Chapter 17 Ethical and Legal Issues in Assessment

1. Chapter 17Ethical and LegalIssues in Assessment Presented by: Lilly Romo Jeffery Seay Elvira D. Gutierrez

2. ETHICAL DILEMMAS SCENARIOS

3. SCENARIO #1Ethics in Interview Process Dr. Jacinto Gomez, who had recently finished his training was treating a new patient, Clara. The history she gave had many gaps, and because he suspected that she was withholding relevant information, he decided to do an Internet search rather than ask her additional questions. Clara told him that she was excited about getting a job as a staff member in a child care center after many years of having been unable to obtain such a position. What Dr. Gomez discovered in his search was that Clara had been convicted of child abuse on two occasions twenty years earlier and had been placed on probation for five years. IS THERE AN ETHICAL DILEMMA?

4. SCENARIO #2Ethics in Testing You are a newly appointed lecturer and you are asked to supervise a final honors-level exam. It is not in your subject but you recognize some of the students from your own course. About half way through the exam, one of the students—known to you—puts up his/her hand and asks to be accompanied to the restroom. As you wait outside you hear the student speaking to someone but you can’t hear what the student is saying. You walk into the bathroom and see that the student is talking to someone on a cell phone. The student immediately turns it off when they see you. The student claims that it was a personal phone call. The student didn’t know cell phones were not allowed in the exam hall. You find that hard to believe, but there is no evidence of cheating; plus, you know the student to be bright and hardworking. IS THERE AN ETHICAL DILEMMA?

5. SCENARIO #3Ethics with an Assessment Tool A company has released a new edition of an assessment tool but I prefer the older version. Standard 9.08 says psychologists shouldn’t use tests that are obsolete or “not useful for the current purpose.” Does this mean that older tests are automatically off the table? Psychologists should note the norm groups for each version and from that determine which test is more appropriate for the client. For example, the norms for newer versions tend to include more diverse populations, but the content of an older intelligence test might be more appropriate for older adults or a specific population. IS THERE AN ETHICAL DILEMMA?

6. PROFESSIONAL STANDARDSANDCODES OF ETHICS Presented by: Lilly Romo

7. Professional Standards and Codes of Ethics • Ethics can be viewed as “moral principles adopted by an individual or group that provide the basis for right conduct” (Drummond & Jones, 2010). • Codes may provide guidelines but do not have ALL the answers to every ethical dilemma. • Therefore, it is up to us as professionals to do what is in the best interest of the client.

8. Organization’s Ethical Standards • American Counseling Association (ACA) Code of Ethics • American Educational Research Association (AERA), the American Psychological Association (APA), and the National Council on Measurement in Education (NCME) Standards for Educational and Psychological Testing • American Psychological Association (APA) Ethical Principles of Psychologists and Code of Conduct • Association for Assessment in Counseling (AAC) Responsibilities of Users of Standardized Tests, Third Edition (RUST) • Joint Committee on Testing Practices Code of Fair Testing Practices in Education • National Council on Measurement in Education (NCME) Code of Professional Responsibilities in Educational Measurement

9. American Counseling Association (ACA) Code of Ethics • Clarifies ethical responsibilities and describes best practices in the counseling profession. • Section E of the ACA Code of Ethics—Evaluation, Assessment, and Interpretation, provides 13 guidelines (Table 17.1, page 364-6). • Evaluation, Assessment, and Interpretation section emphasizes that counselors should use assessment instruments as one component of the counseling process. • The section also takes into account the client’s personal and cultural context

10. AERA, APA, and NCMEStandards for Educational and Psychological Testing • The Standards for Educational and Psychological Testing, also known as Standards, provides test developers and users with the following: • Assistance in evaluating the technical adequacy of their instrument • Promote the sound and ethical use of tests • Provide criteria for the evaluation, practices, and the effect of tests.

11. AERA, APA, and NCMEStandards for Educational and Psychological Testing • The Standards contains three guidelines for test developers. • Test Construction, Evaluation, and Documentation • Validity • Reliability and Errors of Measurement • Test Development and Revision • Scales, Norms, and Score Comparability • Test Administration, Scoring, and Reporting • Supporting Documentation for Tests

12. AERA, APA, and NCMEStandards for Educational and Psychological Testing • The Standards contains three guidelines for test developers. • Fairness in Testing • Fairness in Testing and Test Use • The Rights and Responsibilities of Test Takers • Testing Individuals of Diverse Linguistic Backgrounds • Testing Individuals with Disabilities

13. AERA, APA, and NCMEStandards for Educational and Psychological Testing • The Standards contains three guidelines for test developers. • Testing Application • The Responsibilities of Test Users • Psychological Testing and Assessment • Educational Testing and Assessment • Testing in Employment and Credentialing • Testing in Program Evaluation and Public Policy

14. American Psychological Association (APA)Ethical Principles of Psychologists andCode of Conduct • These standards are set as rules of conduct for psychologists: • Base recommendations on information and techniques sufficient enough to substantiate their findings. • The importance of using valid and reliable assessment techniques as evidenced by research. • Obtain informed consent when using assessment techniques. • Must not release a client’s test results unless the client gives permission. • Ethical procedures involved in test construction. • Involves test interpretation and explaining results in the language that can be understood by the individual being assessed. • The responsibility of not promoting the use of psychological assessment techniques by unqualified examiners. • The importance of not using obsolete tests or outdated test results • and 10. Scoring and interpreting tests and explaining assessment results.

15. American Psychological Association (APA)Ethical Principles of Psychologists andCode of Conduct • These standards are set as rules of conduct for psychologists: • Holds the psychologist responsible for making reasonable efforts to maintain the integrity and security of tests and other assessment techniques consistent with the law, contractual obligations, and the code of ethics.

16. Association for Assessment in Counseling (AAC)Responsibilities of Users of Standardized Tests, Third Edition (RUST) • Division of the American Counseling Association (ACA). • Consists of counselors, counselor educators, and other professionals • Provide leadership, training, and research in the creation, development, production, and use of assessment and diagnostic techniques in the counseling profession. • AAC develops RUST • RUST promotes the accurate, fair, and responsible testing practices. • Qualified test users must have: • Education, training, and experience in using tests • Highest degree of ethical codes, laws, and standards governing professional practice.

17. Joint Committee on Testing PracticesCode of Fair Testing Practices in Education • This is a guide for professionals engaged in testing in education. • Prepared by the Joint Committee on Testing Practices, which consists of members of various counseling, psychology, research, educational, test directors, as well as speech-language-hearing associations. • Emphasizes FAIRNESS as the primary consideration in all aspects of testing. • Four things test developers and users should consider: • Developing and Selecting Appropriate Tests • Administering and Scoring Tests • Reporting and Interpreting Tests Results • Informing Test Takers

18. National Council on Measurement in Education (NCME)Code of Professional Responsibilities in Educational Measurement • This code was created for NCME members involved in any type of educational assessment, such as: • Develop assessment products and services • Market and sell assessments products and services • Select assessment products and services • Administer assessments • Score assessments • Interpret, use, and communicate assessment results • Educate others about assessment • Evaluate educational programs and conduct research on assessments

19. ETHICAL ISSUESIN ASSESSMENT Presented by: Jeffery Seay

20. ETHICAL DILEMMAS VIDEO

21. Professional Training and Competence (Use of Available Instruments) • Measurement Concepts (scales, reliability, validity, norms) • Basic Statistics of Measurement (central tendency, variability, relationship) • Measurement Formulas (i.e. standard error of measurement) • Test Manuals and Reports • Procedures for Administration, Scoring & Interpreting • Major Tests in the Fields • Sources of Test Information in Fields • Use of Different Systems of Data Presentation • Compare & Contrast Test Scores • Norm-Referenced Interpretation & SEM of Individual Scores • Exploratory Tools for Test Takers & Counselees

22. Professional Training and Competence (cont.) • Decision Making for Test Takers & Counselees • Interpretive Session to Enhance Client Knowledge • Strategies to Help Maximize Accuracy of Results • Explanation of Test Results • Communication Skills in Test Interpretation • Appropriate Use of Test Information • Verbal & Nonverbal Cues Expressed • Appropriate Strategies to Combat Negative Interpretations • Familiarity with Interpretation & Report Forms • Legal, Professional & Ethical Guidelines of Testing • Clients’ Rights and Professional Responsibilities • Current Issues & Trends in Testing

23. Professional Training and Competence (cont.) • Present Results from Tests both Verbally & Written • Strategies to Assist in Acquiring Test-Taking Skills • Computer-Assisted and Computer-Adaptive Testing (Note: There are different levels of competency for different tests.)

24. Test-User Qualifications • Combination of factors such as knowledge, skills, abilities, training, and credentials needed to use tests competently • Sometimes limited to a specific professional field • ACA’s Standards for the Qualifications of Test Users states: “professional counselors are qualified to use tests and assessments in counseling practice to the degree that they possess the appropriate knowledge and skills” (Drummond & Jones, 2010).

25. ACA Standards for the Qualifications of Test Users • Skill in practice and knowledge of theory relevant to the testing context and type of counseling • A thorough understanding of testing theory, techniques of test construction, and test reliability and validity • A working knowledge of sampling techniques, norms, and descriptive, correlational, and predictive statistics • Ability to review, select, and administer tests appropriate for clients or students and the context of the counseling practice • Skill in administration of tests and interpretation of test scores • Knowledge of the impact of diversity on testing accuracy, including age, gender, ethnicity, race, disability, and linguistic differences • Knowledge and skill in the professionally responsible use of assessment and evaluation practice

26. Client Welfare Issues • Taking into consideration client welfare in the choice and use of tests • Lack of confidentiality • Invasion of privacy • Obtaining informed consent • Use of technology

27. LEGAL ISSUESIN ASSESSMENT Presented by: Elvira D. Gutierrez

28. State and National Sources of Laws • Statutes Laws written by legislative bodies • Regulations Laws created by government agencies • Judicial Decisions Laws created by opinions from the court, often in litigation cases

29. Statutes and Regulations • Americans with Disabilities Act of 1990 (ADA) The ADA states that an employment agency or labor organization shall not discriminate against individuals with disability. This applies to job, application procedures, hiring, advancement and discharge of employees, worker’s compensation, job training, and other terms, conditions, and privileges of employment. • Civil Rights Act of 1991 Title VII of the Civil Rights Act of 1964—ammended in 1971, 1978, and 1991—outlaws discrimination in employment based on race, color, religion, gender, pregnancy, or national origin. The original legislation created the Equal Opportunity Commission (EEOC), which was charged with developing guidelines to regulate equal employment opportunity • Family Educational Rights an Privacy Act of 1974 The Family Educational Rights and Privacy Act (FERPA) of 1974 is a federal law that protects that privacy of student records. FERPA gives parents certain rights with respect to their children’s education records, such as the right to examine their children’s academic records and stipulate the terms under which others may have access to them. If there is assessment information in the records, parents have a right to see these results as well.

30. Statutes and Regulations • Individuals with Disabilities Education Act (IDEA) Originally signed in 1975. The Achievement Discrepancy Model was the assessment used to determine if a student had a learning disability • Individuals with Disabilities Education Improvement Act (IDEA) Became the 2004 IDEA. Assessment played a stronger role in determining if students have a Specific Learning Disability (SLD). • Health Insurance Portability and Accountability Act (HIPAA) In 1996, insurance companies, practitioners, and all individuals and corporations dealing with individual’s private health information and records must be aware and held responsible in securing a patient’s identity and medical information. • No Child Left Behind Act (NCLB) The NCLB of 2001 is an extension of the Elementary and Secondary Education Act (ESEA) of 1965. Federal government now holds states responsible for each student’s academic success. State must have academic standards and a testing system for all students. • Carl D. Perkins Vocational and Technical Education Act of 2006 • provides federal funding & guidance for career & technical education • increased academic achievement of career & technical education students • strengthened connections between secondary & postsecondary education • improved state & local accountability (held accountable for continuous • performance improvement through academic proficiency & reliable tests

31. Judicial DecisionsJudicial Decisions Involving Educational Assessment All of following relate to educational assessment: Larry P. v. Riles (1974, 1979,1984)-Court found that inappropriate tests had been used for placement of African American students in special education classrooms. Decided school would have to submit written statement that tests were not discriminatory and report statistics on scores of students from each ethnic background. Diana v. California State Board of Education (1973, 1979)-Concerned with appropriate use of intelligence tests. In an out-of-court settlement, the schools were required to test Mexican American students in both their first language and English with some restrictions of verbal sections of test. Debra P. v. Turlington (1979, 1981, 1983, 1984)-Assessed the fairness of Florida State Student Assessment Test. Students argued that they had been denied due process in preparation for the test and that it was used to segregate students by race. The court found that the school system was responsible for demonstrating that a test covers only material taught in the classroom in order to grant students a high school diploma. Sharif v. New York State Education Department (1989)-Covered the use of Scholastic Aptitude Test (SAT) scores as the only criteria for granting state merit scholarships to students. The court found that New York could not use only SAT scores as their justification for awarding scholarships, but needed to consider other factors such as grades and/or other achievement tests.

32. Judicial DecisionsJudicial Decisions Involving Employment Tests Judicial Decisions involving employment tests : Griggs v. Duke Power Company (1971)-U.S. Supreme Court ruled that Duke Power Co. violated Title VII of 1964 Civil Rights Act because standardized testing kept a large number of African American employees from being hired, and realizing advancement to higher level jobs within the company. The key issue was test validity because it was found that required testing did not relate to successful job performance. Washington v. Davis (1976)-Case based on bias in the use of selection tests by police department. Charge was that a test of verbal skills was a way of screening out minority applicants. Supreme Court ruled that the test could not be found unconstitutional based only on the racially disproportionate results. The Court found there was no intent to discriminate and ruled in favor of police department.. Bakke v. California (1978)-U. S. Supreme Court’s landmark decision on affirmative action. The ruling was that the use of racial quotas for admission to a university was unconstitutional, but it did uphold that affirmative action programs should give equal access to minorities. Golden Rule Insurance Company v. Richard L. Mathias (1984)-The lawsuit charged that an insurance licensing exam constructed by Educational Testing Service (ETS) was racially biased and did not relate to job performance. Case was settled out of court with ETS agreeing to (a) including items for which the percentage of correct responses for all is at least 40% and (b) considering any item as biased if difference between White and African American testers exceeded 15%.

33. Closing Thoughts Responsible practice = knowledge and sound judgment for the best interest of others • Remember You are responsible for how you practice your own professional ethics!

34. THANK YOU

35. References Association for Assessment in Counseling. (2003). Responsibilities of users of standardized tests (RUST), Third Edition. Retrieved from http://www.theaaceonline.com/rust.pdf Drummondm R. J. & Jones, K. D. (2010). Ethical and legal issues in assessment. Assessment procedures for counselors and helping professionals (pp. 362-379). Upper Saddle River, NJ: Pearson Education Inc. National Council on Measurement in Education. (1995). Code of professional responsibilities in educational measurement. Retrieved from http://www.natd.org/Code_of_Professional_Responsibilities.html Texas Education Agency. (2007-2011). Student assessment division. Retrieved from http://www.tea.state.tx.us/student.assessment