5687254.ppt

Assessment Procedures for Counselors and Helping Professionals, 7e
© 2010 Pearson Education, Inc.
All rights reserved.
Chapter 17
Ethical and Legal Issues in
Assessment

Assessment Procedures for Counselors and Helping
Professionals, 7e
Drummond/Jones
15-2
 Ethics are sets of morals or principles that guide
the behaviors of groups or individuals.
 Most professional organizations use a code of ethics
to provide guidelines for member behavior.
 No ethical code can detaile desired behavior in
every situation!
Professional Standards and Codes
of Ethics

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 Section E of the ACA Code of Ethics focuses
on assessment.
 Assessments are intended to be used as one
of many tools in the counseling process.
American Counseling Association
Code of Ethics

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 The primary purpose of educational, psychological,
and career assessment is to provide measurements
that are valid and reliable in either comparative or
absolute terms. These include, but are not limited
to, measurements of ability, personality, interest,
intelligence, achievement, and performance.
Counselors recognize the need to interpret the
statements in this section as applying to both
quantitative and qualitative assessments.
E.1.a. Assessment

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 Counselors do not misuse assessment results and
interpretations, and they take reasonable steps to
prevent others from misusing the information these
techniques provide. They respect the client’s right
to know the results, the interpretations made, and
the bases for counselors’ conclusions and
recommendations.
E.1.b. Client Welfare

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Counselors utilize only those testing and assessment
services for which they have been trained and are
competent. Counselors using technology-assisted test
interpretations are trained in the construct being
measured and the specific instrument being used
prior to using its technology-based application.
Counselors take reasonable measures to ensure the
proper use of psychological and career assessment
techniques by persons under their supervision.
E.2.a. Limits of Competence

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Counselors are responsible for the appropriate
application, scoring, interpretation, and use of
assessment instruments relevant to the needs of
the client, whether they score and interpret such
assessments themselves or use technology or other
services.
E.2.b. Appropriate Use

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Counselors responsible for decisions involving
individuals or policies that are based on assessment
results have a thorough understanding of educational,
psychological, and career measurement, including
validation criteria, assessment research, and
guidelines for assessment development and use.
E.2.c. Decisions Based on Results

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Prior to assessment, counselors explain the nature
and purposes of assessment and the specific use of
results by potential recipients. The explanation will be
given in the language of the client (or other legally
authorized person on behalf of the client), unless an
explicit exception has been agreed upon in advance.
Counselors consider the client’s personal or cultural
context, the level of the client’s understanding of the
results, and the impact of the results on the client.
E.3.a. Explanation to Clients

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Counselors consider the examinee’s welfare, explicit
understandings, and prior agreements in
determining who receives the assessment results.
Counselors include accurate and appropriate
interpretations with any release of individual or
group assessment results.
E.3.b. Recipients of Results

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Counselors release assessment data in which the
client is identified only with the consent of the client
or the client’s legal representative. Such data are
released only to persons recognized by counselors
as qualified to interpret the data.
E.4. Release of Data to Qualified
Professionals

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Counselors take special care to provide proper
diagnosis of mental disorders. Assessment
techniques (including personal interview) used to
determine client care (e.g., locus of treatment, type
of treatment, or recommended follow-up) are
carefully selected and appropriately used.
E.5.a. Proper Diagnosis

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E.5.b. Cultural Sensitivity. Counselors recognize that
culture affects the manner in which clients’
problems are defined. Clients’ socioeconomic and
cultural experiences are considered when
diagnosing mental disorders.
E.5.b. Cultural Sensitivity

Professionals, 7e
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Counselors recognize historical and social prejudices
in the misdiagnosis and pathologizing of certain
individuals and groups and the role of mental health
professionals in perpetuating these prejudices
through diagnosis and treatment.
E.5.c. Historical and Social Prejudices in
The Diagnosis of Pathology

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Counselors may refrain from making and/or
reporting a diagnosis if they believe it would cause
harm to the client or others.
E.5.d. Refraining from Diagnosis

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Counselors carefully consider the validity, reliability,
psychometric limitations, and appropriateness of
instruments when selecting assessments.
E.6.a. Appropriateness of Instruments

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If a client is referred to a third party for
assessment, the counselor provides specific referral
questions and sufficient objective data about the
client to ensure that appropriate assessment
instruments are utilized.
E.6.b. Referral Information

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Counselors are cautious when selecting assessments
for culturally diverse populations to avoid the use of
instruments that lack appropriate psychometric
properties for the client population.
E.6.c. Culturally Diverse Populations

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Counselors administer assessments under the same
conditions that were established in their
standardization. When assessments are not
administered under standard conditions, as may be
necessary to accommodate clients with disabilities,
or when unusual behavior or irregularities occur
during the administration, those conditions are noted
in interpretation, and the results may be designated
as invalid or of questionable validity.
E.7.a. Administration Conditions

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Counselors ensure that administration programs
function properly and provide clients with accurate
results when technological or other electronic
methods are used for assessment administration.
E.7.b. Technological Administration

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Unless the assessment instrument is designed,
intended, and validated for self-administration and/or
scoring, counselors do not permit inadequately
supervised use.
E.7.c. Unsupervised Assessments

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Prior to administration of assessments, conditions
that produce most favorable assessment results are
made known to the examinee.
E.7.d. Disclosure of Favorable Conditions

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Counselors use with caution assessment techniques
that were normed on populations other than that of
the client. Counselors recognize the effects of age,
color, culture, disability, ethnic group, gender, race,
language preference, religion, spirituality, sexual
orientation, and socioeconomic status on test
administration and interpretation, and place test
results in proper perspective with other relevant
factors.
E.8. Multicultural Issues/Diversity in
Assessment

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In reporting assessment results, counselors indicate
reservations that exist regarding validity or
reliability due to circumstances of the assessment
or the inappropriateness of the norms for the
person tested.
E.9.d. Reporting

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Counselors exercise caution when interpreting the
results of research instruments not having sufficient
technical data to support respondent results. The
specific purposes for the use of such instruments
are stated explicitly to the examinee.
E.9.b. Research Instruments

Professionals, 7e
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Counselors who provide assessment scoring and
interpretation services to support the assessment
process confirm the validity of such interpretations.
They accurately describe the purpose, norms, validity,
reliability, and applications of the procedures and any
special qualifications applicable to their use. The
public offering of an automated test interpretations
service is considered a professional-to-professional
consultation. The formal responsibility of the
consultant is to the consultee, but the ultimate and
overriding responsibility is to the client. (See D.2.)
E.9.c. Assessment Services

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Counselors maintain the integrity and security of
tests and other assessment techniques consistent
with legal and contractual obligations. Counselors
do not appropriate, reproduce, or modify published
assessments or parts thereof without
acknowledgment and permission from the
publisher.
E.10. Assessment Security

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Counselors do not use data or results from
assessments that are obsolete or outdated for the
current purpose. Counselors make every effort to
prevent the misuse of obsolete measures and
assessment data by others.
E.11 Obsolete Assessments and
Outdated Results

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Counselors use established scientific procedures,
relevant standards, and current professional
knowledge for assessment design in the
development, publication, and utilization of
educational and psychological assessment
techniques.
E.12. Assessment Construction

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When providing forensic evaluations, the primary
obligation of counselors is to produce objective
findings that can be substantiated based on
information and techniques appropriate to the
evaluation, which may include examination of the
individual and/ or review of records. Counselors are
entitled to form professional opinions based on their
professional knowledge and expertise that can be
supported by the data gathered in evaluations.
Counselors will define the limits of their reports or
testimony, especially when an examination of the
individual has not been conducted.
E.13.a. Primary Obligations

Professionals, 7e
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Individuals being evaluated are informed in writing
that the relationship is for the purposes of an
evaluation and is not counseling in nature, and
entities or individuals who will receive the evaluation
report are identified. Written consent to be evaluated
is obtained from those being evaluated unless a court
orders evaluations to be conducted without the
written consent of individuals being evaluated. When
children or vulnerable adults are being evaluated,
informed written consent is obtained from a parent or
guardian.
E.13.b. Consent for Evaluation

Professionals, 7e
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Counselors do not evaluate individuals for forensic
purposes they currently counsel or individuals they
have counseled in the past. Counselors do not
accept as counseling clients individuals they are
evaluating or individuals they have evaluated in the
past for forensic purposes.
E.13.c. Client Evaluation Prohibited

Professionals, 7e
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Counselors who provide forensic evaluations avoid
potentially harmful professional or personal
relationships with family members, romantic
partners, and close friends of individuals they are
evaluating or have evaluated in the past.
E.13.d. Avoid Potentially Harmful
Relationships

Professionals, 7e
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The Standards for Educational and Psychological
Testing (1999) were developed in a join venture
between the American Educational Research
Association, the American Psychological Association,
and the National Council on Measurement in
Education.
AERA, APA, and NCME Standards for
Educational and Psychological Testing

Professionals, 7e
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The Standards for Educational and
Psychological Test focuses on three core areas:
 Test Construction, Evaluation, and
Documentation
 Fairness in Testing
 Testing Application
Core Standards

Professionals, 7e
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 Focuses on standards for:
 reliability
 validity
 errors of measurement
 test development and revision
 scaling
 norming
 score compatibility
 test administration
 scoring and reporting
 support documentation
Test Construction, Evaluation, and
Documentation

Professionals, 7e
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 fairness and bias
 the rights and responsibilities of test takers
 testing individuals of diverse linguistic
backgrounds
 testing individuals with disabilities
Fairness in Testing

Professionals, 7e
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 general responsibilities of test users
 psychological testing and assessment
 educational testing and assessment
 testing in employment and credentialing
 testing in program evaluation and public
policy
Testing Applications

Professionals, 7e
Drummond/Jones
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The APA Ethical Principles of Psychologists
and Code of Conduct (2002) consists several
ethical standards set forth as rules of
conduct for psychologists.
American Psychological Association (APA)
Ethical Principles of Psychologists and
Code of Conduct

Professionals, 7e
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Psychologists should base recommendations
on information and techniques sufficient
enough to substantiate their findings.
Standard 9.01

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Psychologists should use valid and reliable
assessment techniques as evidenced by
research.
Standard 9.02

Professionals, 7e
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Psychologists must obtain informed consent
when using assessment techniques; this
includes explaining the nature and purpose
of the assessment, fees, involvement of third
parties, and limits of confidentiality.
Standard 9.03

Professionals, 7e
Drummond/Jones
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Psychologists must not release clients’ test
results unless the client gives permission; in
the absence of client permission,
psychologists provide test data only as
required by law or court order.
Standard 9.04

Professionals, 7e
Drummond/Jones
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Provides an outline of ethical procedures
involved in test construction.
Standard 9.05

Professionals, 7e
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15-45
When interpreting tests, psychologists need
to explain results in language that can be
understood by the individual being assessed.
Standard 9.06

Professionals, 7e
Drummond/Jones
15-46
Psychologists’ have a responsibility of not
promoting the use of psychological
assessment techniques by unqualified
examiners.
Standard 9.07

Professionals, 7e
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15-47
Psychologists refrain from basing their
assessment, intervention decisions, or
recommendations on outdated test results and
measures that are not useful for the current
purpose
Standard 9.08

Professionals, 7e
Drummond/Jones
15-48
Individuals offering assessment or scoring
services to other professionals have the
obligation to make sure their procedures are
appropriate, valid, and reliable. In explaining
assessment results, psychologists must
ensure that explanations are given by
appropriate individuals or services.
Standards 9.09 and 9.10

Professionals, 7e
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Psychologists are 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.
Standard 9.11

Professionals, 7e
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National Association of School Psychologists
(NASP) also have a code of ethics, “NASP
Professional Conduct Manual”
nasponline.org/standards/ProfessionalCond.pdf
NASP: Ethical Issues

Professionals, 7e
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The Code of Fair Testing Practices in
Education provides guidelines for assessment
in the following areas:
 Developing and Selecting Appropriate Tests
 Administering and Scoring Tests
 Reporting and Interpreting Test Results
 Informing Test Takers
Joint Committee on Testing Practices Code
of Fair Testing Practices in Education

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15-52
 The Code for Professional Responsibilities in Educational
Measure provides guidelines for assessment for
individuals who:
 Develop assessment products and services
 Market and sell assessments products and services
 Select assessments 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
National Council on Measurement in
Education (NCME) Code of Professional
Responsibilities in Educational Measurement

Professionals, 7e
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15-53
There are numerous common themes
among the ethical codes and guidelines
available for assessment.
Ethical Issues

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15-54
 Counselors should be properly trained for
the assessments they use.
 Different assessments require different
levels of training to administer, score, and
interpret.
Professional Training and Competence

Professionals, 7e
Drummond/Jones
15-55
1. Understand basic measurement concepts such as
scales of measurement, types of reliability, types of
validity, and types of norms.
2. Understand the basic statistics of measurement and
define, compute, and interpret measures of central
tendency, variability, and relationship.
3. Compute and apply measurement formulas such as
the standard error of measurement and the
Spearman-Brown prophecy formula [test length
relates to reliability].
4. Read, evaluate, and understand test manuals and
reports.
Competency Guidelines

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5. Follow exactly as specified the procedures for
administering, scoring, and interpreting a test.
6. List and discuss major tests in their fields.
7. Identify and locate sources of test information in
their fields.
8. Discuss as well as demonstrate the use of different
systems of presenting test data in tabular and
graphic forms.
9. Compare and contrast different types of test scores
and discuss their strengths and weaknesses.
10. Explain the relative nature of norm-referenced
interpretation and the use of the standard error of
measurement in interpreting individual scores.
Competency Guidelines, Cont.

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11. Help test takers and counselees to use tests as
exploratory tools.
12. Aid test takers and counselees in their decision
making and in their accomplishment of
developmental tasks.
13. Pace an interpretative session to enhance clients’
knowledge of test results.
14. Use strategies to prepare clients for testing to
maximize the accuracy of test results.
15. Explain test results to test takers thoughtfully and
accurately, and in a language they understand.

Professionals, 7e
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16. Use the communication skills needed in test
interpretation and identify strategies for presenting
the results to individuals, groups, parents, students,
teachers, and professionals.
17. Shape clients’ reaction to and encourage appropriate
use of the test information.
18. Be alert to the verbal and nonverbal cues expressed
by clients, not only in the testing situation but also
during feedback situations.
19. Use appropriate strategies with clients who perceive
the test results as negative.

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20. Be familiar with the test interpretation forms and
computerized report forms in order to guide clients
through the information and explanation.
21. Be familiar with the legal, professional, and ethical
guidelines related to testing.
22. Be aware of clients’ rights and the professional’s
responsibilities as a test administrator and counselor.
23. List and discuss the current issues and trends in
testing.

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24. Present results from tests both verbally and in
written form and know what types of information
should be presented in case studies and
conferences.
25. Discuss and utilize strategies to assist an individual
in acquiring test-taking skills and in lowering test
anxiety.
26. Identify and discuss computer-assisted and
computer-adaptive testing and show application to
their fields.

Professionals, 7e
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User qualification is a controversial area.
Some professionals maintain that only
psychologists should have the right to
assess, while others argue that professionals
with appropriate levels of training should be
able to assess.
Test User Qualifications

Professionals, 7e
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 In 1950 the APA developed a classification
system for assessments.
 While the system was later dropped, many
publishers continue to use this system.
 A-Level – No advanced training required.
 B-Level – Graduate degree with assessment
coursework.
 C-Level –B-Level qualifications plus a doctorate in
psychology or related fields; with specialized
training and supervision in assessment.
Test User Qualifications

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1. Skill in practice and knowledge of theory relevant
to the testing context and type of counseling
specialty.
2. A thorough understanding of testing theory,
techniques of test construction, and test reliability
and validity.
3. A working knowledge of sampling techniques,
norms, and descriptive, correlational and predictive
statistics.
ACA Standards for the
Qualifications of Test Users

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4. Ability to review, select, and administer tests
appropriate for clients or students and the
context of the counseling practice.
5. Skill in administration of tests and interpretation
of test scores.
6. Knowledge of the impact of diversity on testing
accuracy, including age, gender, ethnicity, race,
disability, and linguistic differences.
7. Knowledge and skill in the professionally
responsible use of assessment and evaluation
practice.
ACA Standards for the
Qualifications of Test Users, Cont.

Professionals, 7e
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Philosophical differences between psychologists
and educators exist in regards to testing.
 Counselors and psychologists consider
confidentiality to be a critical issue.
 Educators are often less concerned with
issues of confidentiality in regards to the use
of tests.
Client Welfare Issues

Professionals, 7e
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 Historically, test content has expressed a favoritism
toward white middle-class individuals.
 Care should be taken to ensure that assessments are
appropriately normed for clients and that results are
interpreted in a way that accounts for client context.
 Some gains are being made in creating assessments
that have greater sensitivity to minorities.
Test Bias

Professionals, 7e
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 Internet-based testing provides a mix of
benefits and liabilities.
 Benefits include:
 The large population access
 Lower cost
 The possibility of providing the tools around the
clock, without any time limitation
 The completely voluntary participation, which
usually improves respondents’ motivation
Internet-based Assessment

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Limitations of Internet-based testing include:
 Questions regarding validity and reliability
 Poor test construction
 Commercially driven
Internet-based Assessment, Cont.

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 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.
Legal Issues in Assessment

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 Employers cannot select and administer an
employment test if a particular disability
adversely affects an individual’s
performance on that test.
 Individuals with disabilities must be
assessed using “reasonable
accommodations.”
Americans with Disability Act of
1990

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 Modifications might include:
 extending testing time
 providing written materials in large print,
braille, or audiotape
 providing readers or sign language
interpreters
 holding test administration in accessible
locations
 using assistive devices
Americans with Disability Act of
1990

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All formal assessment instruments used for
employment decisions that may adversely affect
hiring, promotion, or other employment
opportunity for classes protected by Title VII
constitutes discrimination unless the test can
demonstrate “a reasonable measure of job
performance.”
Civil Rights Act of 1991

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 Protects students rights in regards to
records.
 Parents have the right to access their
children’s records, including test scores.
Family Education and Privacy
Act of 1974

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 Requires states to have a system in place for assessing
individuals from birth to 21 who may have a disability.
 The purpose of disability assessment is to:
 To determine if the child is a “child with a disability” as defined
by IDEA.
 To gather information that will help determine the child’s
educational needs.
 To guide decision making about appropriate educational
programming for the child.
 As a result of this act, schools have multiple means
available for assessing learning disabilities.
Individuals with Disabilities Education
Improvement Act of 2004

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 Many states use a Response to Intervention model
to assisting students:
 Early screening of all students to identify those who are
at-risk for academic failure.
 Providing research-supported instruction and other
interventions to at-risk students.
 Conducting frequent and repeated measures of student
progress to assess the effectiveness of interventions.
 Providing special education to those students who are
achieving below age/grade expectations and fail to make
adequate progress having been provided research-based
instruction and interventions.
Individuals with Disabilities Education
Improvement Act of 2004, Cont.

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 Provides mandatory guidelines for maintaining the
privacy of health records.
 General guidelines include:
 Provide information to clients about their privacy rights and
how that information can be used
 Adopt clear privacy procedures for their practices
 Train employees so that they understand the privacy
procedures
 Designate an individual to be responsible for seeing that privacy
procedures are adopted and followed, i.e., a privacy officer
 Secure patient records
Health Insurance Portability and
Accountability Act of 1996

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 Requires schools to demonstrate outcomes
measures for learning.
 Core principles include:
 Stronger accountability
 Increased flexibility and local control
 Expanded options for parents
 Emphasis on effective teaching
No Child Left Behind Act of 2001

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 Increases accountability for Career and
Technical Education programs.
 Strengthens the relationship between
secondary and postsecondary education.
Carl D. Perkins Vocational and
Technical Education Act of 2006

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 Larry P. v. Riles (1974, 1979, 1984)
 [use of IQ testing with Afr. Amer.]
 Diana v. California State Board of Education
(1973, 1979)
 [2nd lang]
 Debra P. v. Turlington (1979, 1981, 1983, 1984)
 [Afr.Amer. Students & graduation exam]
 Sharif v. New York State Educational
Department (1989)
 Gender bias in testing
Judicial Decisions Involving Educational
Assessment

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 Griggs v. Duke Power Company (1971)
 Washington v. Davis (1976)
 Bakke v. California (1978)
 Golden Rule Insurance Company v. Richard L.
Mathias (1980)
 Contreras v. City of Los Angeles (1981)
 Berkman v. City of New York (1987)
 Watson v. Fort Worth Bank and Trust (1988)
 Ward Cover Packing Company v. Antonio (1989)
Judicial Decisions Involving Employment
Tests

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