APPENDIX B: CONDUCT IN SOCIAL WORK FIELD
EDUCATION
Acknowledgement: Professor Lesley Cooper, Flinders University
1.
1.1
COMPETENCE AND PROFESSIONAL DEVELOPMENT
Boundaries of Competence
Principle:
A competent professional is one who has acquired the necessary skills, abilities and
knowledge in regard to the population and problems represented by the clientele with
whom he or she works (Vasquez 1992:198). In general a trainee is held to the same
standard of care as a qualified professional (Harrar, Vandercreek & Knapp 1990.39).
The social worker should provide service, conduct research and supervise only within the
boundaries of their competence, based on their education, training supervised
experience or appropriate professional experience (APA 1990)
Social workers who undertake student supervision have a responsibility to
acquire competency in this complex and important area. Supervisors are
expected to have received training in supervision or must in other ways
demonstrate competence as supervisors before they can supervise others
(Harrar et al 1 0:37). Supervisors should supervise only in areas in which
they feel competent to provide service. Where this is not the case they
should seek consultation for themselves or their students (Sherry 1991:573).
A supervisor should not permit a student to engage in any practice which
they cannot competently perform themselves (Harrar et al 1990:38). It is
important for the supervisor to regularly assess and review his or her
process and outcome effectiveness as a supervisor. At a minimum,
supervisors should seek peer review and consultation as we11 as regular
supervisee feedback regarding the adequacy of their supervision (Kurpius,
Gibson, Lewis & Corbet 1991:55).
The supervisor has both a professional and legal responsibility to be aware
of the student's boundaries of competence, delegating, only those
responsibilities and tasks that the student is capable of undertaking without
jeopardising the welfare of the client (Harrar et al 1990:38).
It is the students responsibility to be a of the limits of their competence.
Where students are directed to undertake work that that they feel is beyond
their competence and where supplementary assistance and direction does
not reassure the student that the client is not at risk, the student has a duty
to pursue the matter until satisfactorily resolved. Students must not take
action with a client without the knowledge and permission of the supervisor to do so exposes the student to sole legal liability for negligence as students
are covered by public liability insurance only if supervised.
1.2
Maintaining Expertise
Principle:
All social workers are expected to maintain a reasonable level of awareness of current
professional information in their fields of activity and undertake ongoing efforts to
maintain competence.
1
Supervisors are required to provide practical learning experiences
appropriate to the levels of student needs.
Supervisors are expected to be aware of their student's course content and
to provide proper orientation, current and comprehensive knowledge of their
agency's policies, procedures and practices for their students.
Students are expected to be committed to the acquisition and maintenance
of knowledge and expertise as a career long practice.
1.3
Accurate Representation
Principle:
The social worker must accurately represent their competence education training and
experience to clients, the public, colleagues and students
Students must fully inform their clients of their student status at first contact
to enable legitimate consent for further contact.
It is the supervisor's responsibility to ensure that the student is clearly and
accurately representing him/herself (Stout 1987:93). Failure to do so may
result in legal action alleging fraud, deceit, misrepresentation, invasion of
privacy, breach of confidentiality and lack of informed consent (Oliver
1986:560).
1.4
Utilisation of Supervision in Placement
Principle:
Supervision is valued by the profession for its provision of support, its educative function
and .for providing administrative accountability
Both supervisor and student should maximise the utilisation of this opportunity
by adequate preparation and by both taking an active role in the process.
The supervisor is administratively and legally responsible for the actions of
their supervisee -the two parties together constitute a corporate practitioner
(Strein & Hershonson 1991:314-15). Supervisors have an all encompassing
need to know of the actions of their student. It is essential that there be a full
and free flow of information between supervisor and student Students thus
have a duty to be honest and frank with their supervisor and to provide them
,with full and accurate information. Failure to keep the supervisor informed
could have legal consequences for the student. There is no legal protection
for the student if an error is made and the supervisor did not sanction the
action. In order to be covered by public liability insurance the student must
have acted within the defined scope of tasks permitted by the supervisor and
the supervisor have had control over the students work (Harrar et al 1990:39).
The supervisor can improve the accuracy of reporting in supervision by not
relying on verbal accounts from the student. Verbal reports should be
supplemented with information from a range of sources (Hassenfeld 1987:7576)
2
Prior to the beginning of Placement the supervisor must make the necessary
arrangements with the agency and have clarified their decision making
responsibility (Harrar et al 1990:39).
2.
2.1
INTEGRITY AND PROPRIETY
Personal Values and Conduct
Principle:
Social workers must continually be aware of their personal values and how these values
influence decision making. Where the AASW Code of Ethics cannot provide direction,
one's personal and moral values provide the basis for ethical decision making. Scrutiny of
the fit between personal, professional and societal ethical standards can strengthen
professional competence and confidence in making ethical decisions.
The social worker should maintain high standards of personal conduct in their
capacity or identity as a social worker, acting with integrity and impartiality.
The private conduct of a social worker is a personal matter to the same
degree as any other person's except where that conduct compromises the
fulfilment of professional responsibilities. Social workers must be fit and
proper persons to carry out their professional duties. They should not
participate in, condone or be associated with dishonesty, fraud, deceit,
misrepresentation, abuse or exploitation in either their personal or lives (AP
1990; EARC 1992).
It is the responsibility of the supervisor to ensure that the personal conduct of
the student, both within and external to Placement, is not a threat to clients or
the reputation of the agency. Where morally questionable behaviour is
evident the supervisor should examine the nature and possible detrimental
effects of this behaviour with the student in supervision and take appropriate
action (Sherry 1991:575-76).
A goal for supervisors should be to promote the personal development of
students, to promote self-awareness and the ability to recognise personal
issues that could negatively affect their work (Vasquez 1992:199).
Students often model their ethical decision-making on the example provided
by their supervisor. Field instructors, as mentors, thus carry a heavy
responsibility to model ethical behaviour to students (Congress 1992:16 1)
2.2
Personal Problems and Conflicts
Principle:
The social worker should be alert to and resist the influences and pressures that interfere
with the exercise of professional discretion and impartial judgement
A professional may suffer personal problems serious enough as to impair that
professional's functioning. Impairment is defined as:
a) an inability or unwillingness to acquire and integrate professional
standards into one's repertoire of professional behaviour
3
b) an inability to acquire professional skills and reach an accepted level of
competency
c) an inability to control personal stress, psychological, dysfunctional or
emotional reactions that may affect professional functioning (Lamb et al, in
Vasquez, 1992.200).
A social worker suffering from impairment may not be in a position to
effectively supervise a student.
An impaired student may not be in a position where they can satisfactorily
meet the professional standard of a pass grade.
Where personal problems and conflicts do not constitute impairment but may
impact on professional performance, both supervisors and students have a
responsibility to seek assistance to minimise the impact of these problems on
their work. It is suggested that students inform their supervisor of relevant
factors which may impair their performance. Supervisors should regularly
liaise with field staff where the student has significant personal difficulties.
Assistance can be provided to students through the Health and Counselling
Services at the university.
Where a student feels that a supervisor is impaired they should discuss the
problem with field staff as soon as it becomes an issue.
2.3
Dual Relationships and Boundary Violations
Principle:
In situations where there is a combining of a professional role with another role a dual
relationship exists Professionals must strive to maintain clear boundaries between their
professional relationships and other relationships with clients colleagues and students
AL1 professionals are vulnerable to crossing these boundaries and thereby compromising
the integrity and objectivity of the professional relationship.
In theory. dual or multiple relationships should be avoided where possible as
they represent a conflict of interest and are potentially exploitative of the less
powerful member (Pope in Corey, Corey & Callanan 1988:214). In reality,
however, dual relationships are almost impossible to eliminate. The
ambiguity, contradiction and complexity of relationships cannot be
oversimplified by a total prohibition. Some dual relationships warrant
prohibition, however a total prohibition on all dual relationships would in some
instances itself be unethical (Ryder & Hepworth 1990: 129.
Serious violations of the professional relationship, could constitute grounds
for malpractice where the client or student has suffered as a result.
Dual relationships which have a high probability of leading to harm and
therefore must be avoided are those that have:
1.
2.
3.
4.
highly incompatible expectations
highly divergent obligations
disparities of power and prestige
a high risk of harm (Kitchener, 1988 in Vasquez 1991:201).
4
As a general guide social workers should refrain from entering into, or
promising another personal, professional, financial or other relationship if such
a relationship:



is likely to impair their objectivity
might interfere with the effective performance of their professional
functions might exploit the other party
might compromise the reputation of the agency.
Where a dual relationship is unavoidable it would be ethical to minimise the
imbalance of power where possible (Ryder & Hepworth, 1990:130) and to
clarify mutual expectations. When a professional relationship has been
compromised by another relationship the professional relationship should be
terminated.
Some boundary violations and dual relationships relevant to field Placement
are detailed below:
Sexual relationships with clients
Principle:
Under no circumstances is it ethical to engage in either overt or covert sexual intimacies
with current clients. It is also unethical to accept as a client, a person with whom the
social worker has previously engaged in sexual intimacies . Post-termination sexual
relationships are almost always unethical, regardless of the time that has elapsed - a
subsequent equal relationship may be an impossibility (Quadrio 1992:359).
Clients who have had sexual relationships with their professional helper
experience profound mistrust. anger, problems with self identity and self
esteem, and symptoms of post traumatic stress (Kagle & Giebelhausen
1994:213; Markowitz 1992.28). The dynamics and effects of such
relationships are akin to those of incest and other forms of violence (Quadrio
1992:350). Covert sexual communication is just as serious, the boundary
violation being as damaging as the sex itself (Markowitz 1992:30).
A client cannot legitimately give consent a sexual encounter with a
professional. Consent is simply not valid in such situations any more than it is
in incest. There can be no consent that legitimises a clearly exploitative act
(Pope, in Quadrio 1992:355). Consent is no legal defence either.
Professionals may be liable for both criminal and civil actions in such
situations (Wilson & Hume 1993:329).
Where sexual advances are made by the client it is the responsibility of the
professional to resist those advances. When this occurs, it is not sexual
intimacy that the client wants, but connectedness and validation based on
trust and safety. Sexual intimacy violates this trust (Markowitz 1992:30).
Sexual relationships between students and supervisors
Principle:
The supervisor-student relationship has similarities to the professional-client
relationship. The marked power imbalance and the compromise of the supervisor's
objectivity in assessment of the student makes any sexualisation of this relationship
whether overt or covert, unethical. Due to their vulnerability and lesser awareness of
5
ethical conduct students are not in a position to legitimately consent to sexual contact
with their supervisor (Sherry 1991:581; Vasquez 1991.201).
The supervisor has a greater responsibility than the student to ensure that
sexual feelings and behaviour do not contaminate the supervisory
relationship. The student also has some responsibility to ensure sexual
relationships do not contaminate the validity of their assessment.
Where feelings of sexual attraction develop both student and supervisor have
individual responsibility to analyse whether these feelings are impacting on
their professional position, to consider whether these feelings should be
declared and to terminate the supervisory relationship when it is not possible
to eliminate this conflict of interest.
Contaminating supervision with therapy
Principle:
Therapy and supervision are incompatible relationships, the former requiring a warm,
empathic and supportive relationship, the latter a critical evaluation of the student's
performance. It is unethical to combine the two.
The nature of the supervisory relationship creates potential for role confusion.
Its goals of learning and development exist in a context of multiple roles and a
differential of power. There is always the danger of inadvertently shifting from
educational to therapeutic goals.
When personal problems and conflicts arise during the performance of a
student's work they should be explored and clarified in supervision but should
be limited to this level of exploration. To proceed to analysing what caused
these problems, identifying goals for change and developing methods to
achieve these goals constitutes a therapeutic process and is a conflictual dual
relationship with supervision. Where it is deemed necessary for the student to
undertake therapy for satisfactory professional development, a referral should
be undertaken vMh a suitable professional (Kurpius et al 199L.49-52; Whiston
& Emerson 1989: 320-22; Burns & Holloway 1989:47-49).
2.4
Barter and Gifts
Principle:
Social workers should in general refrain from accepting goods services and monetary
remuneration in addition to the financial cost of service because such arrangements can
create inherent potential for conflicts of interest, exploitation and distortion of the
professional relationship. This applies to relationships with clients, colleagues,
supervisors and students.
The giving and receiving of gifts has cultural and therapeutic significance in
any helping relationship, being a powerful means of adding warmth to an
impersonal and formal relationship, of 'cancelling the debt' and thereby
restoring the power balance between helper and helpee. However the
practice can also compromise the objectivity of the professional relationship,
impairing or appearing to impair, professional judgment, thereby allowing the
6
gift giver to obtain, or expect to obtain, a special advantage from the
professional (Eastmond & Jones 1993.45). The giving or receiving of gifts or
barter for services may also compromise the reputation of the agency.
Acceptance of a gift is permissible only if.





the gift is of token value
there is no explicit or implicit expectation by the gift giver of a resultant
advantage
acceptance of the gift is not exploitative of the less powerful party
to refuse would offend or disempower the client
receipt of the gift would not compromise, or be seen to compromise, the
agency in any way
Students must in every instance inform their supervisors of offers of gifts.
Where the gift is of greater than token value it should be sensitively refused
or the agency's management informed for response.
2.5
Documentation of Work
Recording
Principle:
Social workers must appropriately and accurately document their work in order to
facilitate the provision of subsequent services by professionals, to ensure accountability
and to meet requirements of the law and the employing organisation (APA 1990).
Records should be written as if they may be seen by the client or become
public. Facts should be clearly differentiated from opinion, an assessment and
any advice given must be clearly documented with a stated rationale.
Confidentiality of records must be maintained in accordance with the law and
agency policy in the creation, storage, access, transference and disposal of
client and agency information.
Credit for authorship and plagiarism
Principle:
Social workers will take responsibility and credit only for work they have actually
performed or to which they have contributed
It is unethical to present substantial portions of another's work as one's own,
even if the other worker is cited occasionally (APA 1990).
Students on Placement should be given credit for major or minor authorship
of work.
7
3.
3.1
RESPECT AND CONCERN FOR THE DIGNITY, RIGHTS AND WELFARE
OF OTHERS
Respecting Others
Principle:
Social workers demonstrate by their conduct respect for the rights of individuals to
autonomy self-determination, justice privacy and confidentiality. Social workers are
mindful of cultural, individual, role and status differences including those due to age
gender race ethnicity religion, sexual orientation, disability language and socio-economic
status Social workers are committed to being vigilant in self-awareness of their own
biases and endeavour to eliminate the effects of bias based on the above factors upon
their work. Social workers always seek to contribute to the welfare of those with whom
they interact professionally respecting the autonomy of clients and endeavouring in their
intervention to maximise client empowerment. Practices of paternalism, manipulation and
coercion are acknowledged as disempowering and are used only when other options are
unavailable to assist the client
Students, as adult learners should be treated as autonomous agents,
possessing the right of self determination and freedom of choice in learning.
This autonomy is not absolute, being balanced with the need for the
supervisor to ensure that no harm comes to the client as a result of the
student's experimentation. Students can decide what is good for them to
learn; they must also be directly involved in the learning process.
Authoritarian and paternalistic attitudes by supervisors do not demonstrate
respect for learners (Connelly & Light 1991:236-37).
3. 2 Recognition of Difference
Principle:
Social workers must not engage in practices that discriminate against others based on
age, gender race. ethnicity, religion. sexual orientation, disability, socio-economic or other
status Social workers must be aware of their own biases when working with members of
oppressed groups (Vasquez 1992:198) and cognisant of the dynamics of power in
relationships. Multi-source, multi-level and multi-method approaches should be used to
assess the capabilities, potentials and limitations of clients (Ibrahim & Arredondo
1986.250).
Social workers respect diversity within the profession, recognising the many ways that
expertise can be gained, not just through the channels of formal education (Connelly &
Light 1991:237).
Both students and supervisors need to be tolerant of the different
backgrounds, perspectives and points of view of the other.
A competent supervisor demonstrates knowledge of difference and
understands the importance of these characteristics in supervisory
relationships. They are aware of the way that subtle and unconscious beliefs
may intrude on the supervisory relationship. Supervisors should take
responsibility for safeguarding pluralistic attitudes, modelling respect for
differences in values, perspectives and experiences. Supervision should
provide an atmosphere in which the development of empathy for the
experience of oppression can be promoted (Kurpius et al 1991:53-54). At the
8
outset, supervision norms should be set for the examination of the impact of
the above factors on the supervisory process (Sherry 1991:574).
Students should examine how the above factors in their own lives influence
their professional philosophies and challenge themselves during Placement
to recognise the personal limits these factors impose on their practice
(Ibrahim Arredondo 1986:350).
3.3
Exploitation
Principle:
Social workers must not exploit relationships with clients, colleagues or students primarily
for their own gain or to get their own needs met at the expense of others. 7he imbalance
of power in relationships between professional and client and between supervisor and
student makes these relationships vulnerable to exploitation by the more powerful party.
Sexual relationships between supervisors and students are exploitative
because the student is in a position of diminished consent (see Dual
Relationships).
Role reversal in the supervisory relationship is exploitative of the student and
harmful to the student's professional development, robbing the student of the
freedom to learn and the right to guidance (Kaiser 1992:290).
Creation of dependency in the student in order to meet the emotional needs
of the supervisor is exploitative of the student's reliance on the supervisor. It
is the supervisor's responsibility to assist the student towards professional
competence and independence.
Students should extend their level of competence in Placement. Requiring or
expecting students to perform tasks that they am already competent to do
without compensation for their time and effort is exploitative (Sherry
1991:580)
3.4
Sexual and Other Harassment
Principle:
Social workers must not knowingly engage in behaviour that is harassing or demeaning to
persons with whom they interact in their work.
Social workers must not engage in sexual or other harassment of clients, colleagues or
students.
Harassment is sexual solicitation, physical advances or verbal or non-verbal
conduct that is:
•
unwelcome, offensive or creates a hostile work environment, or
•
is sufficiently severe or intense to be abusive to a reasonable person.
9
Sexual harassment may constitute grounds for criminal assault as well as be
a breach of the disciplinary code of the organisation (see also Exploitation,
Dual Relationships and Non-discrimination).
The vulnerability of complainants in subordinate positions to the offender
must be recognised. Where students suffer sexual or other harassment they
should discuss the matter immediately with their field education coordinator.
Students will be protected from sexual and other harassment by field
education staff. Every effort will be made to ensure that students are placed in
a safe environment.
3.5
Avoiding Harm
Principle:
Social workers must take due care and act in good faith m the exercise of their duties. Social
workers must take reasonable steps to avoid harming their clients, students and others with
whom they work and to minimise harm where it is foreseeable and unavoidable.
A practitioner is required to perform in a manner consistent with the way an
ordinary, reasonable and prudent professional would act under the same or
similar circumstances (Reamer 1989:445). Failure to do so may result in legal
liability for a civil claim should the client suffer harm that was reasonably
foreseeable.
Clients have a right to expect the same standard of care from a student as
from an experienced professional (Zakutansky & Sirles 1993:339). With the
trainee professional role comes the responsibility to uphold the same legal,
professional and ethical standards as other practicing social workers.
Students must be aware of the limits of their knowledge and competence,
exercise due care at all times, act only under direction and always seek help
when needed.
Supervisors assume responsibility for ensuring the competent practice of their
students and the protection of the client from harm. The legal doctrine of
'respondeat superior' or 'vicarious liability'. places responsibility for the actions
of supervisees conducted during the course of their Placement with the
supervisor (Reamer 1989:445). This doctrine does not release students from
liability but spreads the responsibility to the supervisor, provided the student
was acting under the control of the supervisor and the student was engaged
in serving the client (Zakutansky & Sirles 1993:340).
Where a client suffers harm as a result of the actions or inactions of a
professional, the civil or criminal legal liability which may result for both
supervisor and student may include:








the improper death of a client or other person
failure to exercise reasonable care in cases of client suicide
failure to warn and protect others from a violent client
abandonment of a client
striking or physically assaulting a client
sexual involvement with a client
illegal search
failure to respect the client's dignity and privacy
10







failure to obtain client consent
failure to keep adequate records
breach of contract
exertion of unnecessary treatment influence on a client
improper diagnosis and utilisation of assessment techniques
provision of poor advice
failure to determine that a specialist is required / failure to consult / failure
to refer
 when a clients needs are beyond the worker's level of competence
 misrepresentation of professional training and skills
 failure to exercise adequate supervision, failure to provide adequate
information necessary for supervisees to obtain client consent, failure to
review and approve the supervisee's actions, failure to detect and stop a
negligent treatment plan, failure to meet regularly with the supervisee,
failure to provide adequate coverage in the supervisee's absence (Reamer
1989:44-46; Corey 1988:231).
Supervisors also have responsibility for ensuring that Placement is a
physically and emotionally safe experience for students and that students are
protected from harm. Students are protected by Occupational Health and
Safety legislation whilst on Placement. They must never be placed in
situations of risk to their physical or emotional well-being. A responsible
supervisor will ensure that these standards are met as a minimum and that
extra consideration of risk to the student be made due to their reduced
capacity for self protection.
4.
PROFESSIONAL RESPONSIBILITIES
Principle:
The welfare of clients, the public, students and the integrity of the profession shall, in
general take precedence over social workers' self interest and over the interests of the
social worker's employer and colleagues (APS 1986).
4.1
Responsibilities to Clients
Primacy of client interests
Principle:
The social worker's primary responsibility is to the client. Social workers should serve
clients with loyalty devotion determination and the maximum application of professional
skill and competence (NASW 1986). In all aspects of the social work process, including
allocation, assessment, intervention and termination, clients interests shal1 be the
primary consideration. Where a social worker has multiple clients they must endeavour to
ensure that improvement in the status of one client does not occur at the expense of
another (Margolin 1982:789).
The professional relationship is fiduciary in nature - trust is placed in the
professional to act in the best interests of the client, using professional
knowledge and expertise. The recognition of the superior knowledge of the
professional imposes special obligations upon the professional (Zakutansky
1993:339).
Supervisors have a legal duty to thoroughly investigate any suggestions of
harm to a client. Students must take action to protect a client if at any time
they feel that a client is not receiving adequate care (Harrar et al 1990:40).
11
Professional involvement will be terminated when no longer needed by the
client. A professional relationship will not be maintained solely for the purpose
of student learning (Minnes 1987:288).
Informed consent
Principle:
Clients have a basic right to make choices regarding their lives and a right to be provided
with sufficient information to enable a legitimate choice. Social workers must be open,
transparent and truthful in their interactions with clients. Social workers make every
attempt to foster the maximum autonomy of clients.
Wherever possible clients should be empowered to make their own decisions.
Deprivation of liberty and choice, coercion, manipulation paternalism are
practices avoided by the ethical social worker and will be exercised only when
the client requires protection and this cannot be achieved by other means.
Social workers should provide clients with accurate and complete information
regarding the extent and nature of services available to them at, or before,
the time that a professional relationship is entered into. Clients should be
given an explanation of:









the role of the professional and their qualifications
the purposes, goals, techniques and rules of procedure
the negotiables and non-negotiables
discomforts or risks to be expected
respective obligations and responsibilities
benefits to be expected from intervention or treatment
limitations of, and alternatives, to service/treatment/intervention
the right to ask questions at any time
the right to withdraw consent and discontinue participation at any time
(Margolin 1982:794).
For consent to be valid six standards must be met:
1.
2.
3.
4.
5.
6.
an absence of coercion and undue influence
the client is capable of providing consent
clients must consent to specific procedures
the forms of consent must be valid
the client has the right to refuse, or to withdraw consent at any time
client decisions are based upon adequate information (Reamer 1987.426).
Informed consent is legally required before a professional can proceed with
intervention or treatment. Failure to adequately obtain consent may be legal
grounds for assault and battery. Exceptions to the rule are under emergency
circumstances, with children and those who are not competent to make an
informed decision. In such circumstances it is advisable to consult with others
who can advocate for the interests of the disempowered client (Bray,
Shepherd & Hays 1985:54-56).
Privacy and confidentiality
Principle:
12
The right to privacy is the right of individuals to choose what others may know about them
and under what circumstances. Confidentiality is the right to privacy in the context of
professional relationships. Social Workers have a strong legal and moral duty to respect the
client's right to control the collection of personal information and access to it.
Confidentiality is not an absolute concept. The protective privilege of the
principle of confidentiality ends where the public peril begins (Kopels & Kagle
1993:103). Dilemmas we created when other duties impinge on the protection
of client confidentiality. Conditions for the release of confidential information
are:

•when the unit of the information consents to its release, either explicitly or
implicitly
 •when it is believed on reasonable grounds that release is necessary to
prevent or lessen a serious and imminent threat to the life or health of the
unit or of some other person
 •when required by, or under law (SA Government Privacy Principles
Instruction 1992).
Clients must be informed of both the importance of confidentiality and its
limits. In the field Placement situation clients must also be made aware of the
non-dyadic nature of the relationship between the student and the client,
being informed of the existence and role of the supervisor (Hassenfeld
1987:77).
Confidentiality in the work environment must be fostered. Confidential matters
should not be discussed where others may overhear. Breaches of confidence
must be directly confronted by colleagues.
Students will exercise due care in safeguarding the confidentiality of agency
and case information as it is transferred from agency setting to practice
classroom or integrative field seminar (Alperin 1989:99).
4.2
Responsibilities to Society
Taking action against the unethical conduct of colleagues
Principle:
Social workers have a duty to act in the public interest and to protect the public from
foreseeable harm. This entails where necessary taking action against the wrong-doings
of colleagues. To overlook or justify the unethical behaviour of colleagues is to breach
public trust and confidence that the profession will, in exchange for the granting of
professional status, regulate the conduct of its members. It is a professional responsibility
of each individual to confront incompetence, unprofessional conduct and unethical
activities by colleagues (Reamer 1992:168).
Professionals, including social workers, have demonstrated reluctance to
report incompetent, impaired or unethical colleagues. Impaired professionals
also have a low incidence of help seeking behaviour (Reamer 1992:167).
Studies have suggested that the prevalence of unethical conduct by
professionals does not appear to have altered over the past 20 years (Wilson
& Hume 1993:329) and that neither improved training, licensing, personal
therapy or supervision guarantee against such conduct (Quadrio 1992:349).
13
Unethical conduct may include impair negligent or exploitative behaviour
against a client, employer, colleague or student, or by agency against certain
groups in the community (Loewenberg 1987).
There are several possible strategies for confronting incompetent or unethical
conduct, including discussion with the colleague concerned, reporting the
matter to a superior of the organisation or to the professional body or, as an
avenue of last resort, 'whistleblowing'. All options have some risk of serious
and unjustified repercussions on both the complainant and the accused.
Students on Placement, whilst being in a position to witness or become aware
of unethical practices are in a highly vulnerable position should they confront
such practice. (Reamer 1992 in Gambrill: ). They must discuss their concerns
in the first instance with Field Education staff.
Gatekeeping unsuitable students from entering the profession
Principle:
The social work profession has a responsibility to maintain high standards of competence
of its members and to ensure that only those suited to the profession are accepted into it.
Social work educators and field supervisors are the first line gatekeepers to
the profession and are held responsible for graduating professionals who are
academically, behaviourally and ethically suited to practice as social workers
(Cole & Lewis 1993:150). This gatekeeping process is an ongoing one,
beginning with effective screening, providing responsible education and
guarding entry to the profession by not passing students who do not meet
minimum standards.
Social work. faculty staff have a responsibility to assess prior to Placement
whether students are ready for field education. Where students are immature,
have personal issues to resolve. have not. adequately internalised what social
work is, or cannot articulate goals or skills to be developed field Placement
should be postponed. Field education staff can then allow additional time for
the student to develop maturity and skills by developing specific goals with the
student (Moore & Urwin 1991:13).
It may not be possible to detect difficulties prior to the Placement, as they
may not become evident until the student undertakes the field practicum
(Peterman & Blake 1986:3 1).
Students that at the end of Placement:
 demonstrate values inconsonant with the profession
 display inappropriate motives for entering the profession
 have an inadequate understanding of the complexities of the knowledge
base
 have demonstrated an inability to relate to clients, or
 have demonstrated behaviours that can be detrimental to clients
should not be given a pass grade. These deficiencies can be recognised
through poor grades, incongruent affect, poor communication skills and poor
field performance (Moore & Urwin 1991:13; Peterman & Blake 1986:30).
14
4.3
Responsibilities to Colleagues
Principle:
Social workers should treat colleagues with respect, courtesy, fairness and good faith
This respect should extend to colleagues in other agencies and professions.
Social workers will behave with honesty, impartiality and efficiency in their dealings with
colleagues. A social worker should respect the views and performance of colleagues and
we appropriate channels to express judgements on such matters.
Social workers will cooperate with colleagues to promote professional interests and
concerns. It is unethical to exploit a dispute between a colleague and employer to
advance one's own interest.
Student social workers will ensure that they respect the privacy of colleagues
and keep confidentiality in matters of a personal nature. Students who take
over work from a colleague should act with consideration for the interest,
character and reputation of that colleague (NASW Code of Ethics)
4.4
Responsibilities to Students
Principle:
Student supervision should be imbued with the values of the profession, providing a
model of the helping relationship.
Supervision is not a technical enterprise requiring action based solely on the
best course of action but on the right one. Fairness and concern for the
student's welfare should take priority over considerations of practicality,
efficiency and system maintenance (Levy in Cohen 1987:194).
Supervisors are required to balance the student's need for adequate learning
applications with the welfare of the clients who are essential to the learning
process (Hassenfeld 1987:73).
The supervisor has an ethical obligation to structure, and maintain a
relationship that demonstrates ethically appropriate behaviour, to refrain from
taking advantage of the difference in power and to implement the functions of
supervision conscientiously and responsibly (Kadushin 1992:498; Upchurch
1985).
Matching
Principle:
Student and supervisor should, wherever possible, be matched for skill and learning
needs by field education staff.
Both student and supervisor should have opportunity prior to the making of an
agreement to make a judgement as to whether a productive relationship
can be formed. Either party should be able to declare the relationship
unsuccessful if necessary, without punitive consequences (Cohen 1987:194;
Sherry 1991:570).
15
Contracting
Principle:
The development of the fieldwork agreement should be a mutual process between the
supervisor and the student, with input where necessary by the field education
coordinator. The particular needs, rights, responsibilities and expectations of each party
must be recognised and acknowledged in the agreement (Gelman; & Wardell 1990. 72).
Both processes and expected outcomes of Placement must be clearly documented.
Mechanisms for periodic review, consequences for failure to fulfil the terms of the
agreement and means of resolving disagreement should be clearly specified (Cohen
1987.195; Sherry 1991:572).
A major function of the learning contract: is to protect the rights of the student
as the less powerful party. Expectations and arrangements for working
together must be made explicit from the outset. When expectations and
learning criteria are not specified at the beginning of the relationship, the
student is left unprotected (Sherry 1991:572, Cohen 1987:195).
Supervision: structure and process
Principle:
The quality of the supervisory relationship is of critical importance, as what transpires in
this relationship may be replicated between the student and the client. The relationship
itself should receive the same amount of attention as other aspects of the supervisory
experience (Kaiser 1992:284).
Both supervisor and student should be mindful of the dynamics of an unequal
power relationship. It is the supervisor's responsibility to structure and
maintain a relationship of respect, fairness and safety and to maintain safe
boundaries (Kaiser 1992:285-86). Clear and open communication is vitally
important. The opportunity to grapple actively with ideas and concepts in a
supervisory climate which permits the airing of differences is essential for
both student practice and 1earning. The generation of genuine feedback from
supervisees requires both an environment which encourages it and a formal
procedure which structures it (Cohen 1987:195). Non-empathic responses by
supervisors to student expression of differences is associated with negative
effects on student practice and learning (Raphael and Rosenblum 1989:110,
115). Difficulties due to the situation or context should not be ascribed
inappropriately to deficiencies in the students personality (Jacobs 1991:132).
Feelings generated within the supervisory relationship should be explored.
Transference and counter-transference reactions which can interfere with,
the effectiveness of supervision should be acknowledged and examined
(Jacobs 1991:3I).
Students should monitor their own feelings in reaction to the supervisory
experience. When feelings of discomfort, confusion, of being blamed,
exploited or abused emerge, the student should discuss their concerns
initially with their field education coordinator. Students are unlikely to be able
to protest to their supervisor in such a situation due to their power
disadvantage (Jacobs 1991:130-34).
Supervisors must assure the optimal fit between a job assignment and a
student's abilities, provide the necessary information and resources to get the
job done, attend to the fit between aspirations and opportunities and clarify
expectations and criteria for evaluation (Levy in Cohen 1987:194). Students
16
should not be used primarily to provide a service (Hassenfield 1987:75).
Assigned workloads should be lighter than that of an employed social worker.
Supervisors should supervise within a pluralistic and non-intrusive value base
modelling respect for both their own and their student's and experience.
Supervisors should present varied theoretical positions so that students are
able to make comparisons and have the opportunity to select a position. The
supervisor should provide useful theory-based conceptual frameworks, teach
practical skills and encourage students to experiment with novel strategies
(Kurpius et al 1991: 54).
Evaluation of performance
Principle:
Assessment of a student's performance is both a process and an outcome. Students
should receive regular and timely feedback that is specific, constructive and corrective in
nature (Ellison 1994). As adult learners students should have input into assessment
processes (Connelly & Light 1991:236).
Supervisors should use multiple sources of evidence in assessment of student
performance, not being solely reliant on the student's account. Evaluation
criteria should be specified at the beginning of the supervisory relationship
(Sherry 1991:572).
Supervisors demonstrate in their evaluation their commitment to a fair, though
not necessarily popular, outcome (Cohen 1987:195).
4.5
Responsibilities to the Employing Organisation
Principle:
The social worker must, when acting as an agent of their employer, devote themselves to
the effective and efficient achievement of the agency's goals and objectives, act in
accordance with agency policy and procedure and comply with all lawful and reasonable
directions given by those in authority. Students, as volunteer members of the agency in
which they are placed are fully bound by these requirements.
Social workers must at all times behave in a manner that maintains or enhances the
reputation of the agency. In all dealings with the public or fellow employees the social
worker should exercise courtesy, consideration and sensitivity and act in a fair and
equitable manner.
The social worker, whilst being, responsible in adherence to this commitment, should also
work to improve the agency's policies and procedures and the effectiveness and
efficiency of its services.
Students are on Placement to perform a service as well as to learn. Agencies
can expect to gain productive work time from students to compensate for time
lost to the student's supervision.
Social workers should conform to the standards of dress and personal
presentation expected by the agency. Students should take the lead from the
general standards of personal presentation of their agency colleagues in this
regard, or consult their supervisor if in doubt.
17
Students will use the resources of the agency with scrupulous regard and only
for the purpose for which they are intended. Waste and extravagance will be
avoided at all times. Work time and use of leave provisions and agency
equipment will be stated honestly and accurately.
Students should not consume alcohol or non-medicinal drugs when on duty.
Students must ensure that in their private activities they avoid any conduct or
action which is likely to bring the agency into disrepute. Personal relationships
both inside and outside of the work setting must not be allowed to adversely
affect work performance of the student or that of other agency employees.
Where a personal issue may compromise their performance, students must
inform their supervisor so a resolution can be sought.
Students are in a valuable position as informed newcomers to the agency to
contribute to the improvement of agency policies and procedures.
The supervisor has a responsibility to have in place in their agency clear
policies for student Placement, detailing administrative accountability of both
student and supervisor (Oliver 1986).
4.6
Responsibilities to Self
Awareness of professional hazards
Principle:
Social workers must continually work to recognise their own limits and the limits and
hazards of their work role, their agency setting and their profession taking action to avoid
or ameliorate these hazards where possible.
Social work as a profession carries the burden of often impossible
expectations and unrealistic goals. The occupational hazards of the social
work profession and its role expectations result in stress for its members. If
ignored these hazards will impair performance and can lead to burnout.
The ethical practitioner strives for a clear awareness of self and takes
responsibility for recognising when stressors are impacting negatively on their
personal and professional lives. The self aware professional is mindful of the
knowledge that self blame is a hallmark of any victimisation experience and a
major obstacle to the self identification and disclosure of abusive situations
(Jacobs 1991:133).
Students need to self-monitor their feelings in reaction to all aspects of the
supervision experience (Jacobs 1991:134).
The best prevention for unethical practice is an emotionally and physically
healthy professional with consistent personal and professional values and
supportive work environments that maximise the productivity of staff.
Taking action to care for self
Principle:
Awareness of the hazards of the profession alone is insufficient social work practitioners
must take responsibility for developing and adhering to a personal care plan for the
duration of their careers.
18
Both personal and workplace strategies are necessary to deal with
occupational stress. Students should establish this practice in Placement
Students need to develop the ability to self-monitor their responses and
functioning, take care of their own needs for nurturing, sustenance and
recognition and ensure that their personal and professional lives are in
balance (Corey et al 1988:60). Social workers must be able to differentiate
individual from systemic, organisational, and political issues and take action
accordingly.
5.
5.1
RESOLVING ETHICAL ISSUES
Familiarity with Legal and Moral Codes of Behaviour
Principle:
Social workers have a duty to be familiar with the requirements of the law and relevant
Codes of Ethics and Conduct applicable to their work. Lack of awareness or
misunderstanding of a legal or ethical standard is not a defence to unethical conduct
5.2
Confronting Ethical Issues
Principle:
When faced with an ethical conflict social workers must clarify the nature of the conflict,
make known their commitment to an ethical resolution of the issue and seek to resolve
the conflict in a way that permits the fullest commitment to the law and the values of the
profession.
When faced with an ethical dilemma in a situation or course of action and
uncertain how to proceed social workers should consult with a supervisor in
the first instance to enable an informed and considered response. Colleagues
or other appropriate persons may also provide valuable guidance and advice.
5-3
Resolving Ethical Dilemmas
Principle:
Social workers will, when faced with an ethical dilemma, seek to resolve the dilemma with
due care and consideration for the potential harm that may be caused to others in the
process.
Supervisors have a responsibility to assist students in the resolution of ethical
problems. Supervisors must provide experiences for students that will
promote increased understanding of the rationale for decisions rather than
simple rule following (Vasquez 1992:197).
A Tool to Assist Ethical Decision Making
The following framework is suggested as a guide to reaching maximally
ethical decisions and outcomes in circumstances where the above standards
do not give guidance:
Assessment



What are the aims and goals?
Clarify the problem: collect the facts, consider all factors. What are the
crucial facts? What is the organisational context? What are the main
features of the present situation?
Identify rules and principles. Identify any rules or governing principles that
exist. Review entire range of applicable principles, identify which moral
principles are at issue, identify to whom they are applicable.
19

What are the rules? Who makes the rules? With whom does the 'buck
stop'? Who is responsible and accountable to whom? Who are relatively
more and less powerful?



What is the client's view? What are the views of colleagues?
What is your role? Who has the power? Is the client primary?
Examine both (or all) sides, articulate differences and similarities, identify
areas of agreement, disagreement and irrelevancy.
Generate possible and probable courses of action.
Consider various hypothetical outcomes on both a thinking and feeling
level. Assess risks and consequences of each course of action
(immediate, short, medium and long term).
Who is likely to benefit or suffer?
Order priorities. What considerations and values are sufficiently compelling
to supersede others? Give higher priority to interventions with maximum
ethical and practical relevance. Explore your personal motivation for
action.




Planning


What ends or objectives are desirable? What is possible? What
contingencies must be taken into account? What are ethically appropriate
means to reach the goal?
Elect the best (or least detrimental) course of action.
Implementation




Commit to decisive, responsible action.
Act: begin, continue and finish the process. Have strength of conviction;
obtain support if required.
Assess costs and benefits of action What provisions and precautions are
required to cope with the consequences of action?
Monitor success and failure in the process.
Evaluation




Evaluate process. Review pros and cons for action taken. Have you used
the 'right' means?
Justify actual outcomes. Is there a reasonable ethical justification for
action taken? Is the end a 'good' one?
Accept and assume responsibility for the consequences of the chosen
action
Learn. De-brief, solicit feedback, review learning.
20
REFERENCES
Australian Association of Social Workers (1994) Code of Ethics, AASW, Canberra.
Australian Psychological Society (1986) Code of Professional Conduct.
Alperin, D.E. (1989) 'Confidentiality and the BSW Field Work Placement Process'
Journal of Social Work Education, Spring/Summer, No. 2, 98-108.
American Psychological Association, (1992) Ethical Principles of Psychologists and
Code of Conduct, USA.
Bray, J.H., Shepherd, J.N. & Hays, S R. (1985) 'Legal and Ethical Issues in
Informed Consent to Psychotherapy' American Journal of Family Therapy, Vol.
13(2), 50-60.
Brieland. D. & Korr, W.S. (1987) 'Social Work Education: The Foundation for
Professional Ethics 'Arete, 12(2), Winter, 33-39.
Burns, C.I. & Holloway, E.L. (1989) 'Therapy in Supervision: An Unresolved Issue'
The Clinical Supervisor, Vol. 7(4), 47-60.
Cobb. N.H. & Jordan, C. (1989) 'Students with Questionable Values or Threatening
Behaviour- Precedent and Policy from Discipline to Dismissal' Journal of Social
Work Education, Spring/Summer, No. 2. 87-97.
Cohen. B-Z. (1987) 'The Ethics of Social Work Supervision Revisited' Social Work,
May-June. 194-96.
Cole, B.S. (1991) 'Legal Issues Related to Social Work Program Admissions'
Journal of Social Work Education, Vol. 27(1), Winter, 18-23.
Cole B.S. & Lewis, R.G. (1993) 'Gatekeeping Through Termination of Unsuitable
Social Work Students: Legal Issues and Guidelines' Journal of Social Work
Education, 29(2), Spring Summer, 150-59.
Congress. E.P. (1992) 'Ethical Decision Making of Social Work Supervisors' The
Clinical Supervisor. Vol. 10(1), 157-69.
Connelly R.L & Light, K.M. (1991) 'An Interdiciplinary Code of Ethics for Adult
Education Adult Education Quarterly, 41(4), Summer, 233-40.
Corey, G., Corey, M.S. & Callanan, P. (1988) Issues and Ethics in the Helping
Professions (3rd ed) Brooks/Cole, USAElectoral and Administrative Review Commission (1992) Report on Review of
Codes of Conduct for Public Officials, EARC, Brisbane.
Eastmond, N. & Jones, M. (1993) 'Handling, Gifts, Gratuities and Favours'
Techtrends, 38(2), March, 45-46.
Ellison, M.L. (1994) 'Critical Field Instructor Behaviours: Student and Field
Instructor Views! Arete, Vol. 18(2), Winter.
Gelman, S.R. & Wardell, PJ. (1988) 'Who's Responsible?: The Field Liability
Dilemma' Journal of Social Work Education. Winter, No. 1, 70-78.
21
Harrar. W.L, Vandercreek L. & Knapp, S. (1990) 'Ethical and Legal Aspects of
Clinical Supervision' Professional Psycholog), Research and Practice, Vol. 2 1, No.
1, 37-4 1.
Hassenfeld, I.N. (1987) 'Ethics and the Role of the Supervisor of Psychotherapy'
Journal of Psychiatric Education Vol. 11 (2), 73-77.
Ibrahim, F.A. & Arredondo, P.M. (1986) 'Ethical Standards for Cross-Cultural
Counselling: Counsellor Preparation, Practice, Assessment and Research' Journal
of Counselling & Development, January, Vol. 64, 349-52.
Jacobs, C. (1991) 'Violations of the Supervisory Relationship: An Ethical and
Educational Blind Spot' Social Work, 36(2), March, 1.3 0-35.
Kagle, J.D. & Giebelhausen, P.N. (1994) 'Dual Relationships and Professional
Boundaries' Social Work Vol.39(2),213-19.
Kaiser. T.L. (1992) 'The Supervisory Relationship-. An Identification of the Primary
Elements in the Relationship and an Application of Two Theories of Ethical
Relationships' Journal of Marital & Family Therapy, Vol, 18(3), 283)-96.
Kapp. M.B. (1983) 'Legal Implications of Clinical Supervision of Medical Students
and Residents' Journal of Medical Education Vol. 58(1), 293-99.
Kopels S. & Kagle, LD. (1993) 'Do Social Workers Have a Duty to Warn? Social
Service Review. Vol. 67(1), March, 101-19.
Kurpius. D. Gibson, G., Lewis, J. & Corbet, M. (1991) 'Ethical Issues in Supervising
Counselling Practitioners' Counsellor Education and Supervision, September, Vol.
31, 48-56.
Levenson, J L. (1986) 'When a Colleague Practices Unethically: Guidelines for
Intervention' Journal of Counselling and Development, Vol. 64, January, 315-17.
Levy, C. S. (1993) Social Work Ethics on the Line, Haworth, USALoewenberg, F.M. (1987) 'Another Look at the Unethical Professional Conduct' The
Journal of Applied Social Sciences, Vol. 11 (2), Spring/Summer, 220-29.
Margolin, G. (1982) 'Ethical and Legal Considerations in Marital and Family Therapy'
American Psychologist, Vol. 37, No. 7, 788-801.
Markowitz, L.M. (1992) 'Crossing the Line' Networker, Nov/Dec, 25-31.
Minnes, P.M. (1987) Ethical Issues in Supervision Canadian Psychology, Vol 28(3),
285-90.
Moore, L.S. & Urwin, C.A. (1991) 'Gatekeeping: a Model for Screening Baccalaureate
Students for Field Education' Journal of Social Work Education Vol. 27(1), Winter,
8-17.
National Association of Social Workers (1986) Code of Ethics, NASW, Silver Springs,
USA.
22
Oliver, R. (1986) 'Legal Liability of Students and Residents in the Health Care Setting'
Journal of Medical Education, Vol. 61(2), 560-68.
Peterman, P.L & Blake, L (1986) 'The Inappropriate BSW Student' Arete, Vol. 11(1),
Spring, 27-34.
Quadrio, C. (1992) 'Sex and Gender and the Impaired Therapist' Australia & New
Zealand Journal of Psychiatry 26(3), September, 346-63.
Raphael F.B. & Rosenblum, A.F. (1989) The Open Expression of Differences in the
Field. Practicum: Report of a Pilot Study' Journal of Social Work Education,
Spring/Summer, No. 2, 109-16.
Reamer. F.G. (1987) 'Informed Consent in Social Work' Social Work; Vol. 32, Sept/Oct,
425-29.
Reamer. F.G. (1989) 'Liability Issues in Social Work Supervision' Social Work, Vol.
34(5), Sept. 445-48.
Reamer. F.G. (1992) 'Me Impaired Social Worker' Social Work Vol. 37(2), March,
165-70.
Reamer, F.G.. with a-rejoinder by Siegel, D.H. (1992) 'Should Social Workers Blow the
Whistle on Incompetent Colleagues? in Gambrill, E. & Pruger, R- (eds), Controversial
Issues in Social Work Allyn & Bacon, USA.
Rvder R. & Hepworth, J. (1990) 'AAMFT Ethical Code: "Dual Relationships' Journal of
Marital & Family Therapy, Vol. 16(2), 127 32
South Australian Government, Information Privacy Principles Instruction, 1992.
Sherry, P. (1991) 'Ethical Issues in the Conduct of Supervision' The Counselling
Psychologist, Vol. 19(4), October, 566-84.
Stout, C.E. (1997) The Role of Ethical Standards in the Supervision of
Psychotherapy' The Clinical Supervisor, Vol. 5 1 (1), Spring, 89-97.
Strein, W. & Hershenson, D.B. (199 1) 'Confidentiality in Nondyadic Counselling
Situations' Journal of Counselling and Development, Mar/Apr, Vol. 69, 312-16.
Upchurch, D.W. (1985) 'Ethical Standards and the Supervisory Process' Counsellor
Education and Supervision, Vol. 25(2).
Vasquez, M.J.T. (1992) 'Psychologist as Clinical Supervisor: Promoting Ethical
Practice' Professional Psychology. Research and Practice, Vol. 23(3), 196-202.
Wilson, S.C. & Emerson, S. (1989) 'Ethical Implications for Supervisors in
Counselling of Trainees' Counsellor Education and Supervision June, Vol 28,
318-25.
Wilson, A. & Hume, F. (1993) 'Sexual Misconduct: Is Censure Enough? Australian
& New Zealand.Journal of Psychiatry, 27(2), June, 329-32.
23
Zakutansky, T.J. & Sirles, E. A. (1993) 'Ethical and Legal Issues in Field Education:
Shared Responsibility and Risk' Journal of Social Work Education, Vol. 29(3), Fall,
338-47.
24