USING SUPERVISION
A Presentation by
Bruce D. Hartsell, LCSW
Lecturer
California State University, Bakersfield
1
Why study supervision?
a.
 b.
 c.
 d.

To become better supervisees.
To facilitate better service.
To produce better client outcomes.
To reduce risk.
2
Purposes of Supervision
a.
 b.
 c.
 d.
 e.

Protect the public
Develop professionals
Support professionals
Manage the work
Promote accountability
3
Functions of supervision (Kadushin)
a. administration
 b. education
 c. supportive leadership

4
Definition of Supervision
?
?
?

5
Policy Bases of Supervision
a.
 b.
 c.
 d.

Ethical
Legal
Professional
Institutional
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Ethical Requirements – NASW

a. 1.04 Competence
. . . within the boundaries of . . . supervised
experience . . .
b. 3.07 Administration
. . . resources . . . to provide appropriate
staff supervision .
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Ethical Requirements - Kohlberg
Stage 4 – societal norms
 Stage 5 – universal principles
 Stage 6 – claims of all individuals
 Not Stage 1 – what one can get away with

8
Legal Requirements
a. Business and Professions Code, Chapter 14,
Article 4
- “. . . supervised course of study . . .”
- “responsibility for, and control of”
b. CCR Title 16, Division 18
Unprofessional conduct - aid or abet unlicensed practice
- permits one under “supervision or control”
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Professional Requirements
a. Based in ethics
 b. Based in history

10
Institutional Requirements
a. Based in ethics
 b. Based in professional norms
 c. Based in law
 - work must be supervised by MSW
 - must meet at least 1.5 hours per week

FOR SUPERVISION

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Recommendations
Decide on your own purposes for
supervision.
 Decide what ethical principles will guide
your supervision.
 Evaluate the fit between your purposes and
your ethics.

12
What distinguishes supervision,
consultation, and collaboration?
a. Supervision includes responsibility for
the quality of the work and authority over
the work.
 b. Supervision involves a fiduciary duty to
the supervisee and to the client.

13
Distinctions c. Supervision requires monitoring and
evaluation of the work.
 d. Consultation does not involve authority
although it implies expertise and therefore
responsibility.
 e. Collaboration involves parallel work
without authority or responsibility for the
work of the other.

14
Contexts of Supervision (Kadushin)
a.
 b.
 c.
 d.
 e.

community
profession
organization
department
supervisor-supervisee
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Significance (Kadushin)
a. The work of an organization must be
organized.
 b. Financial accountability to the
community must be maintained.
 c. Policy accountability to the community
must be maintained.

16
Significance -d. Management needs information from
staff.
 e. Because what we do is not directly
observable, supervision allows oversight.
 f. The results of what we do are often not
easily evident.

17
Significance -g. The agency provides the clients, and the
clients have little choice.
 h. Supervision is part of professional
socialization.
 i. Professional activity is not controlled by
professional organizations.

18
Significance -j. Supervision shares responsibility for
decisions.
 k. The demands of the job require
supportive supervision.
 l. Social worker personalities and values
do not strongly oppose supervision.

19
Three Types of Supervision
Administrative
 Educational
 Supportive

20
Tasks of Administrative
Supervision
recruiting and selecting staff
 inducting and placing the worker
 planning work
 delegating work
 monitoring, reviewing, and evaluating work

21
Administrative Tasks coordinating work
 sharing information upwards, downwards,
and laterally
 advocating change
 buffering change

22
Six Functions of Leadership
(Adair)






planning
initiating
controlling
supporting
informing
evaluating
23
Management Tasks (Drucker)





set objectives
organize
motivate and communicate
measure
develop people
24
Educational Supervision

Facilitates learning
–
–
–

Knowledge
Skills
Values
Applies learning theory
–
–
Connects new to known
Connects theory to practice
25
Supportive Supervision

Instrumental issues –
–
–
–
–
information
skills
structures
facilities
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Supportive Supervision -
Personal issues – emotional support
–
–
–
–
–
–
–
recognition
reassurance
encouragement
approval
commendation
catharsis
desensitization
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Focuses of Supervision - I
People
 Problem
 Place
 Process
 Personnel

28
Focuses of Supervision - II
theory
 content
 interpersonal process
 intrapersonal process

29
Focuses of Supervision - III
Philosophy
 Theory
 Technique

30
Roles and Models
Supervisor as manager, teacher, counselor
 Developmental models
 Discrimination model
 Integrated (eclectic) model
 Interactional model
 Theory-specific models
 Reflection

31
Developmental Model




1. relationship building, goal setting, and
contracting the conditions of supervision
2. fluctuation between roles as counselor and
teacher as skill deficits and stresses arise
3. collegial role in response to growing expertise
and confidence
4. consultant role as the supervisee becomes selfdirected and independent
32
Another Developmental Model
(Loganbill)
stagnation
 confusion
 integration

33
Some dimensions of
development
need for structure
 need for direct feedback
 need for didactic instruction
 need for supervisor support

34
35
Discrimination Model
(Bernard & Goodyear)

three foci –
–
–
–

process skills
conceptualization skills
personalization skills
three supervisor roles –
–
–
–
teacher
counselor
consultant
36
Integrated (Eclectic) Model
Variously conceived in the literature
 Intensional inclusion of more than one
psychological theory
 May include one orientation to supervision
and another to treatment

37
Interactional Model
(Shulman)
Preliminary Phase – Tuning In
 Beginning Phase

–
–
–
–
Contracting
Clarifying Purposes
Specifying Roles
Establishing Authority
38
Interactional -
Middle Phase – Work Phase
–
–
–
–
–
Session tuning in
Session Contracting
Elaboration
Empathy
Sharing Feelings
39
Interactional -
Middle Phase – Continued
–
–
–
–
–

Showing Vulnerability
Demanding Work
Pointing Out Obstacles
Sharing Data
Session Ending
Ending and Transition Phase
40
Theory-specific Models
psychodynamic
 behavioral
 cognitive
 technical eclecticism

41
Reflection
guided questioning
 assumes that increased awareness leads to
increased skill

42
Recommendations
Choose models
 Discuss models with your supervisor
 Agree on one or more models
 Use the agreed-on models
 Evaluate use of the models

43
Steps in the Supervision Process
determine what the supervisee needs to
learn
 determine how the supervisee learns
 determine which case will best facilitate
that learning
 prepare to apply the learning

44
Supervision Steps -apply the learning
 review the experience
 provide feedback
 reevaluate learning needs
 repeat the process

45
Characteristics of a Good
Supervision Meeting
involves preparation and planning by both
parties
 has a shared objective
 focuses on the work of the supervisee
 gives priority to the critical self-analysis of
the supervisee

46
Meeting Characteristics -provides helpful feedback
 occurs in the context of a facilitative
learning process
 is consistent with good teaching-learning
theory and practice
 provides follow through and connection to
the next meeting

47
Recommendation
Develop an agenda for a typical
supervision meeting.
48
Content of a Supervision Session
Follow up on previous assignments
 Identification of learning needs
 Review of cases
 Interventions within supervision session
 Recommendations for action outside of
supervision

49
Diversity Issues
Diversity influences . . .
 a. the experience of problems
 b. the description of problems
 c. approaches to solving problems
 d. perception of helpers

50
The Diversity Triangle
Client
Supervisor
Supervisee
51
Supervisor Duties to Clients
(Falvey)
a.
 b.
 c.
 d.
 e.

Assure client welfare
Assure informed consent for treatment
Assure informed consent for supervision
Manage confidentiality and its limits
Manage availability to clients
52
Supervisor Duties to Supervisee
(after Falvey)
a.
 b.
 c.
 d.
 e.

Select supervisee
Assess supervisee competence
Orient supervisee
Develop individualized supervision plan
Obtain informed consent for supervision
53
Duties -f. Assign cases
 g. Monitor cases
 h. Document monitoring
 i. Schedule and meet regularly for
supervision
 j. Document supervision

54
Recommendation
Consider what duties you have to your client.
Consider what duties you have to your
supervisor.
Does your client have duties to you?
55
The Duty – Negligence Issue
A supervisor has a fiduciary duty to the
supervisee and to the client.
 The duty involves meeting the standard of
care – what a reasonably prudent
professional would do in the same situation.
 Failure to meet the duty may constitute
negligence, which is actionable in court.

56
Negligence involves
a. Duty
 b. Breach
 c. Cause
 d. Damage
 . . . as shown by preponderance of evidence

57
Examples of Supervisor
Negligence (Falvey)
a. failing to adequately plan the
supervisee’s work
 b. giving inappropriate advice to the
supervisee
 c. failing to get adequate information about
a client
 d. assigning tasks that the supervisor knew
or should have known the trainee was not
qualified to perform

58
Vicarious Liability

Others may be legally liable for your acts or
omissions.
–
–
–
–
Your supervisor
Your agency administrator
Your seminar instructor
Other school officials
59
Supervisor - Supervisee
Relationship Problems
unmatched expectations
 fear of disclosure
 supervision outside expertise
 boundary issues with clients
 boundary issues in supervisory relationship

60
Supervisor - Supervisee
Relationship Problems -games
 supervisee discomfort with power
differential
 supervisor discomfort with power
differential
 organizational/structural barriers

61
Problems in Client-Helper
Relationships
inadequate understanding
 inadequate rapport
 unclear contract
 unrealistic expectations
 lack of progress
 boundary problems

62
Boundary Problems
Strong feelings
 Extended sessions
 Inappropriate communication
 Off-hours phone calls
 Inappropriate gift giving

63
Boundary Problems -




Inappropriate home visits
Overidentifying
Loans, barter, and sale of goods or services
Inappropriate self disclosure
Touching
64
Responses to Client-Helper
Relationship Problems
Identify the problem.
 Define the problem.
 Define appropriate behavior.
 Develop strategies to implement appropriate
behavior.
 Implement strategies.
 Evaluate strategies.

65
Levels of Informed Consent (Falvey)
a. client consent to treatment by the
supervisee
 b. client consent to supervision
 c. supervisor consent to assume
responsibility
 d. supervisee consent to supervision
 e. institutional consent to comply with
supervision standards

66
Special issues with students (Falvey)
a. Those involved in selection must
exercise due diligence.
 b. The training institution must warn field
agencies of known risks. (Altamonte v New

York Medical College)

c. Responsible people must share known
risks.
67
Issues with Students -d. Faculty members supervising academic
seminars have a duty to exercise authority
and control over students.
 e. The school may have vicarious liability.
 f. Status as a trainee does not provide an
exemption from the duty to meet the
standard of care.

68
Considerations in assigning
clients (Falvey)
a. competencies and limitations of the
supervisee
 b. complexity of the case
 c. supervisee caseload numbers and
complexity
 d. supervisor competencies and limitations
 e. supervisor time for supervision

69
Documents to Demonstrate
Proper Supervision (after Falvey)
a.
 b.
 c.
 d.
 e.
 f.
 g.
 h.

emergency contact information
supervisee profile
plan for supervision
supervision agreement
caseload supervision log sheet
supervision progress notes
initial clinical summary
termination summary
70
Recommendations to Reduce
Risk (after Falvey)
a. Meet with each client during the
screening and assignment process.
 b. Orient supervisees to informed consent,
dual relationship, and other ethical issues.
 c. Require audio recordings on a structured
basis.

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To Reduce Risk -d. Review recordings.
 e. Regularly ask about personal reactions
to clients.
 f. Document and follow up
recommendations.
 g. Do not allow client contact or
supervision after hours.

72
Recommendations to
Avoid Dual Relationships (Falvey)
a. Do not supervise current or former
clients.
 b. Do not supervise current or former
family members, friends, sexual partners, or
business associates.
 c. Avoid social activities with supervisees
that may blur roles or impair objectivity.

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To Avoid Dual Relationships -d. Limit self-disclosure to that necessary
for supervision.
 e. Avoid behavior or comments that could
be interpreted as romantic or sexual.
 f. Identify personal feelings and obtain
consultation.

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Two more hints for self
protection
a. If most people wouldn’t understand, you
probably shouldn’t do it.
 b. If you can’t make yourself look good
when you explain your actions on the
evening news, don’t do it.

75
Responses to Client-Helper
Relationship Problems
Identify the problem.
 Define the problem.
 Define appropriate behavior.
 Develop strategies to implement appropriate
behavior.
 Implement strategies.
 Evaluate strategies.

76
May a supervisor supervise
outside of expertise?
 What
is expertise?
77
Elements of Expertise (after Oliver)
a. acceptable training in the field
 b. appropriate licensure
 c. substantial relevant experience
 d. sound use of knowledge, skills, and
principles
 e. familiarity with and rational basis for
rejecting alternative views

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Expertise -f. opinions based on evidence
 g. opinions consider contradictory and
absent data
 h. logical reasoning process
 i. adherence to professional values and
ethics

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A Basic Evaluation Scheme
1. Does not recognize or ignores relevant
information.
 2. Minimally recognizes relevant
information.
 3. With coaching, can begin to apply
relevant information to situations.
 4. Can identify and apply relevant
information in simple situations.

80
Evaluation Scheme -5. Can identify and apply relevant
information in complex situations.
 6. Can identify and apply relevant
information from more than one perspective
to complex situations.
 7. Can identify and apply relevant
information from several perspectives to
complex situations.

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Evaluation Scheme -
8. 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.
82
Recommendation
Complete a needs assessment.
 Prioritize learning needs.
 Incorporate those priorities in the learning
agreement.

83