1. Supervision and Consultation
Roles, Values, and Techniques

2. Supervision
“an intervention that is provided by a senior member of a profession to a junior member of that same profession.”
May involve multiple roles
Teacher
Mentor
Coach
Evaluator
Adviser
Consultant

3. Bad Supervision (Borders 1994)
Micro-manage supervision
Hands off supervision
Little personal investment in supervisee
Mismatch in theoretical orientation or personality styles
Lacks rapport
Doesn’t instill a sense of trust or doesn’t encourage taking healthy risks

4. Good Supervision (Borders 1994)
Balance between support and challenge
Perceived faith in and respect for Supervisee
Adjusts role to meet Supervisees particular needs
Empathic, genuine, and open
Effectively teach and share necessary information
Flexible and accurate in supervision interventions (i.e. teacher, counselor, consultant)

5. Good Supervision (Borders 1994)
Clear, accurate, and frequent evaluation
Enjoys supervision
Committed to supervisee’s growth
Adequate preparation and structure
Professionally competent and experienced
Sense of humor

6. Relationship, Relationship…
As with most counseling, consulting, and virtually any interaction within the human service field, the RELATIONSHIP between supervisor and supervisee is the most important characteristic of the dyad!

7. Supervision Contract Informed Consent for Supervision is
Important, just as it is in Counseling
Keep in a Supervision file on each applicant that will include:
Informed consent
When supervisor and supervisee met
Who was involved: individual or triadic?
What was discussed (progress notes)
Any evaluations, assessments or correspondence
Payment record (when applicable)

8. Supervisor May be responsible May have gatekeeper responsibilities
For welfare of supervisees
For welfare to clients served by their supervisees
To their agency for the quality or services
May have gatekeeper responsibilities
Consultation is essentially a peer relationship where supervision involves evaluation and a power differential

9. Supervision Administrative Supervision:
direct-line administrators give direction or supervision to counselors who are their employees
Purpose: to ensure that counselors who are employed are performing their jobs appropriately

10. Supervision Clinical Supervision:
the work of counselors is reviewed by other mental health professionals, usually with the goal of increasing the counselor’s effectiveness.
Purpose- to help counselors increase their skills
The degree of control/authority that the supervisor has is an important distinction

11. Supervision
Within Counselor Education programs, supervision has the dual purpose of monitoring the services provided by counselors-in-training and monitoring the welfare of clients who are receiving the services (ACA Code of Ethics)

12. Supervision
Supervisees who work in public institutions and those in private organizations that have policies stipulating due process rights can expect to be protected from unfair or arbitrary decisions that affect them negatively
Legal due process rights derive from the Fourteenth Amendment to the US Constitution

13. Supervision
The most blatant violations of supervisees fair evaluation rights occur when a supervisee is given a negative final evaluation or is dismissed from an internship or job without having been given warning that performance was inadequate.
Supervisors should provide ongoing feedback, periodic evaluations, and reasonable opportunities to improve

14. Supervision Feedback should be both formative and summative
Feedback should be both written and oral
(ACA Standard F.5.a)

15. Supervision
Informed consent should be obtained from both the client and from the supervisee (ACA Code of Ethics)
Clients have the right to be aware that their counselors are working under supervision, and they have the right to know the supervisee’s qualifications
Written agreements are recommended for supervisory relationships– can avoid later misunderstandings

16. Supervisor Competence
Some states boards require approval of supervisors
NBCC offers a national supervisory credential
ACA Code of Ethics (Standard F.2.a) requires that prior to offering supervision services, supervisors must be trained in supervision methods and techniques.
Supervisors must continually seek continuing education
It is recommended for supervisors to seek consultation themselves.

17. Supervisor Registry
Many states, including Idaho, have a supervisory registry
Do I need to register as a supervisor?
This training was designed to meet the requirements for supervision of the Idaho State Board of Counselors.
Board is reportedly tightening its definition of supervision
Supervision can be a marketable commodity
Counselor Education Departments encourage you to register as a supervisor

18. Confidentiality For the Client
The supervisee will need to provide their clients with disclosure information that informs them of how the supervision process influences the limits of confidentiality and who will have access to their records.
The supervisor should be clearly identified within the supervisee’s informed consent along with contact information.
As a general rule, sharing confidential and privileged information with professionals who have a need to know for professional purposes is acceptable and does not destroy legal privilege

19. Confidentiality for the Supervisee
Information regarding supervisees is not confidential– with the exception of the information shared about clients
This is in marked contrast to confidentiality in Counseling
Be clear with your supervisees about this issue, but it is also best to be respectful of the supervisees and to avoid sharing information– especially negative information, with persons who do not have a need to know.

20. Confidentiality
When working for a community agency, follow the policy and procedures regarding release of client information

21. Supervisory Relationships
Must be carefully managed because of the potential for conflict created by multiple roles:
Teacher
Counselor
Consultant
Sexual relationships are inappropriate
Business relationships are discouraged
Professional distance is encouraged
Counseling and supervision are not the same thing, and counseling relationships are inappropriate with supervisees
Beware of transference and counter transference issues

22. Vicarious Liability
Generally, an employer will be held accountable for the negligence of an employee who is acting within the scope of employment
Respondeat superior: legal term for above
Tarasoff case not only set a precedent for duty to warn, but also liability for harm done was extended to the professional’s supervisor
Lack of awareness of supervisee’s actions is not an adequate defense

23. Vicarious Liability
The degree to which a supervisor is held responsible for a supervisee’s actions is to some degree a function of the authority of the supervisor for the supervisee
Both supervisors and supervisees should carry liability insurance

24. Accountability
Generally, a consultant does not have power and control over the person who is the recipient of the consultant’s advice.
Exceptions: when a consultant is a counselor’s administrative or clinical supervisor
Consultants give advice.
Individuals can choose to take the advice—or not.
Even if consultants give bad advice they generally are not held liable.
Reason: they have no control over the person who made the final decision

25. Ethics in Supervision: Assessment and Evaluation of Clients Report Writing Evaluation of Supervisees
Susan N. Perkins, PhD
Counselor Education Program
Northwest Nazarene University

26. Competency in assessment and evaluation of clients

27. ASCA
F.3 Supervision of School Counselor Candidates Pursuing Practicum and Internship Experiences: Professional school counselors:
b. Ensure school counselor candidates have experience in developing, implementing and evaluating a data-driven school counseling program model, such as the ASCA National Model.

28. IAMFC Section VII: Supervision
A. … Members provide supervision only within the limits of their professional competence. Additionally, they accept supervisory responsibilities only for counselors they can appropriately and adequately oversee.

29. IAMFC Section VII: Supervision
Supervisors assure that supervisees are knowledgeable about professional ethics and standards, and that they practice within those parameters.
(One of which is knowing limits of one’s competency.)

30. Small Group Brainstorming
In your setting, what types of client assessment do you conduct?

31. Client Assessments Some assessments may include: DSM-IV-TR Diagnoses
Testing
Mental health
Intelligence
Personality
Social skills
Safety issues
Suspicion of abuse
Progress in counseling
Impact of culture on the situation

32. Small Group Brainstorming
What decisions are made based on your evaluation of clients?

33. Decisions based on Assessments:
Some decisions may include:
Custody *Referral for medication
Assignment of special services *Removal from the home
Placement in classes/grade level
Involuntary admittance to treatment

34. Small Group—Reflection
What did you do to become competent to assess each of these areas?
What did you do to gain expertise in each of these areas?

35. Small Group—Link to Supervision
How can you assess your supervisees’ level of competence in each of these areas?
How can you help your supervisees grow in competence in each of these areas?
Report ideas to the workshop attendees.

36. Limits of Competency
Supervisees are rightly concerned about this. However, when they begin, everything is beyond their competency.
How do you address this with supervisees?

37. Limits of Competency
How do you know if an area of client assessment or evaluation is beyond your competency? How can you help supervisees recognize their own limits of competency?

38. Competency in oral and written report writing

39. ACA
Section F: Supervision, Training, and Teaching: F.1.a: Client welfare: “A primary obligation of counseling supervisors is to monitor the services provided by other counselors or counselors-in-training. Counseling supervisors monitor client welfare and supervisee clinical performance and professional development. To fulfill these obligations, supervisors meet regularly with supervisees to review case notes, samples of clinical work, or live observations.” [emphasis added]

40. ASCA
F.3 Supervision of School Counselor Candidates Pursuing Practicum and Internship Experiences: Professional school counselors:
b. Ensure school counselor candidates have experience in developing, implementing and evaluating a data-driven school counseling program model, such as the ASCA National Model.

41. Small Group Brainstorming
What reports do you CREATE? Verbally Written What reports do you RECEIVE?

42. Reports Verbal or written reports might include:
Grades
Progress reports
Testing reports
Documentation of previous medical treatment
Documentation of previous mental health treatment
Diagnoses
Assessments and intakes
Treatment plans and progress notes
Note that some of these reports may be VERY different based on the person to whom they are provided.

43. Consider the Context
Your job is to train your supervisee to be competent in these tasks. If the supervisee may practice in a different setting, you need to train the supervisee to be competent at creating and understanding reports in that setting, as well (within reason).

44. Discussion
What two strategies might work for training your supervisees to be competent in creating reports? Receiving reports?

45. … A little help
Handout: Guidelines for Professional Writing

46. Poor vs. Excellent EXCELLENT POOR
2. What common mistakes do you notice in (lousy) reports? 3. What makes a report pretty terrible?
1. What impresses you in excellent reports?

47. THE BALANCING ACT Client care Supervisee care Clinical Administrative
Identifying/defining role of supervisor
Balancing care of clients (being serviced under supervisor’s license) and providing training/care/support for supervisees
Struggle with the balance between the job training that supervisors do, and their desire to focus on clinical supervision. (It’s hard to get to the clinical stuff sometimes.)

48. Supervisee evaluation

49. ACA
Section F: Supervision, Training, and Teaching: “Counselors have theoretical and pedagogical foundations for their work and aim to be fair, accurate, and honest in their assessments of counselors-in-training.” F.5. Counseling Supervision Evaluation, Remediation, and Endorsement: F.5.a. Evaluation: “Supervisors document and provide supervisees with ongoing performance appraisal and evaluation feedback and schedule periodic formal evaluative sessions throughout the supervisory relationship.”

50. ACA
F.5.b. Limitations
Through ongoing evaluation and appraisal, supervisors are aware of the limitations of supervisees that might impede performance. Supervisors assist supervisees in securing remedial assistance when needed. They recommend dismissal from training programs, applied counseling settings, or state or voluntary professional credentialing processes when those supervisees are unable to provide competent professional services. Supervisors seek consultation and document their decisions to dismiss or refer supervisees for assistance. They ensure that supervisees are aware of options available to them to address such decisions. (See C.2.g.)

51. ACA
F.5.c. Counseling for Supervisees If supervisees request counseling, supervisors provide them with acceptable referrals. Counselors do not provide counseling services to supervisees. Supervisors address interpersonal competencies in terms of the impact of these issues on clients, the supervisory relationship, and professional functioning. (See F.3.a.)

52. ACA
F.5.d. Endorsement
Supervisors endorse supervisees for certification, licensure, employment, or completion of an academic or training program only when they believe supervisees are qualified for the endorsement. Regardless of qualifications, supervisors do not endorse supervisees whom they believe to be impaired in any way that would interfere with the performance of the duties associated with the endorsement.

53. ASCA
F.3 Supervision of School Counselor Candidates Pursuing Practicum and Internship Experiences: Professional school counselors. F.5.d. Endorsement
Supervisors endorse supervisees for certification, licensure, employment, or completion of an academic or training program only when they believe supervisees are qualified for the endorsement. Regardless of qualifications, supervisors do not endorse supervisees whom they believe to be impaired in any way that would interfere with the performance of the duties associated with the endorsement.

54. ASCA
F.3 Supervision of School Counselor Candidates Pursuing Practicum and Internship Experiences: Professional school counselors:
e. Ensure a site visit is completed by a school counselor education faculty member for each practicum or internship student, preferably when both the school counselor trainee and site supervisor are present.

55. IAMFC
Section VII: Supervision
E. … They articulate expectations surrounding skill building, knowledge acquisition, and the development of competencies. Members also provide ongoing and timely feedback to their supervisees.
H. Members who provide supervision endorse for practice only those supervisees who demonstrate expectations for competency and professional judgment.

56. Underlying Principles
Evaluation is … ???

57. Underlying Principles
Evaluation is …
for learning
best when it happens on an ongoing basis
easiest when people are open to each other
(should never be) a surprise
double-sided (evaluate for fit)
most clear when supported by policy and followed up with written documentation
important for the field of counseling

58. A couple notes …
For there to be no surprises, you need to know all of what you are looking for from the beginning.
Remember that you may be asked to provide a wide variety of types of documentation of your supervision for state licensure years after working with a supervisee.

59. Paperwork used for NNU field site evaluations
Mid-semester and end of the semester evaluations of the supervisee
End of the semester evaluations of the supervisor and the site

60. Photo Credits
Compass and Protractor: CODE: Question mark man: Circle of people: Gavel: Speed limit: Old typewriter: Margaret’s grades: Post-it: Post-it wall: Vote with dots: Scale: Notes: Question mark: