USING SUPERVISION

A Presentation by
Bruce D. Hartsell, LCSW
Lecturer
California State University, Bakersfield

1
 Why study supervision?

ï a. To become better supervisees.

ï b. To facilitate better service.
ï c. To produce better client outcomes.
ï d. To reduce risk.


 Purposes of Supervision

ï a. Protect the public

ï b. Develop professionals
ï c. Support professionals
ï d. Manage the work
ï e. Promote accountability

°
 unctions of supervision (Kadushin)

ï a. administration
ï b. education
ï c. supportive leadership

¢
 Definition of Supervision

ï?
ï?
ï?

ã
 Policy Bases of Supervision

ï a. Ethical
ï b. Legal
ï c. Professional
ï d. Institutional

(
 Ethical Requirements ± NASW

ï a. 1.0¢ Competence
@ @ @
   
  @ @ @  

 @ @ @
b. °.0V Administration
@ @ @    @ @ @  
 
   .

V
Ethical Requirements - Kohlberg

ï Stage ¢ ± societal norms

ï Stage ã ± universal principles
ï Stage ( ± claims of all individuals
ï Not Stage 1 ± what one can get away with

±
 Legal Requirements
a. Business and Professions Code, Chapter 1¢,
Article ¢
- ³. . . supervised course of study . . .´
- ³responsibility for, and control of´
b. CCR Title 1(, Division 1±
Unprofessional conduct -
- aid or abet unlicensed practice
- permits one under ³supervision or control´


 Professional Requirements

ï a. Based in ethics
ï b. Based in history

10
 Institutional Requirements

ï a. Based in ethics
ï b. Based in professional norms
ï c. Based in law
ï - work must be supervised by MSW
ï - must meet at least 1.ã hours per week
ï OR SUPERVISION

11
 Recommendations

ï Decide on your own purposes for

supervision.
ï Decide what ethical principles will guide
your supervision.
ï Evaluate the fit between your purposes and
your ethics.

1
What distinguishes supervision,
consultation, and collaboration?

ï a. Supervision includes responsibility for

the quality of the work and authority over
the work.
ï b. Supervision involves a fiduciary duty to
the supervisee and to the client.

1°
Distinctions -

ï c. Supervision requires monitoring and

evaluation of the work.
ï d. Consultation does not involve authority
although it implies expertise and therefore
responsibility.
ï e. Collaboration involves parallel work
without authority or responsibility for the
work of the other.

1¢
 Contexts of Supervision (Kadushin)

ï a. community
ï b. profession
ï c. organization
ï d. department
ï e. supervisor-supervisee

1ã
 Significance (Kadushin)

ï a. The work of an organization must be

organized.
ï b. inancial accountability to the
community must be maintained.
ï c. Policy accountability to the community
must be maintained.

1(
Significance --

ï d. Management needs information from

staff.
ï e. Because what we do is not directly
observable, supervision allows oversight.
ï f. The results of what we do are often not
easily evident.

1V
Significance --

ï g. The agency provides the clients, and the

clients have little choice.
ï h. Supervision is part of professional
socialization.
ï i. Professional activity is not controlled by
professional organizations.

1±
Significance --

ï j. Supervision shares responsibility for

decisions.
ï k. The demands of the job require
supportive supervision.
ï l. Social worker personalities and values
do not strongly oppose supervision.

1
 Three Types of Supervision

ï Administrative
ï Educational
ï Supportive

0
 Tasks of Administrative
Supervision

ï recruiting and selecting staff

ï inducting and placing the worker
ï planning work
ï delegating work
ï monitoring, reviewing, and evaluating work

1
 Administrative Tasks -
ï coordinating work
ï sharing information upwards, downwards,
and laterally
ï advocating change
ï buffering change


M
  
   
(Adair)

ï planning
ï initiating
ï controlling
ï supporting
ï informing
ï evaluating

°
 þ    (Drucker)
ï set objectives
ï organize
ï motivate and communicate
ï measure
ï develop people

¢
 Educational Supervision
ï acilitates learning
± Knowledge
± Skills
± Values
ï Applies learning theory
± Connects new to known
± Connects theory to practice

ã
 M M 

ï Instrumental issues ±
± information
± skills
± structures
± facilities

(
Supportive Supervision ßß
ï Personal issues ± emotional support
± recognition
± reassurance
± encouragement
± approval
± commendation
± catharsis
± desensitization

V
   
M  

ï People
ï Problem
ï Place
ï Process
ï Personnel

±
  
M  

ï theory
ï content
ï interpersonal process
ï intrapersonal process


  
M  

ï Philosophy
ï Theory
ï Technique

°0
 Roles and Models
ï Supervisor as manager, teacher, counselor
ï Developmental models
ï Discrimination model
ï Integrated (eclectic) model
ï Interactional model
ï Theory-specific models
ï Reflection

°1
 ` þ
ï 1. relationship building, goal setting, and
contracting the conditions of supervision
ï . fluctuation between roles as counselor and
teacher as skill deficits and stresses arise
ï °. collegial role in response to growing expertise
and confidence
ï ¢. consultant role as the supervisee becomes self-
directed and independent

°
 Another Developmental Model
(Loganbill)

ï stagnation
ï confusion
ï integration

°°
 M   



ï need for structure

ï need for direct feedback
ï need for didactic instruction
ï need for supervisor support

°¢
°ã
 Discrimination Model
(Bernard & Goodyear)

ï three foci ±
± process skills
± conceptualization skills
± personalization skills
ï three supervisor roles ±
± teacher
± counselor
± consultant

°(
 Integrated (Eclectic) Model

ï Variously conceived in the literature

ï Intensional inclusion of more than one
psychological theory
ï May include one orientation to supervision
and another to treatment

°V
 Interactional Model
(Shulman)

ï Preliminary Phase ± Tuning In

ï Beginning Phase
± Contracting
± Clarifying Purposes
± Specifying Roles
± Establishing Authority

°±
Interactional --
ï Middle Phase ± Work Phase
± Session tuning in
± Session Contracting
± Elaboration
± Empathy
± Sharing eelings

°
Interactional --
ï Middle Phase ± Continued
± Showing Vulnerability
± Demanding Work
± Pointing Out Obstacles
± Sharing Data
± Session Ending
ï Ending and Transition Phase

¢0
 Theory-specific Models

ï psychodynamic
ï behavioral
ï cognitive
ï technical eclecticism

¢1
 Reflection

ï guided questioning
ï assumes that increased awareness leads to
increased skill

¢
 Recommendations

ï Choose models
ï Discuss models with your supervisor
ï Agree on one or more models
ï Use the agreed-on models
ï Evaluate use of the models

¢°
Steps in the Supervision Process

ï determine what the supervisee needs to

learn
ï determine how the supervisee learns
ï determine which case will best facilitate
that learning
ï prepare to apply the learning

¢¢
Supervision Steps ßß

ï apply the learning

ï review the experience
ï provide feedback
ï reevaluate learning needs
ï repeat the process

¢ã
 Characteristics of a Good
Supervision Meeting

ï involves preparation and planning by both

parties
ï has a shared objective
ï focuses on the work of the supervisee
ï gives priority to the critical self-analysis of
the supervisee

¢(
Meeting Characteristics ßß
ï provides helpful feedback
ï occurs in the context of a facilitative
learning process
ï is consistent with good teaching-learning
theory and practice
ï provides follow through and connection to
the next meeting

¢V
 Recommendation

Develop an agenda for a typical

supervision meeting.

¢±
Content of a Supervision Session

ï ollow up on previous assignments

ï Identification of learning needs
ï Review of cases
ï Interventions within supervision session
ï Recommendations for action outside of
supervision

¢
 Diversity Issues

ï Diversity influences . . .
ï a. the experience of problems
ï b. the description of problems
ï c. approaches to solving problems
ï d. perception of helpers

ã0
 The Diversity Triangle

Client

Supervisor Supervisee

ã1
 Supervisor Duties to Clients
( alvey)

ï a. Assure client welfare

ï b. Assure informed consent for treatment
ï c. Assure informed consent for supervision
ï d. Manage confidentiality and its limits
ï e. Manage availability to clients

ã
 Supervisor Duties to Supervisee
(after alvey)

ï a. Select supervisee
ï b. Assess supervisee competence
ï c. Orient supervisee
ï d. Develop individualized supervision plan
ï e. Obtain informed consent for supervision

ã°
Duties --

ï f. Assign cases
ï g. Monitor cases
ï h. Document monitoring
ï i. Schedule and meet regularly for
supervision
ï j. Document supervision

ã¢
 Recommendation

Consider what duties you have to your client.

Consider what duties you have to your

supervisor.

Does your client have duties to you?

ãã
 The Duty ± Negligence Issue

ï A supervisor has a fiduciary duty to the

supervisee and to the client.
ï The duty involves meeting the standard of
care ± what a reasonably prudent
professional would do in the same situation.
ï ailure to meet the duty may constitute
negligence, which is actionable in court.

ã(
Negligence involves
ï a. Duty
ï b. Breach
ï c. Cause
ï d. Damage
ï . . . as shown by preponderance of evidence

ãV
 Examples of Supervisor
Negligence ( alvey)
ï a. failing to adequately plan the
supervisee¶s work
ï b. giving inappropriate advice to the
supervisee
ï c. failing to get adequate information about
a client
ï d. assigning tasks that the supervisor knew
or should have known the trainee was not
qualified to perform
ã±
 Vicarious Liability
ï Others may be legally liable for your acts or
omissions.
± Your supervisor
± Your agency administrator
± Your seminar instructor
± Other school officials

ã
 Supervisor - Supervisee
Relationship Problems

ï unmatched expectations
ï fear of disclosure
ï supervision outside expertise
ï boundary issues with clients
ï boundary issues in supervisory relationship

(0
 M  M 
     

ï games
ï supervisee discomfort with power
differential
ï supervisor discomfort with power
differential
ï organizational/structural barriers

(1
 Problems in Client-Helper
Relationships

ï inadequate understanding
ï inadequate rapport
ï unclear contract
ï unrealistic expectations
ï lack of progress
ï boundary problems

(
 u 

ï Strong feelings
ï Extended sessions
ï Inappropriate communication
ï Off-hours phone calls
ï Inappropriate gift giving

(°
u  ßß

ï Inappropriate home visits

ï Overidentifying
ï Loans, barter, and sale of goods or services
ï Inappropriate self disclosure
ï Touching

(¢
 Responses to Client-Helper
Relationship Problems

ï Identify the problem.

ï Define the problem.
ï Define appropriate behavior.
ï Develop strategies to implement appropriate
behavior.
ï Implement strategies.
ï Evaluate strategies.

(ã
Levels of Informed Consent ( alvey)
ï a. client consent to treatment by the
supervisee
ï b. client consent to supervision
ï c. supervisor consent to assume
responsibility
ï d. supervisee consent to supervision
ï e. institutional consent to comply with
supervision standards
((
Special issues with students ( alvey)

ï a. Those involved in selection must

exercise due diligence.
ï b. The training institution must warn field
agencies of known risks. (Altamonte v New
York Medical College)
ï c. Responsible people must share known
risks.

(V
Issues with Students --

ï d. aculty members supervising academic

seminars have a duty to exercise authority
and control over students.
ï e. The school may have vicarious liability.
ï f. Status as a trainee does not provide an
exemption from the duty to meet the
standard of care.

(±
 Considerations in assigning
clients ( alvey)
ï a. competencies and limitations of the
supervisee
ï b. complexity of the case
ï c. supervisee caseload numbers and
complexity
ï d. supervisor competencies and limitations
ï e. supervisor time for supervision

(
 Documents to Demonstrate
Proper Supervision (after alvey)
ï a. emergency contact information
ï b. supervisee profile
ï c. plan for supervision
ï d. supervision agreement
ï e. caseload supervision log sheet
ï f. supervision progress notes
ï g. initial clinical summary
ï h. termination summary
V0
 Recommendations to Reduce
Risk (after alvey)
ï a. Meet with each client during the
screening and assignment process.
ï b. Orient supervisees to informed consent,
dual relationship, and other ethical issues.
ï c. Require audio recordings on a structured
basis.

V1
To Reduce Risk --
ï d. Review recordings.
ï e. Regularly ask about personal reactions
to clients.
ï f. Document and follow up
recommendations.
ï g. Do not allow client contact or
supervision after hours.

V
 Recommendations to
Avoid Dual Relationships ( alvey)

ï a. Do not supervise current or former

clients.
ï b. Do not supervise current or former
family members, friends, sexual partners, or
business associates.
ï c. Avoid social activities with supervisees
that may blur roles or impair objectivity.

V°
To Avoid Dual Relationships --

ï d. Limit self-disclosure to that necessary

for supervision.
ï e. Avoid behavior or comments that could
be interpreted as romantic or sexual.
ï f. Identify personal feelings and obtain
consultation.

V¢
 Two more hints for self
protection

ï a. If most people wouldn¶t understand, you

probably shouldn¶t do it.
ï b. If you can¶t make yourself look good
when you explain your actions on the
evening news, don¶t do it.

Vã
 Responses to Client-Helper
Relationship Problems

ï Identify the problem.

ï Define the problem.
ï Define appropriate behavior.
ï Develop strategies to implement appropriate
behavior.
ï Implement strategies.
ï Evaluate strategies.

V(
May a supervisor supervise
outside of expertise?

ï What is expertise?

VV
Elements of Expertise (after Oliver)
ï a. acceptable training in the field
ï b. appropriate licensure
ï c. substantial relevant experience
ï d. sound use of knowledge, skills, and
principles
ï e. familiarity with and rational basis for
rejecting alternative views

V±
Expertise --

ï f. opinions based on evidence

ï g. opinions consider contradictory and
absent data
ï h. logical reasoning process
ï i. adherence to professional values and
ethics

V
?u    M
ï 1. Does not recognize or ignores relevant
information.
ï . Minimally recognizes relevant
information.
ï °. With coaching, can begin to apply
relevant information to situations.
ï ¢. Can identify and apply relevant
information in simple situations.

±0
   M
ï ã. Can identify and apply relevant
information in complex situations.
ï (. Can identify and apply relevant
information from more than one perspective
to complex situations.
ï V. Can identify and apply relevant
information from several perspectives to
complex situations.

±1
   M
ï ±. Can identify and apply relevant
information from several perspectives to
complex situations, and can clearly explain
the merits of each perspective in relation to
the field of knowledge.

±
 Recommendation
ï Complete a needs assessment.
ï Prioritize learning needs.
ï Incorporate those priorities in the learning
agreement.

±°