating tests and test usage are discussed. Then, specifi c ethical and legal considerations related to counselor competence and client welfare—as well as other professional issues in testing—are presented.

Test Your Knowledge

Select the most appropriate choice for each item.

1. The major responsibility for proper assessment use falls on the _________.

a. Publisher b. Test developer c. Counselor who uses the test d. Client

□ T □ F 2. Due to the nature of testing, informed consent is not required for test administration.

□ T □ F 3. The ACA Code of Ethics contains a section on assessment ethics.

□ T □ F 4. There are advocacy groups in existence to protect against test restriction lawsuits.

5. ACA’s divisions provide assessment standards for which of the following specialty areas?

a. School counseling b. Substance abuse counseling c. Career counseling d. All of the above

Hays, D. G. (2013). Assessment in counseling : A guide to the use of psychological assessment procedures. American Counseling Association. Created from waldenu on 2023-09-16 12:14:22.

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42 • Foundations of Assessment in Counseling

Standards and Guidelines for Evaluating Tests and Test Usage Several sets of standards have been published by professional organizations concerning the development and use of psychological assessment procedures. Counselors should be familiar with each set of standards or guidelines for test usage presented in this section. In this section several important documents that affect test usage are presented: the ACA Code of Ethics (ACA, 2005); the NBCC Code of Ethics (National Board for Certifi ed Counselors [NBCC], 2005); Standards for Educational and Psychological Testing (AERA, APA, & NCME, 1999); Joint Committee on Testing Practices documents; and ACA general testing stan- dards, such as the Responsibilities of Users of Standardized Tests (RUST), Standards for Quali- fi cations of Test Users, the ACA Position Statement on High Stakes Testing, and the Association for Assessment in Counseling and Education (AACE) Standards for Multicultural Assessment.

In addition to these general standards and guidelines, AACE has developed several specialty standards in collaboration with other ACA divisions. These specialty standards include Career Counselor Assessment and Evaluation Competencies (AACE & National Ca- reer Development Association [NCDA], 2010); Marriage, Couple and Family Counseling As- sessment Competencies (AACE & American Association for Marriage and Family Therapy [AAMFT], 2010); Standards for Assessment in Mental Health Counseling (AACE & American Mental Health Counselors Association [AMHCA], 2010); Competencies in Assessment and Evaluation for School Counselors (AACE & American School Counselor Association [ASCA], 1998); Standards for Assessment in Substance Abuse Counseling (AACE & International As- sociation of Addictions and Offender Counseling [IAAOC], 2010); and guidelines for pre- employment testing (AACE & American Rehabilitation Counseling Association [ARCA], 2003). Web links for most of these guidelines and standards are presented in Appendix B.

ACA Code of Ethics

The ACA Code of Ethics (ACA, 2005) specifi es principles of ethical conduct and standards of professional behavior for counselors. Section E of the 2005 code provides information on evaluation, assessment, and interpretation. Section E components outline the following: general assessment purposes; issues surrounding competence, informed consent, and as- sessment data reporting; diagnosis; instrument selection; test administration, scoring, and interpretation; diversity in assessment; assessment security; use of outdated assessments and results; assessment construction; and forensic evaluation.

NBCC Code of Ethics

Section D of the NBCC Code of Ethics (NBCC, 2005) refers to standards for measurement and evaluation. These codes were developed from the above-mentioned ACA Code of Eth- ics as well as the RUST Statement (described below), among others. The NBCC codes were initially proposed in 1982 and are now in their seventh revision. Themes of the 15 compe- tencies include competence, informed consent, instrument selection, test administration and interpretation, data reporting, use of obsolete materials and results, test security, tech- nology, and reproduction of test materials and results.

Standards for Educational and Psychological Testing

The Standards for Educational and Psychological Testing (AERA, APA, & NCME, 1999) provide criteria for evaluating both the tests themselves and use of the tests. The crite- ria were prepared by a joint committee of the American Educational Research Associa- tion (AERA), the American Psychological Association (APA), and the National Council on Measurement in Education (NCME). Originating in 1954 with a sixth revision in 1999, the standards are presently undergoing a seventh revision. Originally, this publication em-

Hays, D. G. (2013). Assessment in counseling : A guide to the use of psychological assessment procedures. American Counseling Association. Created from waldenu on 2023-09-16 12:14:22.

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43 Ethical, Legal, and Professional Considerations in Assessment •

phasized technical standards for test construction and evaluation. As the editions evolved, the joint committee placed increased emphasis on the responsibilities of the test user and the need for fairness in testing. Adherence to the standards by counselors should help to improve testing practices and reduce criticism of tests and test usage.

A portion of the Standards for Educational and Psychological Testing deals with the technical quality of tests and test materials and the standards to be followed by test developers and test publishers before distributing the test. Test publishers and authors make money from the sales and royalties on tests that are sold, and there is an obvious temptation to exaggerate the useful- ness or the validity of such tests. The committee that developed the standards placed consid- erable emphasis on the importance of “truth in advertising” in test publishing. Test manuals should provide evidence of both reliability—including information regarding the methods of estimating reliability and the populations on which reliability was measured—and validity, including types of validity studies and validity relevant to the intended use of the test.

Certain standards are designed to prevent the premature sale of tests for general use and to specify when the test is to be released for research purposes only. The Standards for Educational and Psychological Testing emphasize that the test manual should not be designed to sell the test but should include adequate information about the administration, scoring, norms, and other technical data to permit the potential user to evaluate the test itself and its potential use as well as to properly interpret its results.

Joint Committee on Testing Practices Documents

The Joint Committee on Testing Practices (JCTP) was established in 1985 as a forum for counseling- and education-related associations to collaborate for the common good for fair, accessible, and appropriate use of tests. The overarching goal of JCTP was to improve test use through education, not to limit test access (Naugle, 2009). Throughout its existence, JCTP included representatives from the ACA, AERA, APA, American Speech-Language- Hearing Association, National Association of School Psychologists, National Association of Test Directors, and NCME. Although JCTP disbanded in 2007, their documents are still very useful to counselors. A brief description of some of the major documents (Responsible Test Use, Rights and Responsibilities of Test Takers, Code of Fair Testing Practices in Education) from its working groups are provided here.

Responsible Test Use Research conducted under the auspices of JCTP has identifi ed 86 competencies required for the proper use of different instruments (Eyde, Robertson, & Krug, 2010; Moreland, Eyde, Robertson, Primoff, & Most, 1995). Of the 86 competencies, 12 embody minimum profi ciencies for all test users, such as avoiding errors in scoring and recording, using set- tings for testing that allow for optimum performance (e.g., adequate room), and establish- ing rapport with examinees to obtain accurate answers (see Table 3.1).

Factor-analytic research indicates that the 86 competencies can be reduced to seven broad factors: comprehensive assessment, proper test use, psychometric knowledge, integrity of test results, scoring accuracy, appropriate use of norms, and interpretive feedback. On the ba- sis of research regarding test misuse, the relative signifi cance of the seven factors varies with the particular type of test. For example, competencies in comprehensive assessment are more important in using clinical tests, whereas skills in the appropriate use of norms are more important in vocational tests (Moreland et al., 1995). Examples of appropriate and inappro- priate test usage based on the 86 competencies and seven broad factors are provided in the casebook, Responsible Test Use: Case Studies for Assessing Human Behavior (Eyde et al., 2010).

Rights and Responsibilities of Test Takers In one of its efforts to improve testing practices, the JCTP developed a statement that lists the rights and responsibilities of individual test takers: Rights and Responsibilities of Test Takers

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44 • Foundations of Assessment in Counseling

Guidelines and Expectations (JCTP, 1999). For example, test takers have a right to know the purpose of testing, who will have access to their scores, how the tests will be used, and possible consequences of taking or not taking the test. They also have personal responsibilities, such as reading or listening to descriptive test information, informing test administrators of special needs, and asking questions about specifi c concerns they might have.

This document also provides detailed guidelines for test administrators to ensure that test takers receive their rights and understand their responsibilities. As test administrators, counselors should clarify the rights and responsibilities of test takers and obtain informed consent before proceeding with testing. They should be able to offer reasonable accom- modations for test takers with disabilities. Counselors should provide appropriate infor- mation to clients concerning the testing process, such as suggestions for test preparation, scoring procedures, opportunities to retake the test, provisions for feedback, availability of interpretive materials, and confi dentiality safeguards.

Code of Fair Testing Practices in Education Whereas the document discussed above outlines the rights and responsibilities of test takers— and the expectations professionals have of them—the Code of Fair Testing Practices in Education (JCTP, 2004) outlines the primary obligations of professionals toward test takers. This code, fi rst issued by the JCTP in 1988, has been updated and expanded (JCTP, 2004). The code focuses on the development and use of educational tests from the standpoint of fairness to all test takers regardless of age, gender, disability, race, ethnicity, or other personal characteristics. The revised version of the code lists a total of 31 standards for test developers and test users in four areas: developing and selecting appropriate tests, administering and scoring tests, reporting and interpreting test results, and informing test takers.

These standards, which complement the Standards for Educational and Psychological Test- ing, are not mandatory as such, but they are intended to inspire test developers and test users to consider the importance of fairness in all aspects of testing. For example, test users are encouraged to evaluate test materials for offensive language, to select tests that have been modifi ed appropriately for clients with disabilities, and to consider to what extent test performance for individuals from diverse subgroups may have been affected by factors unrelated to the skill being assessed.

Table 3.1 Twelve Minimum Competencies for Proper Use of Tests

Item No. Competency

1. Avoiding errors in scoring and recording 2. Refraining from labeling people with personally derogatory terms like dishonest on the basis

of a test score that lacks perfect validity 3. Keeping scoring keys and test materials secure 4. Seeing that every examinee follows directions so that test scores are accurate 5. Using settings for testing that allow for optimum performance by test takers (e.g., adequate

room) 6. Refraining from coaching or training individuals or groups on test items, which results in

misrepresentation of the person’s abilities and competencies 7. Being willing to give interpretation and guidance to test takers in counseling situations 8. Not making photocopies of copyrighted materials 9. Refraining from using homemade answer sheets that do not align properly with scoring keys 10. Establishing rapport with examinees to obtain accurate scores 11. Refraining from answering questions from test takers in greater detail than the test manual

permits 12. Not assuming that a norm for one job applies to a different job (and not assuming that

norms for one group automatically apply to other groups)

Note. From “Assessment of Test User Qualifi cations: A Research-Based Measurement Procedure,” by K. L. Moreland et al., 1995, American Psychologist, 50, p. 16. Copyright 1995 by the American Psychological Association. Reprinted with permission.

Hays, D. G. (2013). Assessment in counseling : A guide to the use of psychological assessment procedures. American Counseling Association. Created from waldenu on 2023-09-16 12:14:22.

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45 Ethical, Legal, and Professional Considerations in Assessment •

Responsibilities of Users of Standardized Tests The AACE, one of the ACA divisions, developed a policy statement titled Responsibili- ties of Users of Standardized Tests (referred to as the RUST Statement). Now undergoing a fourth revision, the RUST Statement lists responsibilities of test users in seven categories: qualifi cations of test users, technical knowledge, test selection, test administration, test scoring, interpretation of test results, and communication of test results. A model devel- oped by the Test User Qualifi cations working group is included in the third edition of the RUST Statement.

Standards for Qualifi cations of Test Users The Standards for Qualifi cations of Test Users (ACA, 2003) was developed by the ACA Standards for Test Use Task Force. This document was based on the Standards for Edu- cational and Psychological Testing as well as ACA and ASCA ethical standards, the RUST Statement, and JCTP documents. The document includes seven competencies: testing prac- tice and knowledge, knowledge of technical aspects and test construction, knowledge of sampling techniques and norming considerations, test selection and administration to ap- propriately apply in the counseling context, test administration and interpretation of test scores, diversity considerations, and a general understanding of ethical and legal consid- erations for appropriate test use and the documents that guide it.

ACA Position Statement on High Stakes Testing The ACA Position Statement on High Stakes Testing (ACA, n.d.) includes 10 recommend- ed principles to consider with use of high-stakes achievement tests, which are increasingly common as a result of the No Child Left Behind (NCLB) Act of 2001. Developed using similar documents as the ACA Standards for Qualifi cations of Test Users, the position state- ment outlines principles related to the following: alignment of assessments with academic and curricular standards; use of multiple measures; awareness of the impact of testing on students; students’ equitable access to learning; availability of student remediation; provi- sion of testing resources; technical quality of tests; utility and comprehensiveness of test purpose, fi ndings, and applications for all involved; validity of scores for diverse groups; and policies that allow for a fair and accurate high-stakes testing process.

AACE Standards for Multicultural Assessment Originally published in 1992, the AACE Standards for Multicultural Assessment is now in its fourth edition (AACE, 2012). The third revision in 2003 relied on fi ve source documents: the Code of Fair Testing Practices in Education, RUST Statement, Standards for Educational and Psychological Testing, Multicultural Counseling Competencies and Standards (Sue, Arredondo, & McDavis, 1992), and the 1996 version of the ACA Code of Ethics. The 38 multicultural assessment standards of the latest version are categorized into fi ve major clusters: advo- cacy, selection of assessments, administration and scoring of assessment, interpretation and application of assessment results, and training in the uses of assessments.

Specialty Assessment Standards The AACE, in collaboration with several ACA divisions, has developed specialty stan- dards to guide testing practices in more specifi c counseling specialties such as career, mar- riage and family, mental health, school, substance abuse, and rehabilitation counseling. Many of these specialty standards will be expanded upon in other parts of the text, so I provide only a general description here.

The Career Counselor Assessment and Evaluation Competencies, adopted formally by the AACE and NCDA in 2010, outlines eight general competencies to assist career counsel- ors in assessment and evaluation practices with students, clients, and other stakeholders. Specifi cally, career counselors are to be skilled in choosing assessment strategies; identify- ing, accessing, and evaluating instruments; using appropriate administration and scor- ing techniques; interpreting and reporting results; using results appropriately in decision

Hays, D. G. (2013). Assessment in counseling : A guide to the use of psychological assessment procedures. American Counseling Association. Created from waldenu on 2023-09-16 12:14:22.

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46 • Foundations of Assessment in Counseling

making; producing, interpreting, and presenting sound statistical information; engaging in responsible assessment and evaluation practices; and using results with other data sources in career programs and interventions.

The Marriage, Couple and Family Counseling Assessment Competencies, a col- laboration with the AAMFT in 2009, articulates fi ve competencies for appropriate assessment practices in couples and family counseling. These competencies refer to understanding (a) historical perspectives of systems concepts, theories, and assess- ment methods; (b) basic technical aspects of assessments; (c) qualitative and quantita- tive concepts of assessment; (d) strengths and limitatio

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