Ethical Issues
in the Practice of Supervision
Perry C. Francis
Department of Counseling
Presentation Goals
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Perry C. Francis, Ed.D., NCC, LPC
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To present an overview of ethics as they pertain to
supervision.
To present key ethical guidelines regarding client
rights, informed consent for the supervisee,
multicultural issues, and other current issues.
To present information concerning the growing
practice of supervision via the WWW and how
ethics pertain to this practice.
Growing Complexity
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Perry C. Francis, Ed.D., NCC, LPC
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The practice of supervision has grown more
complex in recent years. Issues of client rights,
informed consent for the supervisee, on-site
supervision by untrained supervisors, and
multicultural issues (to name just a few issues) have all
served to enhance or detract from the practice of
supervision.
Ethical guidelines serve to help the supervisor and
the supervisee gain the most benefit from the
supervision experience and provide the best care
possible for the client.
Growing Complexity
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Perry C. Francis, Ed.D., NCC, LPC
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This presentation will offer information about
the current ethical guidelines for supervision
from ACES and ACA and how they are
applied to the practice of supervision.
Supervision Defined
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Perry C. Francis, Ed.D., NCC, LPC
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Supervision has been defined as “…a means of
transmitting the skills, knowledge, and attitudes of a
particular profession to the next generation in that
profession” (Bernard & Goodyear, 1992, p. 2).
For those who are involved in the training of mental
health professionals, it also is a means of
“…ensuring that clients receive a certain minimum
quality of care while trainees work with them to
gain their skills” (Bernard & Goodyear, 1992, p. 2).
Ethics Defined
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Perry C. Francis, Ed.D., NCC, LPC
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Ethics has been defined as “…the process of making
moral decisions about individuals and their
interactions in society while still attempting to
protect the rights and welfare of those same
individuals” (Kurpius et al., 1991, p. 48).
With this definition in mind, ethics used by
professional counselors focus on being sure that one
has the correct combination of education, practice,
and experience to help people deal with the issues
and problems they bring to the counselor’s office.
Ethics Defined
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Perry C. Francis, Ed.D., NCC, LPC
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Supervisors who practice ethically make sure
they have the correct combination of
education, practice, and experience to help
supervisees develop their skills and talents so
that they (the supervisees) can help people
deal with the issues and problems they bring
into the counselor’s office.
Administrative vs. Clinical
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Perry C. Francis, Ed.D., NCC, LPC
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Administrative supervision can be understood
as “…those supervisory activities that
increase the efficiency of the delivery of
counseling services…” (ACES, 1995, p. 270).
Clinical supervision “…includes the
supportive and educative activities of the
supervisor designed to improve the
application of counseling theory and
technique directly to clients” (ACES, 1995, p. 270).
Ethics & Supervision
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The counseling supervisor:
Perry C. Francis, Ed.D., NCC, LPC
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should have sufficient knowledge, skill, and judgment to
use efficacious interventions with the supervisee and the
client the supervisee is working with
respects the human dignity and freedom of the supervisee
and client
uses the power of the supervisor’s role responsibly for
both the supervisee and client
act in ways that promote confidence in the profession of
supervision and public confidence in the profession of
counseling.
Ethical Issues in Supervision
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Perry C. Francis, Ed.D., NCC, LPC
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Unique ethical issues can be separated into
three broad categories:
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Issues dealing with client welfare and rights;
Issues dealing with supervisor and supervisee
relationship;
Issues dealing with administrative supervision.
Issues Dealing With Client Welfare and Rights
Client Welfare & Rights
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Triadic Relationship
Perry C. Francis, Ed.D., NCC, LPC
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Supervision appears to be a process that involves
two people: the supervisor and the supervisee. In
actuality, there is a minimum of three or more
people involved in the supervisory relationship:
the supervisor, the supervisee, and the client(s).
This has been referred to as a triadic relationship
(Kurpius et al., 1991; Upchurch, 1985).
Issues Dealing With Client Welfare and Rights
Making Ethical Decisions
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The Supervisor’s Ethical Decision Tree:
Perry C. Francis, Ed.D., NCC, LPC
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Relevant legal and ethical standards
Client welfare
Supervisee welfare
Supervisor welfare
Program and/or agency service and
administrative needs. (ACES, 1995, Sec. 3.29)
Issues Dealing With Client Welfare and Rights
Informed Consent for All
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Perry C. Francis, Ed.D., NCC, LPC
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Client needs to be aware that the counselor is
under supervision so that the client can give
informed consent to their participation.
Supervisor & CIT need to review local laws
concerning confidentiality & privacy for
client. Generally privacy & confidentiality are
afforded under the supervisor’s credentials.
Issues Dealing With Client Welfare and Rights
Crisis & Emergency Coverage
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Perry C. Francis, Ed.D., NCC, LPC
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CIT should not work with clients who are
beyond their skill level.
Guidelines for emergency consultation and/or
intervention by the supervisor need to be
worked out prior to interaction with any
client.
These guidelines are part of the informed
consent given to the client.
Issues Dealing With Supervisor and Supervisee Relationship
Education & Training
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The Supervisor needs:
Perry C. Francis, Ed.D., NCC, LPC
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Supervision & training in the process of
supervision.
Education & training in the population served by
the CIT.
Knowledge of one’s own strengths & limitations
as a supervior.
Issues Dealing With Supervisor and Supervisee Relationship
Dual Roles & Relationships
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The Supervisor understands:
Perry C. Francis, Ed.D., NCC, LPC
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Dual Relationships are inevitable and are to be
managed properly.
That a power differential exists between the
supervisor and the supervisee.
That a sexual relationship involves a power
differential that contaminates any perceived
intimacy.
Issues Dealing With Supervisor and Supervisee Relationship
Informed Consent
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The Supervisor can
Perry C. Francis, Ed.D., NCC, LPC
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Use an informed consent form to help educate the
CIT about the supervisory relationship, its
limitations and benefits, and the supervisory
process.
Informed Consent Form can include
information about:
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Supervision Process, Evaluation & Due Process,
Ethical & Legal Issues, Professional Disclosure
(training, education, etc…of supervisor), Practical Issues
(emergency procedures, etc…) Statement of Agreement
Issues Dealing With Supervisor and Supervisee Relationship
Informed Consent
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Elements of the Informed Consent:
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Perry C. Francis, Ed.D., NCC, LPC
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Purpose: A brief explanation about the consent
statement, its purpose and function.
Professional Disclosure Statement: Includes the
supervisor’s credentials and qualifications.
Practical Issues: Practical information such as
phone numbers, crisis procedures, frequency,
length, and location of sessions, monetary
concerns, and professional development
requirements, if any.
Issues Dealing With Supervisor and Supervisee Relationship
Informed Consent
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Elements of the Informed Consent:
Perry C. Francis, Ed.D., NCC, LPC
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Supervision Process: A description of the process,
expectations, and objectives of supervision is included
here.
Evaluation and Due Process: The ethical guidelines point
out that the supervisor is responsible for reviewing work
samples of the supervisee, providing ongoing and regular
feedback in a variety of forms and formats, and meeting
regularly in face-to-face sessions with the supervisee.
Outlining these requirements and responsibilities of both
parties will prevent confusion and promote clear
communication.
Issues Dealing With Supervisor and Supervisee Relationship
Counseling the Supervisee
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The Supervisor understands that:
Perry C. Francis, Ed.D., NCC, LPC
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Supervision is a complex task of educational,
professional, ethical, informational, & therapeutic
interactions.
The power differential interferes with the
counseling relationship.
The supervisor can listen, empathize, &
understand the CIT’s personal issues, but limits
this activity because of the evaluative role he or
she has with the CIT.
Issues Dealing With Supervisor and Supervisee Relationship
Counseling the Supervisee
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The Supervisor understands:
Perry C. Francis, Ed.D., NCC, LPC
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The difference between gatekeeper issues &
transitory issues.
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Gatekeeper issues are those that interfere with
counseling performance in an ongoing fashion.
Transitory issues are those that interfere with the
supervisee’s performance but are temporary in nature.
Issues Dealing With Supervisor and Supervisee Relationship
Electronic Supervision
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The Supervisor seeks to insure that:
Perry C. Francis, Ed.D., NCC, LPC
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All communication maintains a level of security
that allows only those who should be viewing it,
access to it.
Emergency procedures are in place if there is a
crisis that requires the supervisors attention.
Timely care can take place for both the CIT &
Client.
Issues Dealing With Supervisor and Supervisee Relationship
Multicultural Issues
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The Supervisor shall:
Perry C. Francis, Ed.D., NCC, LPC
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Take into account the effect individual differences
(gender, race, culture, etc…) has on the
supervisory relationship. This includes:
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Appropriate training and experience in cultural
differences.
Working with the CIT to understand how cultural
differences effect counseling/supervision process.
Issues of power surrounding differences.
Issues Dealing With Administrative Supervision
Educational Opportunities
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The Supervisor seeks to:
Perry C. Francis, Ed.D., NCC, LPC
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Insure that the CIT is given the proper training
concerning their roles and responsibilities within
the training organization.
Provide the CIT with training and clients that are
both commensurate with their skills and
challenging to their growth.
Summary
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Perry C. Francis, Ed.D., NCC, LPC
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The practice of supervision has grown more
and more complex with each passing year.
New and innovative ways of providing
supervision have been created that include the
use of computers and the World Wide Web
(Myrick & Sabella, 1995). We have developed a
greater depth of knowledge about the impact
of multicultural issues on the supervisory
process (Bernard, 1994; Leong & Wagner, 1994).
Summary
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Perry C. Francis, Ed.D., NCC, LPC
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More and more sites are asking for or being required
to have trained supervisors to teach counselors how
to interrelate with clients. Clearer guidelines are
being created so that the supervisee knows how and
when they are being evaluated (McCarthy et al., 1995). As
the profession matures, so do the ethics that guide it
through the many complex relational issues that
arise. In doing so the profession maintains a high
quality of service to the supervisee, the client, and
the agency it serves.
Questions-Cases
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Perry C. Francis, Ed.D., NCC, LPC
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What are your
thoughts?
Your cases for
Discussion.
A Look at a Disclosure
Statement.