Assessment Tool Analysis

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

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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-

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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.

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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

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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 limitations of assessment and diagnosis models; and (e) appropriate test selection, administration, and interpretation for work with couples and families.

The Standards for Assessment in Mental Health Counseling was developed by the AACE and AMHCA in 2010 to highlight important knowledge and skill areas related to mental health counseling assessment. The 12 standards refer to such competencies as the use of interview and qualitative assessment procedures; instrument evaluation, selection, and usage; diversity considerations; technical knowledge; appropriate application of as- sessment results to treatment planning and interventions; communication of test results; use of assessment to determine treatment effi cacy; continuing education in assessment; knowledge of and adherence to ethical use of assessments; and pedagogical considerations for appropriate training.

The Competencies in Assessment and Evaluation for School Counselors, with its origi- nal version in 1998 adopted by the AACE and ASCA, includes nine competencies for ef- fective school counseling assessment practices. These competencies include reference to components such as test selection and access, technical knowledge, test interpretation and communication, use of test result for decision making, implementation of school counselor programs and the appropriate interpretation of evaluations, adaptation of assessments to meet local needs, and engagement in professionally responsible assessment and evalua- tion practices.

The AACE and IAAOC adopted in 2010 the Standards for Assessment in Sub- stance Abuse Counseling, involving 10 standards for appropriate substance abuse assessment. Areas covered in the standards include effective assessment of the effects and withdrawal symptoms of commonly abused drugs; assessment of co-occurring disorders, including process addictions; technical knowledge; use of multiple measures; test selection; test interpretation and appropriate use of find- ings in substance abuse counseling interventions; continuing education; and peda- gogical considerations.

The document titled Pre-Employment Testing and the ADA, adopted in 2003 by the AACE and ARCA, provides useful information for counselors working with clients with disabilities under the Americans With Disabilities Act (ADA). Specifi cally, sections of the document refer to validity considerations; general testing accommodations in terms of test format, time limits, and test content; accommodations for specifi c dis- abilities; and resources.

Activity 3.1 Ethical Guidelines and Standards Select at least two of the above ethical guidelines and testing stan- dards listed in Appendix B or the References list. Review the docu- ments carefully. How are these documents similar to each other? How are they different? Which statements or codes may be partic- ularly challenging for you? How might you refer to these in your counseling practice?

• • •

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47 Ethical, Legal, and Professional Considerations in Assessment •

Tip Sheet

Ethical Assessment

✓ Review all pertinent ethical standards, required lists of competencies, and other doc- uments described in the previous section prior to selecting an assessment tool.

✓ Be sure you are well-trained and competent in the assessment process overall as well as for specifi c assessment tools. As discussed in this chapter, competence is usually deter- mined by professional organizations, state credentialing bodies, and test publishers.

✓ Have a basic understanding of key psychometric terms, such as validity, reliability, standardization, test construction, measurement error, and scales of measurement. Statistical and measurement considerations are discussed in Chapters 5 and 6.

✓ On a related note, review the testing manual or assessment materials for psycho- metric evidence as well as the history of how, with what sampling frame, and under what circumstances the test was developed. This information will be extremely im- portant as you decide which tools to use and how to interpret fi ndings.

✓ Adopt a philosophy that assessment is a part of counseling to promote client wel- fare. Collaborate with your clients throughout the counseling process regarding what, when, how, and why various assessments will be used. Engage in ongoing informed consent.

✓ Review limits of confi dentiality and process with clients who should receive assess- ment data about them and why.

✓ Select assessment tools that are culturally appropriate and do not perpetuate client stereotyping. Use multiple assessment methods to provide a comprehensive picture of your client.

✓ Consider under what conditions clinical diagnosis is necessary. Communicate clear- ly to the client the purpose, strengths, and limitations of diagnosis. Provide a proper diagnosis using multiple assessment methods, considering cultural bias throughout the diagnostic process. Cultural considerations in diagnosis are discussed further in Chapters 4 and 8.

✓ Create appropriate, comfortable, and organized assessment conditions for the client. Administration factors will play an important role in ethically sound test interpreta- tion and may help reduce test anxiety for clients.

✓ Assessment results, when inappropriately interpreted or disclosed, can have very damaging consequences for clients. Avoid using assessment tools that are either out- dated or have content or scoring and interpretation methods that are not appropriate for your client.

✓ Be sure to disclose results to relevant individuals, with the consent of clients as ethi- cally required. Continually assess test security and misuse of testing. Involve clients as relevant in the test communication process.

✓ Confi rm that clients understand any assessment fi nding. As you interpret a tool, check in with clients to gauge whether they understand the content of what is pre- sented as well as what the results may mean for them.

Key Ethical and Legal Considerations in Assessment

There are a number of situations in which ethical principles are called into question when psychological tests are used in counseling and placement. Two major interdependent con- siderations are highlighted in this section: counselor competence and client welfare. In addition, there are several federal and state laws and regulations—as well as major court

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48 • Foundations of Assessment in Counseling

decisions—that impact assessment in counseling (see Table 3.2). Review these legal con- siderations and consider how they might relate to ethical guidelines and assessment stan- dards discussed in the previous section (see Activity 3.1 on p. 46).

Table 3.2 Key Laws, Regulations, and Court Decisions Affecting Assessment in Counseling

Civil Rights Act, Title VII (1964, 1972, 1978, and 1991)

Family Educational Rights and Privacy Act of 1974 (FERPA)

Education of All Handi- capped Children (Pub. L., 94-142), Individuals With Disabilities Education Improvement Act (IDEIA, Pub. L., 99-457; amendment of Pub. L., 94-142)

Vocational Education Act of 1984 (Pub. L., 98-524)

Education of the Handi- capped Act of 1990 (Pub. L., 101-476)

Americans With Disabilities Act of 1990 (ADA)

Health Insurance Portability and Accountability Act (HIPAA) of 1996

No Child Left Behind Act of 2001

Larry P. v. Riles (1974, 1979, 1984)

Diana v. California State Board of Education (1973, 1979)

Sharif v. New York State Educational Development (1989)

Griggs v. Duke Power Company (1971)

Bakke v. California (1978)

Assessments used in employment testing must not discriminate against individuals based on age, race, gender, pregnancy, religion, or national origin.

Student test records are to remain secure from unnecessary parties. FERPA advocates for the rights of student and parental view of these records.

Pub. L., 94-142 requires parent informed consent before assessing students’ abilities in order to determine exceptional needs and to develop individualized education plans to maximize educational opportunities. The 2004 amendment (Pub. L., 99-457) extends the right of appropriate education to children 3 years and older, encour- aging states to intervene early for children with disabilities. Students have the right to be tested for disabilities at the school system’s expense and must subsequently be provided with the “least restrictive environment” for learning.

Also referred to as the Carl D. Perkins Act, individuals who are disad- vantaged (e.g., language barrier, disability, incarcerated individuals) are entitled to receive vocational assessment and support.

Students with disabilities are entitled to a supportive transition from school to vocational rehabilitation, adult services, employment, or further education.

Tests used for employment or other selection purposes must accurately measure an individual’s ability without being confounded by the disability itself. Also, individuals with disabilities must receive test accommodations as needed.

Client records must remain secure and third parties are to obtain appropriate consent to access those records. Clients have the right to their health records.

States are to continually assess mathematics and reading skills of its students to ensure quality in schools. Schools are held accountable for student test scores in these areas.

Ruled that schools had used intelligence tests that were biased and disadvantaged African American students, placing them inappropri- ately in special education. Counselors need proper documentation when placing children in special education.

Schools are to provide tests to students both in their fi rst language as well as in English. Counselors are to provide tests in an appropriate language for the client.

Those working in New York schools (including school counselors) could not use only SAT scores for making scholarship decisions.

A plaintiff must demonstrate job discrimination and an employer must demonstrate that hiring procedures are job related and associated with job performance.

Colleges and universities cannot use a quota system for minority group admissions.

Note. Pub. L. = Public Law; SAT = Scholastic Aptitude Test. Information from E. D. Bennett & Hastings (2009) and Erford et al. (2011).

Law or Court Decision Description Public Laws

Select Court Decisions

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49 Ethical, Legal, and Professional Considerations in Assessment •

Counselor Competence in Testing

An important ethical issue concerns the competence of the counselor to use the various available assessments. The issue is whether those who use various tests have suffi cient knowledge and understanding to select tests intelligently and to interpret their results. Because different tests demand different levels of competence for their use, users must recognize the limits of their competence and make use only of instruments for which they have adequate preparation and training. The administration and interpretation of individ- ual intelligence tests, such as the Stanford–Binet or the Wechsler tests; certain personality tests, such as the MMPI-2; or projective personality tests, such as the Rorschach or the TAT, require considerable advanced training and practice to obtain the necessary background and skill for their appropriate use. The question then becomes this: Who determines if a counselor is competent to use tests? Three sources are discussed in this section. It is impor- tant to mention here that even though these sources help dictate who is competent to use tests, the ultimate responsibility falls on the counselor to decide if he or she is competent to avoid test misuse.

Test Publishers A number of test publishers set levels of competency to determine who can purchase and use tests; they often require a statement of qualifi cations from purchasers of psychologi- cal tests (Naugle, 2009). Tests are graded by levels in regard to the amount of background and experience required and are sold only to those who meet the standards required for particular tests. These levels of qualifi cations are usually included in the test publishers’ sales catalogs. Psychological Corporation, for example, provides four levels: Level A (no qualifi cations needed); Level B (master’s degree in psychology-related or education-relat- ed fi eld, appropriate training, or membership in appropriate professional organizations); Level C (doctorate in psychology-related or education-related fi eld, appropriate training, or license or other credential that requires assessment training/experience); and Level Q (specifi c background in a specifi c test, ethical training in assessment). Multi-Health Sys- tems, another publishing company, uses predominately Level B and C designations. Level B requires appropriate coursework in a program or other training, and Level C includes Level B requirements as well as an advanced degree and training and experience in test use (Naugle, 2009).

Some publishers do not use competency levels. For example, Western Psychological Services only requires you to be a “qualifi ed professional.” Test users typically compile a qualifi cation questionnaire, and the publisher determines if they are qualifi ed (Naugle, 2009). In addition to individual publisher criteria for test user qualifi cation, Naugle (2009) noted that professionals must also attest to the Standards for Educational and Psychological Testing (AERA, APA, & NCME, 1999). Interestingly, the standards themselves do not re- quire counselors to adhere to the level process set by test publishers.

Professional Associations Counselors are also to review their professional associations’ ethical codes and other rel- evant documents. Fortunately, there is agreement among those who determine competence. For example, counselors graduating from a Council for the Accreditation of Counseling and Related Educational Programs (CACREP) or CACREP-equivalent program will have met at least Levels A and B because the qualifi cations are written in the standards. Naugle (2009) noted that most professional associations accept the following test publisher qualifi cations and criteria: coursework in tests and measurements; graduate degree in a counseling-related fi eld; supervised experience in testing; appropriate levels of training for specifi c tests; and appropriate rationale for test use in diagnosis, treatment planning, and interventions. Fur- thermore, state licensure laws parallel CACREP curricular standards and often require a passing score on the National Counselor Examination as well as supervised experience.

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50 • Foundations of Assessment in Counseling

States As part of their legal statutes, states attend to testing use. State licensure boards also deter- mine test user competence. According to Naugle (2009), all states consider counselors as licensed/certifi ed professionals. Thus, all states recognize assessment as part of the daily practices of counselors. Furthermore, the ACA’s 1994 licensure bill infl uences how state licensure boards determine scope and sometimes practice of assessment. Glosoff, Benshoff, Hosie, and Maki (1995) defi ned assessment in the bill as follows:

Assessment shall mean selecting, administering, scoring, and interpreting psychological and educational instruments designed to assess an individual’s attitudes, abilities, achievements, interests, personal characteristics, disabilities, and mental, emotional, and behavioral disor- ders and the use of methods and techniques for understanding human behavior in relation to coping with, adapting to, or changing life situations. (p. 211)

This defi nition of assessment has been instrumental in determining scope of practice for counselors. Naugle (2009) reviewed assessment legislation by the states and noted that a majority specify assessment in the scope of counseling practice and assessment as one core area of curriculum. She noted that only a handful defi ne “acceptable” assessment practices (or restrict specifi c tests) beyond what is stated in the scope of practice. Many states outline which assessment types can be administered.

Test Competence and Test Access Issues Although there may be general agreement among professional associations about what test qualifi cations are, traditionally there has been disagreement about who is qualifi ed-— partly because of often vague requirements set forth by test publishers, state statutes, and professional association themselves. In fact, several state psychology boards have sued to restrict nonpsychologists’ access to the majority of common psychological assessments. Thus, even though the ACA defi nition of assessment includes language regarding use of psychological instruments, state psychology boards often argue that those who do not have a psychology license “need not apply.”

Clawson (1997) noted that because professional associations’ licensure models offer confl icting defi nitions of assessment—and these models infl uence licensure—opposition has occurred regarding test access. For example, there have been unsuccessful attempts at test restriction in Florida, Indiana, South Carolina, Iowa, Louisiana, Arkansas, Kentucky, and California. Interestingly, many of the tests that state psychology boards wanted re- stricted were developed by nonpsychologists! ACA has responded to test restriction efforts across the last couple of decades.

Fortunately, advocacy from organizations such as the Fair Access Coalition on Testing (FACT) has helped to oppose these efforts to restrict test access. FACT’s (n.d.) mission is to serve as “protection and support of public access to professionals and organizations who have demonstrated competence in the administration and interpretation of assessment instruments, including psychological tests” (http://www.fairaccess.org). In essence, advocates argue that as long as you have appropriate levels of education, training, and experience, you have the right and capacity to use assessments no matter the profession. They further note that counsel- ors and other professionals should monitor, not restrict, test use as appropriate. FACT mem- bers seek to increase public awareness and communicate the rationale for fair access to tests as well as monitor legislation and develop and promote relevant ethical standards.

Why is test access so important? First, there has been a rise in testing needs in various parts of the country as there has been an increased reliance on assessment results in deci- sion making. Second, tests are an important part of counselors’ daily practices and ac- tivities. As stated in Chapter 1, assessment is synonymous with counseling. If assessment activities are restricted, counselors’ professional identity may be restricted. Finally, clients lose when tests are restricted. When counselors’ assessment rights are threatened, clients

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51 Ethical, Legal, and Professional Considerations in Assessment •

have fewer opportunities to access interventions they may need. In theory, as long as vari- ous professionals are not pretending to be other types of professionals—and they have the proper training and experience—they should be able to access tests related to their compe- tence. It is therefore very important for counselors to monitor state legislation and pending lawsuits that may restrict their practices.

Client Welfare Issues

Occasionally, an ethical issue arises regarding the welfare of the client in the assessment process. Is the welfare of the client being taken into consideration in the choice and use of tests? Except in such cases as court referrals, custody determinations, or institutional test- ing programs, this is seldom an issue in counseling because assessments are usually used to help the client and not for other purposes.

Another client welfare issue deals with the questions of privacy and confi dentiality (see ACA, 2005). In counseling situations, clients are typically willing to reveal aspects about themselves to obtain help with their problems; thus, the invasion-of-privacy issue, often a concern in psychological testing elsewhere, is seldom a concern in counseling. Clients obvi- ously would not wish this information to be disclosed to others. Test data, along with other records of the counseling relationship, must be considered professional information for use in counseling and must not be revealed to others without the express consent of the client. Certain types of test results, such as those assessing intelligence or aptitude and those that ask for or reveal emotional or attitudinal traits, often may deal with sensitive aspects of per- sonal lives or personal limitations—most individuals would prefer that such information not be disclosed to others.

Problems of confi dentiality often arise when the counselor is employed by an institution or organization, which can result in confl icting loyalties (to the client and to the institution or organization). In these circumstances, counselors should tell clients in advance how the assessment results will be used and make clear the limits of confi dentiality. In general, ethical principles state that the test results are confi dential unless the client gives his or her consent for the test results to be provided to someone else. The limits of confi dentiality and the circumstances under which it can be broken (such as clear and present danger or court subpoena) must be communicated to and understood by the client. These issues are included in various codes of ethics (e.g., ACA, 2005; NBCC, 2005).

In reporting results to others who have a reason and need to make use of the results under the Family Educational Rights and Privacy Act of 1974 (FERPA; see Table 3.2), coun- selors must ensure that the results of assessments and their interpretations are not misused by others. Is the person receiving the information qualifi ed to understand and interpret the results? It is incumbent on the counselor to interpret the results in a way that they can be intelligently understood by those receiving them, including teachers and parents. In ad- dition, the counselor has an obligation to point out the limitations of the results and any other important information about reliability or validity, as well as a description of the norms used and their appropriateness.

Clients, of course, have the right to know assessment results, with interpretations of the results communicated to them in a language they can clearly understand. The results must be interpreted to clients in such a way that clients understand what the tests mean and also what they do not mean. It is important that clients not reach unwarranted conclusions from the interpretation that they receive.

The manner in which assessment results are communicated to others (when appropri- ate) should be carefully considered. Results should usually be presented descriptively rather than numerically. The use of labels that can be misinterpreted or damaging should be avoid- ed. Instead, interpretations should be presented in terms of possible ranges of achievement or formulations of interventions to assist the individual in behaving more effectively.

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52 • Foundations of Assessment in Counseling

To help ensure confidentiality, counselors should keep assessment results in a place where they are accessible only to authorized individuals. They should be main- tained in school or agency files only so long as they serve a useful purpose. With the advent of computerized record keeping, the difficulty of keeping assessment results secure and inaccessible to all but authorized users has increased. Confidentiality must be maintained across a variety of contexts, including postal, telephone, Inter- net, and other electronic transmissions. This confidentiality includes knowing who receives faxes and who has access to fax machines and answering machines. Effective measures for protecting the security of individual records and reports must be main- tained (see HIPAA in Table 3.2).

Counselors are to administer assessments in a standardized manner if possible and ap- propriate. A potential problem dealing with test administration involves test security (ACA, 2005). It is obvious that test results will not be valid if people can obtain the tests in advance. For high-stakes ability tests, on which important decisions will be based, elaborate proce- dures are established to ensure that there is adequate security. In addition, tests need to be accurately scored and accurately profi led if the results are to have valid meaning.

Because test publishers have increasingly relied on computers to prepare narrative reports of test results, there are ethical concerns regarding the quality of interpretation. Computer interpretations of such inventories as the Strong Interest Inventory or the MMPI-2 can produce interpretations that run 10–20 pages in length. Such interpretations provide a distillation of the information that has been accumulated in the profession- al literature and of the pooled experience of a number of experts. Narrative computer printouts are obviously no better than the wisdom and clinical experience on which they are based; however, they protect the client from possible bias or inexperience of an in- dividual counselor while expediting what can be a time-consuming and tedious chore of report writing. These computer interpretations are, of course, based on norms, which are not necessarily appropriate for a particular individual. They should be used only in conjunction with the counselor’s professional judgment. The narrative needs to be evaluated by the counselor who knows other facts about the client, the rationale for test- ing, and the reasons for such evaluation. The misuse of such computer-generated test interpretations has become an issue of increased concern to the counseling and psycho- logical professions.

A fi nal issue deals with the ethical use of psychological tests in research. When tests are given for research purposes, the fi rst principle is that of informed consent: having had the procedures explained to them, individuals must have the opportunity to choose whether or not to participate. Minors should also be informed, to the extent of their comprehen- sion, and parental consent is often necessary as well. A particular problem arises in testing research when fully informed consent would provide knowledge regarding the specifi c objectives of a test that would have a substantial effect on the attitude of the person taking it, therefore yielding invalid research results. In research studies, there are also the ethical issues of privacy and confi dentiality.

In general, counselors have had fewer ethical problems in the use of tests than have various other professionals, because counselors typically use tests in their activities on behalf of the client—to assist him or her in regard to decision making or to provide additional information for treatment and self-understanding. They do not usually use tests for “high-stakes” purposes such as selection, promotion, or placement. For school counselors, however, this role is changing because they and other educational adminis- trators are increasingly called on to make crucial decisions regarding student retention, tracking, or graduation based on test results as a result of the No Child Left Behind Act (see Table 3.2). To make appropriate decisions, counselors must have considerable knowledge in assessment, including measurement validity, special accommodations, and unintended consequences.

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53 Ethical, Legal, and Professional Considerations in Assessment •

Case Example 3.1

Charlotte

Charlotte, a 19-year-old female, presents to a college counseling center to seek help for increased anxiety she has had since attending college. She states she is having diffi culty understanding the course materials and is failing her courses. Charlotte reports that she seldom fi nishes class assignments or tests, as she “runs out of time.” She notes that she has no previous counseling history or academic problems.

Refl ect on the following:

• What additional information do you need about Charlotte? • How might you counsel her? • As you consider assessments to use with Charlotte, what are some considerations re-

lated to your competence in selecting, administering, and interpreting assessments? What are potential client welfare considerations?

• What ethical guidelines and/or legal standards might you review as you work with her?

• Are there certain legal cases or public laws that might affect your counseling interventions?

• What strengths might you bring to your work with Charlotte? What may be chal- lenges for you?

• • •

Professional Issues in Assessment

There are several professional issues in assessment that need to be considered. This chapter presents issues surrounding testing and technology, counseling process issues, test anxiety, and coaching. In Chapter 4, professional issues related to cultural bias throughout the as- sessment process are discussed.

Testing and Technology

The increasing automation of psychological assessment will make the administration and scoring of tests, as well as the interpretation of their results, more effi cient, more extensive, and more complex. Most of the tests commonly administered by counselors are available for administration, scoring, and interpretation with a computer (e.g., California Psychologi- cal Inventory, Differential Aptitude Test, Millon Index of Personality Styles, MMPI-2, My- ers–Brigg Type Indicator, 16 Personality Factors Questionnaire, the Strong, and the Wechsler tests). Standardized interview data can also easily be obtained through use of a computer.

The benefi ts of testing using the Internet are many, including that it can be cheaper, faster, and more effi cient. Large-scale paper-based testing programs include a number of steps that can be eliminated with Internet-based testing. When paper-and-pencil tests are administered, the test answer sheets must be scanned, then collected, checked, counted, bundled, and shipped to a scoring center prior to scoring and profi ling, all of which de- mands considerable time and cost (Wall, 2004). In contrast, tests administered on the In- ternet can be scored and interpreted for counselors and clients as fast as the last item is completed (Naglieri et al., 2004). Test publishers, stressing better and cheaper services and worldwide use, have embraced Internet testing. Revising a paper-and-pencil test requires printing and distributing new forms, answer keys, and manuals. Revisions of an Internet test can be downloaded to testing sites anywhere in moments. Internet tests can provide real-world simulations—including multimedia, three-dimensional graphics—and relevant

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54 • Foundations of Assessment in Counseling

resources, and thus they can assess higher order abilities and types of skills not easily measured by paper-and-pencil tests (e.g., the Test of English as a Foreign Language, which assesses listening and speaking skills over the Internet). Such processes obviously bring new challenges and problems. Various types of security must be maintained to ensure the privacy of client data and test results and to prevent the unauthorized copying of test items or the unauthorized use of testing materials. There are also other security problems, such as receiving spam, transmitting computer viruses, hacking, cheating by examinees, and maintaining copyrights across international borders.

Because Internet-based testing does not involve the use of a test administrator, counsel- ors cannot be sure of the circumstances under which the test was taken (e.g., Did the ex- aminee understand the instructions? Did he or she work independently in answering the items? Was he or she distracted in any way?). Because the counselor is not present at the time of the test interpretation, the counselor is not able to discern how clients react emo- tionally to the results or how they will integrate the information into their lives. There are also issues in determining appropriate accommodations for examinees with disabilities.

There is a continuing need for the ethical and professional use of these tests supported by reliability and validity. For example, the growth of career resources on the Internet has resulted in many short career interest quizzes and brief personality measures that have no evidence of norms, reliability, or validity (Mallen, Vogel, Rochlen, & Day, 2005). The coun- seling profession must make it clear that these unproven instruments are no substitute for true standardized assessment instruments.

Counseling Process Issues

Counselors and human development professionals typically use tests for problem-solving purposes to assist the client. In other settings, test results are not necessarily shared directly with clients; in counseling, however, test results are almost always discussed with clients because the goal of counseling is usually to assist clients in making choices and in develop- ing self-awareness. The client is seen as the primary user of test results, with the counselor acting more as a facilitator. Although counselors use the clinical interview and behavioral observation, tests provide an opportunity to obtain standardized information concerning in- dividual differences that can be useful both to plan counseling interventions and to promote clients’ understanding of themselves. Counselors help clients explore and identify their abili- ties, personality characteristics, patterns of interests, and values for the purpose of making choices and changes that can improve their sense of well-being or their lifestyles.

Personality inventories reveal information that can be useful in the counseling process, and interest and aptitude test results can assist in educational and vocational planning. Diagnostic tests in academic areas such as reading or arithmetic skills can help to iden- tify those who need special instruction in particular areas and to plan future educational programs. Because of criticisms leveled against psychological tests when used in selec- tion procedures (and perhaps in part because of some counselors’ own experiences with scholastic aptitude tests used for selection purposes), counselors occasionally develop a bias against psychological tests. They refuse to use them even in individual counseling programs, where they can often be valuable.

When using tests in counseling, the counselor must attempt to understand the client’s frame of reference. If the counselor is knowledgeable about tests, the counselor can then better help the client understand the information that tests can provide. In interpreting test results, the counselor must help clients understand their implications and their limitations and help clients integrate the test information into their self-perceptions and decision-making strategies.

It has been suggested (and even mandated by legislative action) that tests should not be used because certain disadvantaged groups make poor showings on them. In these situations, the test results often indicate symptoms of a societal ailment. When the tests

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55 Ethical, Legal, and Professional Considerations in Assessment •

reveal that the disadvantaged have not had the opportunity to learn certain concepts, there should be an attempt to provide these opportunities, not to dispose of the instruments that reveal such symptoms.

A criticism of using tests in counseling is that validity evidence is based on groups of individuals, and it is not possible to discern the validity of any test score for any one indi- vidual. It is in the counseling process that the counselor attempts to help clients determine the validity of that test score for that individual. To use tests properly in counseling, the counselor must know as much about the client and the client’s environment as possible. Counselors must also be well informed about tests and have a basic familiarity with them. Although they may not need to have a great deal of understanding regarding the technical aspects of test development and standardization, they do need to have a clear understand- ing of the general purposes of the particular tests they use, the uses to which they can be put, and the role these tests can play in the counseling process.

In the information age, assessment results will continue to provide important data needed for many decisions. In addition to individual personal and career decisions, there will be increased reliance on assessments to determine minimum skills and competencies for educational institutions, licensing and certifi cation, and personnel selection.

Test Anxiety

Another professional issue involves test anxiety, particularly for ability testing (see Chap- ter 10). Small but signifi cant negative relationships have been found between test anxiety and scores on ability tests. This relationship, of course, does not necessarily mean that high levels of anxiety cause lower test scores. Often those who have done poorly on these types of tests in the past are likely to experience more anxiety. Some studies suggest that a mod- erate amount of test anxiety can actually benefi t test scores, whereas a high level of anxiety may be detrimental. Individuals differ in the amount of anxiety that can be considered to be optimal for best test performance.

These results have been obtained when tests have been given under experimental condi- tions of high tension and of relaxed situations. For example, in an early study (French, 1962) on this topic, students took the test under normal conditions when the scores were to be reported to the institutions to which they applied and a second time on an equivalent form under instructions that the test results were to be used only for research purposes and not otherwise reported. The results showed essentially equal performance under both the anx- ious and relaxed conditions. The only difference was that certain students under the anxiety condition attempted more of the mathematical items and therefore achieved slightly higher scores on that subtest than they did under the relaxed condition. Apparently, under the re- laxed condition, they gave up a little earlier and therefore achieved slightly lower scores.

When test anxiety involves an excessive amount of worry and fear, clients may have diffi - culty thinking clearly or organizing their thoughts or may experience mental blanking. Inter- ventions that counselors can use include (a) emphasizing adequate preparation; (b) teaching cognitive–behavioral techniques, such as challenging irrational beliefs and thought stop- ping; (c) using desensitization techniques; and (d) encouraging relaxation exercises (Goonan, 2004). In general, testing procedures that are well organized, that are smoothly run, and that reassure and encourage should help to reduce the anxiety felt by highly anxious test takers.

Coaching

Coaching refers to test preparation services, provided in many ways such as tradition- al workshops, online services and software, practice tests, and books with test prepara- tion advice. The effect of coaching or practice on test scores is a controversial one that has received much attention and has been the subject of a number of studies. Obviously,

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56 • Foundations of Assessment in Counseling

practice or coaching that provides the answers to, for example, an individual IQ test such as the Stanford–Binet or WISC would invalidate the results as an accurate assessment. However, completion of a high school course in mathematics that results in a higher score on a mathematics achievement test probably accurately refl ects the student’s knowledge of mathematics outside the testing situation. The distinction therefore must be made between broad training and specifi c training or coaching focused on specifi c test items.

Coaching has been particularly controversial because of the existence of commercial coaching programs designed to raise scores on admissions tests such as the CEEB’s Scho- lastic Aptitude Test (SAT), the Graduate Record Examination (GRE), or the Medical College Admission Test (MCAT). These coaching programs advertise and almost promise substan- tially better test performance for those who enroll in their programs. Sackett, Borneman, and Connelly (2008) noted that some fi rms claim average score gains of 120–140 points on the SAT, with one fi rm guaranteeing a 200-point increase. Many of the studies reported have substantial weaknesses that usually include the absence of a noncoached but equally highly motivated control group that is comparable with the coached group in all important ways, including performance on initial tests.

Furthermore, as Sackett et al. (2008) argued, students typically improve signifi cantly upon retesting even if not participating in a coaching program—a result of a phenomenon known as a practice effect. A practice effect refers to familiarity with the types of problems and the problem-solving skills required. As a result, most of the testing programs—the College Board, the American College Testing (ACT) program, and the various professional school testing programs—now provide considerable information about the tests, including booklets with a number of practice test items. Thus, all applicants have the opportunity to take practice tests and to become familiar with the types of items that appear.

In sum, test scores can change, but how much is that change related to coaching specifi - cally? The CEEB has been particularly concerned for two reasons. First, if coaching could help students to improve their scores substantially, then the test results for all students would lose some validity. Second, the commercial coaching programs charge substantial fees and can represent a waste of money if coaching yields little improvement.

Although specifi c coaching provides little improvement in test performance over and above that achieved by a little familiarization and practice (and this is particularly true on the verbal portions of these tests), additional training in the form of coursework is likely to result in im- provement. In addition, a general review of the subject matter covered can substantially increase scores. For example, a student who has not taken any mathematics during the last two years in high school can improve scores on the mathematics portion of the SAT by reviewing the courses in algebra and geometry that were taken earlier. A college senior who has not taken any math- ematics in college since the freshman year can also improve his or her scores on the quantitative portion of the GRE by reviewing the mathematical and algebraic concepts learned in high school and as a college freshman. A moderate score increase can be gained by reviewing basic skills in the area being tested, taking as many as four or fi ve full-length practice tests with standard time limits, and paying attention to item format, pacing, and priority setting (Rubinstein, 2004). The best results are found when the coaching occurs not just before a major assessment but over lon- ger periods and when incorporated into regular classroom instruction (Crocker, 2005).

Counselors often receive questions from students, parents, and those involved in the selection and interpretation of such scores regarding the effi cacy of coaching programs and other review procedures. They need to be cognizant of the effects of different types of training and other activities on test performance.

Chapter Summary

Some of the criticisms of psychological testing and assessment and some of the attacks against their use in educational institutions and employment situations have had construc-

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57 Ethical, Legal, and Professional Considerations in Assessment •

tive effects. Increased awareness of the utility and limitations of testing has resulted in the need for more carefully trained users of test results as the personal and social consequenc- es of testing have become increasingly apparent.

Psychological tests and other types of assessments serve many purposes for various mental health professionals. Counselors use tests primarily to assist individuals in devel- oping their potential. Test results are designed to be used by the clients themselves—and only in the ways that they decide to make use of the test results or not to make use of them. In counseling, tests are not used by others to make decisions for or against a client. By using tests ethically, appropriately, and intelligently, counselors can assist their clients to understand their problems, make use of their potential, function more effectively, make more effective decisions, and live more satisfying lives.

In this chapter ethical guidelines and assessment standards available to counselors as they engage in their work with clients were presented. These documents are provided by the ACA and its divisions, NBCC, JCTP, and other professional collaborations, including that of the AERA, APA, and NCME. Counselors are encouraged to review both general guidelines as well as those—as available—geared toward their specialty areas. Key public laws and court decisions were also discussed in this chapter. The chapter concludes with several professional issues in assessment: testing and technology, counseling process is- sues, test anxiety, and coaching.

Review Questions

1. What are the major ethical guidelines and assessment standards available to coun- selors today?

2. How might your work as a counselor be affected specifi cally by public law and court decisions outlined in Table 3.2?

3. What are the benefits of using technology in assessing clients? What are the challenges?

4. What are some of the controversies surrounding coaching? How would you approach the discussion with your clients?

5. What are some strategies for engaging in the assessment process ethically?

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