Best Practice Standards in Social Work Supervision

N A T I O N A L A S S O C I A T I O N O F S O C I A L W O R K E R S

A S S O C I A T I O N O F S O C I A L W O R K B O A R D S

Social WorkSupervision

B e s t P r a c t i c e S t a n d a r d s i n

SupervisionStandards_NASWCulturalStandards2003.Q4.11 2/28/13 11:01 AM Page CI

About the Associations

The National Association of Social Workers (NASW) is thelargest membership organization of professional social workersin the world. NASW’s membership is over 145,000 social workersfrom 50 states, the District of Columbia, the U.S. Virgin Islands,Guam, Puerto Rico, and U.S. social workers practicing abroad. The mission of NASW is to enhance the professional growth anddevelopment of its members, create and maintain professionalstandards, and advance sound social policies.

The Association of Social Work Boards (ASWB) is theassociation of jurisdictional boards that regulate social work.Membership in ASWB includes 49 states, the District ofColumbia, the U.S. Virgin Islands, and ten Canadian provinces.The mission of ASWB is to strengthen protection of the public byproviding support and services to the social work regulatorycommunity to advance competent and ethical practices.


Social WorkSupervision

B e s t P r a c t i c e S t a n d a r d s i n

SupervisionStandards_NASWCulturalStandards2003.Q4.11 2/28/13 11:01 AM Page 1

National Association of Social WorkersJeane W. Anastas, PhD, LMSWPresident

Elizabeth J. Clark, PhD, ACSW, MPHChief Executive Officer

Association of Social Work BoardsPatricia Heard, LCSW, MBAPresident

Mary Jo Monahan, LCSWExecutive Director

Task Force on Supervision StandardsReinaldo Cardona, LCSW, Co-chairAmanda Duffy Randall, PhD, LCSW, Co-chair Fran Franklin, PhD, LCSWLaura W. Groshong, LICSWAlison MacDonald, PhD, RSWDorinda Noble, PhD, LCSWBrenda Shepherd-Vernon, LICSWDonna Ulteig, LCSW

StaffMirean Coleman, LICSW, CTDonna DeAngelis, LICSW, ACSWJanice HarrisonKathleen Hoffman

©2013 National Association of Social Workers.All Rights Reserved.

©2013 Association of Social Work Boards. All Rights Reserved.


Contents

5 Introduction

6 Overview of Supervision

7 Administrative

8 Educational

8 Supportive

9 Qualifications

10 Standard 1. Context in Supervision

10 Understanding Scope of Practice

10 Communities of Practice

11 Interdisciplinary Supervision

11 Cultural Awareness and Cross-cultural Supervision

12 Dual Supervision and Conflict Resolution

12 Standard 2. Conduct of Supervision

13 Confidentiality

13 Contracting for Supervision

14 Leadership and Role Model

15 Competency

15 Supervisory Signing Off

15 Self-Care

16 Standard 3. Legal and Regulatory Issues

16 Liability

17 Regulations

18 Documentation

18 Other Legal Concerns

19 Standard 4. Ethical Issues

20 Ethical Decision-Making

21 Boundaries

22 Self-Disclosure

22 Attending to Safety

22 Alternative Practice

23 Standard 5. Technology

24 Distance Supervision

24 Risk Management

24 Evaluation and Outcomes

27 Termination

28 References

28 Resources



5

Introduction

The National Association of Social Workers(NASW) and the Association of Social WorkBoards (ASWB) have developed Best PracticeStandards in Social Work Supervision (hereafter“Supervision Standards”) to support andstrengthen supervision for professional socialworkers. The standards provide a generalframework that promotes uniformity and servesas a resource for issues related to supervision inthe social work supervisory community.

The knowledge base of the social workprofession has expanded, and the population itserves has become more complex. Therefore, itis important to the profession to have assurancethat all social workers are equipped with thenecessary skills to deliver competent and ethicalsocial work services. Equally important to theprofession is the responsibility to protect clients.

The NASW and ASWB Task Force onSupervision Standards maintain that supervisionis an essential and integral part of the training andcontinuing education required for the skillfuldevelopment of professional social workers.Supervision protects clients, supportspractitioners, and ensures that professionalstandards and quality services are delivered bycompetent social workers.

The NASW Code of Ethics and the ASWB ModelSocial Work Practice Act serve as foundationdocuments in the development of the supervisionstandards. These standards support the practiceof social workers in various work settings andarticulate the importance of a collectiveprofessional understanding of supervision withinthe social work community.


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Overview of Supervision

There are numerous definitions of supervision.For the purposes of these supervision standards,professional supervision is defined as therelationship between supervisor and superviseein which the responsibility and accountabilityfor the development of competence, demeanor,and ethical practice take place. The supervisor isresponsible for providing direction to thesupervisee, who applies social work theory,standardized knowledge, skills, competency, andapplicable ethical content in the practice setting.The supervisor and the supervisee both shareresponsibility for carrying out their role in thiscollaborative process.

Supervision encompasses several interrelatedfunctions and responsibilities. Each of theseinterrelated functions contributes to a largerresponsibility or outcome that ensures clientsare protected and that clients receive competentand ethical services from professional socialworkers. During supervision, services receivedby the client are evaluated and adjusted, asneeded, to increase the benefit to the client. It isthe supervisor’s responsibility to ensure that thesupervisee provides competent, appropriate, andethical services to the client.

There are many models of supervision describedin the literature, ranging from traditional,authoritarian models to more collaborativemodels. Different models of supervision placeemphasis, in varying degrees, on the client, thesupervisor, the supervisee, or the context inwhich the supervision takes place. Ideally, thesupervisor and the supervisee use a collaborativeprocess when a supervision model is selected;


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however, it is ultimately the responsibility of thesupervisor to select the model that works best forthe professional development of the supervisee.

The supervisory relationship is built on trust,confidentiality, support, and empathicexperiences. Other qualities inherent in thesupervisory relationship include constructivefeedback, safety, respect, and self-care.

The standards for social work supervisionshould be used in conjunction with professionaljudgment and should not be the exclusive basison which a decision is made. Supervisors shouldalways familiarize themselves with thesupervisory requirements of regulatory andaccreditation bodies that control their particulargeographic area, work setting, or both.

Supervision ensures that supervisees obtainadvanced knowledge so that their skills andabilities can be applied to client populations inan ethical and competent manner. Some areas ofknowledge, and the application of thatknowledge to clients, can only be translatedduring the supervisory process. Supervisionprovides guidance and enhances the quality ofwork for both the supervisor and the superviseeand, ultimately, the client.

The activities of supervision are captured bythree primary domains that may overlap:administrative, educational, and supportive.

Administrative

Administrative supervision is synonymous withmanagement. It is the implementation ofadministrative methods that enable socialworkers to provide effective services to clients.


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Administrative supervision is oriented towardagency policy or organizational demands andfocuses on a supervisee’s level of functioning onthe job and work assignment.

Educational

Educational supervision focuses on professionalconcerns and relates to specific cases. It helpssupervisees better understand social workphilosophy, become more self-aware, and refinetheir knowledge and skills. Educationalsupervision focuses on staff development andthe training needs of a social worker to aparticular caseload. It includes activities in whichthe supervisee is guided to learn aboutassessment, treatment and intervention,identification and resolution of ethical issues,and evaluation and termination of services.

Supportive

Supportive supervision decreases job stress thatinterferes with work performance and providesthe supervisee with nurturing conditions thatcompliment their success and encourageself-efficacy.

Supervisees are faced with increasing challengesthat contribute to job stress, including the growingcomplexity of client problems, unfavorablephysical work environments, heavy workloads,and emotionally draining environments such asvicarious trauma. Supportive supervision isunderscored by a climate of safety and trust,where supervisees can develop their sense ofprofessional identity.

The combination of educational, administrative,and supportive supervision is necessary for thedevelopment of competent, ethical, andprofessional social workers.


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Qualifications

The qualifications for an approved social worksupervisor are specified in the licensing statutesand regulatory standards of each jurisdiction,and may include specifications for each level ofsocial work practice or be universal, with one setof qualifications for all practice levels. Thegeneral qualifications for supervision mayinclude the following:

� a current license to practice at the specificlevel or above the level in which thesupervision will be provided, and in thejurisdiction in which both the supervisor andthe supervisee are practicing

� a degree from an accredited school of social work

� specified coursework in supervision, aminimum number of continuing educationhours in supervisory practice as required bythe jurisdiction, or both

� a minimum of three years (or more ifrequired in licensing statutes) of postlicensure practice experience

� continuing education hours as required formaintenance of supervisory credentials in thepractice jurisdiction

� being free from sanction of the licensingboard for violation(s) of practice standards.

In addition, social work supervisors should haveexperience and expertise in the practice arenaand with the population of the supervisees’practice, such as addictions, children andadolescents, mental health, and communityorganization. Supervisors should havecompetencies in the theories and variousmodalities of treatment and maintain currency


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through the use of professional journals andcontinuing education.

Effective supervision requires knowledge of theprinciples of supervision and the ability todemonstrate necessary skills such as addressingboth strengths and challenges of the supervisee,modeling and discussing ethical practice, andproviding support and encouragement in thelearning context. Supervisors should be familiarwith the administrative and organizationalstructure of the agency or practice domain ofthe supervisee.

Standard 1. Context in Supervision

General contextual matters important to thesupervision process include the following:

Understanding Scope of Practice

Supervision may be provided to address a varietyof issues. Among the most common is supervisionfor obtaining an advanced practice license,particularly a clinical license. Supervision mayalso be provided to new or recent graduates,focusing on the practical aspects of helpingclients. It may also include social workers whohave been sanctioned following disciplinaryaction and those learning a new practice or skill.Supervisors must be sure they meet thequalifications to become a supervisor and have aclear understanding of the skills and knowledgethat the supervisory relationship is designed tohelp the supervisee develop.

Communities of Practice

Many social workers practice within thecommunity in which they live and may have


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“insider” knowledge about community issuesthat may assist in building a therapeutic alliance,identifying appropriate referrals, or simplyunderstanding clients’ concerns. Being aninsider may also result in dual or multiplerelationships. Social work supervisors mayaddress these issues by establishing parametersto the supervisory relationship, with attention toboundaries and self-monitoring. In all cases,supervisors must ensure that the professionalrelationship is paramount and protected.

Interdisciplinary Supervision

With the increasing focus on interdisciplinarypractice in recent years, social workers may besupervised by a professional of a differentdiscipline. Although this may be appropriatewithin the team or unit context, social workersshould seek supervision or consultation fromanother social worker with regard to specificsocial work practices and issues. Similarly, asocial worker providing supervision to a memberof another discipline should refer that superviseeto a member of her or his own profession forpractice-specific supervision or consultation.

Cultural Awareness and Cross-cultural

Supervision

Social work supervisors should adhere to theNASW Standards for Cultural Competence inSocial Work Practice and have specializedknowledge and understanding about the cultureof the client population served by thesupervisee. Supervisors should be able tocommunicate information about diverse clientgroups to supervisees and help them to useappropriate methodological approaches, skills,and techniques that reflect their understandingof the role of culture in the helping process.


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The supervisor who is supervising a socialworker with a different cultural backgroundshould develop knowledge about that culture asit relates to social work practice. Primarysources of information may include thesupervisee or other practitioners familiar withthe supervisee’s cultural community.

Dual Supervision and Conflict Resolution

In circumstances in which a supervisee is beingadministratively or clinically supervisedsimultaneously by more than one person, it isbest practice to have a contractual agreement ormemorandum of understanding delineating therole of each supervisor, including parameters ofthe relationships, information sharing, priorities,and how conflicts will be resolved. If noagreement exists, the immediate employmentsupervisor may have the final say.

Standard 2. Conduct of Supervision

The underlying agreement between supervisorsand supervisees includes the premise thatsupervisees depend on the skills and expertise ofsupervisors to guide them. Respect for thedifferent roles that supervisors and superviseesplay in the supervisory relationship is a keyfactor in successful supervision.

To maintain objectivity in supervision, it isimportant to

� negotiate a supervision contract with mutually agreeable goals, responsibilities, and time frames

� provide regular feedback to supervisees ontheir progress toward these goals


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� establish a method for resolving communicationand other problems in the supervisionsessions so that they can be addressed

� identify feelings supervisees have about theirclients that can interfere with or limit theprocess of professional services.

Confidentiality

Supervisors must ensure that all clientinformation be kept private and confidentialexcept when disclosure is mandated by law.Supervisees should inform clients during theinitial interview that their personal informationis being shared in a supervisory relationship.Supervisors also have an obligation to protectand keep the supervisory process confidentialand only release information as required by theregulatory board to obtain licensure or ifnecessary, for disciplinary purposes.

Contracting for Supervision

In situations in which an agency may not have aclinical supervisor who meets the qualificationsof a supervisor as required by the regulatoryboard, a social work supervisee may contract forsupervision services outside the agency toqualify for a clinical license. Supervisees shouldcontact the regulatory board in theirjurisdictions in advance of contracting toconfirm whether such a practice is permittedand confirm the documentation required fromthe supervisor. The time frame required for thesupervision period should also be confirmed.

Contracting for outside supervision can beproblematic and may place a supervisor at risk.If the supervisee is paying for the services, he orshe can dismiss the supervisor, especially ifdisagreements or conflicts arise. The supervisee


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can also blame the supervisor if there is failurein the licensing process. In addition, thesupervisor may encounter case managementconflicts between the supervisee and the agency.

Development of a contractual agreement amongthe social worker, the supervisor, and theemploying agency is essential in preventingproblems in the supervisory relationship. Theagreement should clearly delineate the agency’sauthority and grant permission for thesupervisor to provide clinical supervision.Evaluation responsibilities, periodic writtenreports, and issues of confidentiality should alsoto be included in the agreement.

Supervisors and supervisees should also sign awritten contract that outlines the parameters ofthe supervisory relationship. Frequent writtenprogress reports prepared by the supervisorshould be required and, if appropriate, meet theongoing standards established by jurisdictionsand agency requirements.

Leadership and Role Model

Supervisors play a key role in the professionaldevelopment of their supervisees. The actionsand advice of the supervisor are keenly observedby supervisees, and consequently, influencemuch of the supervisee’s thinking and behavior.Teaching is an important function of thesupervisor, who models the behavior thesupervisee will emulate. Supervisors shouldcreate a learning environment in whichsupervisees learn about the internal and externalenvironments in which they work as well as theenvironments in which their clients findthemselves each day.


Competency

Social work supervisors should be competentand participate in ongoing continuing educationand certification programs in supervision.Supervisors should be aware of growth anddevelopment in social work practice and be ableto implement evidence-based practice into thesupervisory process. Supervisors should also beaware of their limitations and operate within thescope of their competence. When specialtypractice areas are unfamiliar, supervisors shouldobtain assistance or refer supervisees to anappropriate source for consultation in thedesired area.

Supervisory Signing Off

Supervisors should submit reimbursement claimsonly for services that they performed. “Signingoff” on services performed by a supervisee whois ineligible to seek reimbursement is fraudulent.Supervisors and supervisees should be aware ofthe statutes and regulations addressing thismatter in their jurisdictions.

Self-Care

It is crucial for supervisors to pay attention tosigns of job stress and address them with theirsupervisees and themselves. Supervisors shouldprovide resources to help superviseesdemonstrating symptoms of job stress and makeoutside referrals as necessary. Peer consultationcan be helpful to supervisors and supervisees insuch cases.

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Standard 3. Legal and Regulatory Issues

Social work supervisors share responsibilities forthe services provided to clients. Liability ofsupervisors has been determined by the courtsand includes direct liability related to negligentor inadequate supervision and vicarious liabilityrelated to negligent conduct by supervisees.Supervisors and supervisees should both haveprofessional liability insurance.

In an agency setting, a supervisor’s potentialliability is affected by his or her level ofresponsibility and authority. Supervisors shouldfamiliarize themselves with the scope of theirresponsibility and authority, which may bespecified in an agency written policy manual, thesupervisor’s job description, or a writtencontractual agreement.

The requirements and expectations of asupervisor’s position also may affect liability,especially in situations in which the supervisormay have competing demands and is unable to adequately perform his or her supervisoryfunctions. Such situations may present legal challenges.

Liability

Direct liability may be charged against asupervisor when inappropriate recommendationscarried out by a supervisee are to a client’sdetriment. Direct liability can also be chargedwhen a supervisor assigns duties to a superviseewho is inadequately prepared to perform them.

Social work supervisors should be proactive inpreventing boundary violations that should bediscussed at the beginning of the supervisory

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relationship. A supervisor should not supervisefamily members, current or former partners, closefriends, or any person with whom the supervisorhas had a therapeutic or familial relationship. Inaddition, a supervisor should not engage in atherapeutic relationship with a supervisee.

Vicarious liability involves incorrect acts oromissions committed by the supervisee that can also be attributed to the supervisor.Supervisees can be held to the same standard of care and skill as that of their supervisors andare expected to abide by the statutes andregulations in their jurisdictions.

For purposes of risk management, supervisors should

� ensure that the services provided to clients bysupervisees meet or exceed standards or practice

� maintain documentation of supervision� monitor supervisee’s professional work activities� identify actions that might pose a danger tothe health and/or welfare of the supervisees’clients and take prompt and appropriateremedial measures

� identify and address any condition that mayimpair a supervisee’s ability to practice socialwork with reasonable skill, judgment, and safety.

Regulations

The statutes and regulations for the qualificationsof supervisors and licensing requirements forsupervisees may vary by jurisdiction. Anincreasing number of jurisdictions are requestingsupervision contracts and plans prior to thecommencement of supervision. It is theresponsibility of supervisors and supervisees tofamiliarize themselves with the specific


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requirements in their jurisdictions for thequalifications for supervision, licensure,supervision contracts and plans, and otherrequirements. Many social work regulationsrequire all supervision for purposes of licensureto be provided by a licensed clinical social worker.

Documentation

Documentation is an important legal tool thatverifies the provision of services. Supervisorsshould assist supervisees in learning how toproperly document client services performed,regularly review their documentation, and holdthem to high standards.

Each supervisory session should be documentedseparately by the supervisor and the supervisee.Documentation for supervised sessions shouldbe provided to the supervisee within areasonable time after each session. Social workregulatory boards may request some form ofsupervision documentation when superviseesapply for licensure. Records should besafeguarded and kept confidential.

Where appropriate, supervisors should trainsupervisees to document for reimbursement andclaims submission.

Other Legal Concerns

The experienced social worker developing skillsin a new specialty area may receive supervisionlimited to the new area of practice. A supervisoris selected on the basis of his or her expertise inthe specialty area. Having a supervision contractor plan detailing the obligations of both partiesmay be helpful.


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Supervision may be required followingdisciplinary action. In such situations, anagreement between the supervisor, supervisee,and other authority should be developed toaddress such items as corrective issues to becovered in supervision, information sharingbetween the parties, and frequency of supervision.

Social work supervisors may retain a consultantfor case consultation and review as necessary,especially when conflicts arise.

Standard 4. Ethical Issues

Social work supervisors and supervisees mayface ethical dilemmas when providing services toclients. To address those dilemmas, thesupervisor and the supervisee should have athorough knowledge of the code of ethics underwhich they practice. The NASW Code of Ethicsserves as a guide to assist supervisors in workingwith ethical issues that arise in supervisoryrelationships. The following precepts from theNASW Code of Ethics are incorporatedthroughout these standards.

� 3.01(a) “Social workers who providesupervision or consultation should have thenecessary knowledge and skill to supervise orconsult appropriately and should do so onlywithin their areas of knowledge andcompetence” (p. 19).

� 3.0l (b) “Social workers who providesupervision or consultation are responsible forsetting clear, appropriate, and culturallysensitive boundaries” (p. 19).

� 3.01(c) “Social workers should not engage inany dual or multiple relationships with


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supervisees in which there is a risk ofexploitation of or potential harm to thesupervisee” (p. 19).

� 3.01(d) “Social workers who providesupervision should evaluate supervisee’performance in a manner that is fair andrespectful” (p. 19).

Supervisors have the responsibility to addressany confusion that supervisees may encounter asa result of ethical demands. A supervisor shouldbe aware of the differences between professionalethics, core values, and personal moral beliefsand help the supervisee to distinguish theseelements when making practice decisions.Supervisors can use the supervisory relationshipas a training ground for ethical discretion,analysis, and decision-making.

Ethical Decision-Making

Supervisors help supervisees learn ethicaldecision-making, a process that is both cognitiveand emotional. Supervisors should discuss andmodel the process of identifying and exploringproblems, looking at issues, values, principles,and regulations. Supervisors and theirsupervisees should discuss possibleconsequences, as well as costs and benefits, ofcertain actions. They should explore whatactions best achieve fairness, justice, and respectfor others, make a decision about actions to betaken, and evaluate them after implementation.When a supervisee makes an ethical mistake, heor she, with the assistance of the supervisor,should try to ameliorate any damage and learnhow to avoid that mistake in the future. Ifappropriate or required by the jurisdiction, theviolation may have to be reported to thelicensing board.


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Boundaries

The supervisory relationship is an excellentforum for supervisees to learn about boundarieswith clients. Ethical issues related directly tosupervision include the nature of the professionalresponsibility to the supervisee, appropriateboundaries, and responsibilities when dealingwith incompetent or unethical behavior.

Becoming involved in a romantic or familialrelationship with a supervisee is an ethicalviolation and should be strictly avoided becauseit creates marked role conflict that can fatallyundermine the supervisory relationship.

If the supervisor recognizes a potential boundaryissue with a supervisee, he or she shouldacknowledge it, assess how the boundary issuehas affected supervision, and resolve the conflict.

Although the supervisory relationship isbetween professionals, supervisors usually havemore power in the relationship than supervisees.To avoid boundary problems and conflicts ofinterest with a supervisee, the ethical supervisormust accept his or her power and becomfortable in using that authority to ensureaccountability and protect clients.

Other ethical considerations include the following:

� A supervisor should always focus on the goalsof supervision and the nature of thesupervisory relationship and avoid providingpsychotherapy services to the supervisee.

� Supervisors working with more than onesupervisee should see each supervisee as anindividual and adapt to that supervisee’s


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needs. At the same time, supervisors must befair and consistent when providingsupervision to multiple supervisees.

Self-disclosure

Supervisors should be discreet in sharingpersonal information and not allow it to becomethe focus of supervision. When personalinformation is disclosed, it should be brief andsupport the goals of supervision. Supervisorsshould explain their comments and rationale tohelp supervisees gain understanding ofappropriate techniques to use in the interviewprocess with clients.

Attending to Safety

Supervisors make supervisees aware of safetyissues and train them how to respond toworkplace conflict, respond to threats andharassment, protect property, and deal withassaults and their emotional aftermath.Supervisors help supervisees plan for safety inthe office and in the community by learningnon-violent response strategies and appropriateways to respond to crises.

Alternative Practice

The social work supervisor should decidewhether an alternative practice, a non-traditionalsocial work intervention, is the best modality oftreatment for a supervisee to use with a client.

When a supervisee uses an alternative practice,the supervisor should have expertise of thatpractice and ensure that the supervisee has theprerequisite training and knowledge to performthe alternative practice. In situations in whichthe supervisor does not have the skills to providethe alternative practice, it may be necessary to


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involve a second supervisor. In such cases, thetwo supervisors should work closely together toavoid conflicts and ensure effective use of thealternative practice for the client.

Standard 5. Technology

The rapid growth and advances in technologypresent many opportunities and challenges in asupervisory relationship. When using orproviding supervision by technological means,supervisors and supervisees should followstandards applied to a face-to-face supervisoryrelationship. Supervisors should demonstratecompetency in the use of technology forsupervision purposes and keep abreast ofemerging technologies. Supervisors should beaware of the risks and benefits of usingtechnology in social work practice andimplement them in the learning process forsupervisees. All applicable federal, provincial,and state laws should be adhered to, includingprivacy and security rules that may addresspatient rights, confidentiality, allowabledisclosure, and documentation and includerequirements regarding data protection,encryption, firewalls, and password protection.

When supervision is being provided forlicensure purposes, supervisors and superviseeshave the responsibility to familiarize themselveswith specific definitions and requirements bysocial work regulatory boards for the use oftechnology in practice. For successfulcommunication, compatible equipment,software, and other infrastructure are requiredby both parties.


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Distance Supervision

The use of technology for supervision purposesis gradually increasing. Video-conferencing is agrowing technological tool used to providesupervision, especially in remote areas. Somejurisdictions allow electronic means forsupervision; others may limit the amount ofsupervision that can be provided from a distance.When using technology to provide distancesupervision, one must be aware of standards ofbest practice for providing this tool and beknowledgeable of the statutes and regulationsgoverning the provision of such services.

Risk Management

Using technology in social work practicepresents many risks. Supervisors should ensure alearning process that emphasizes a standard ofcare consistent with the NASW Code of Ethics,NASW and ASWB Standards for Technology inSocial Work Practice, Canadian Social WorkersCode of Ethics, licensing laws, applicableorganization policies and procedures, andregulations for businesses. Doing so ensureshigh-quality services; protects the supervisor,supervisee, and client; and safeguards againstmalpractice issues.

Evaluation and Outcomes

The evaluation and outcome of the supervisoryprocess is an integral part to the development ofprofessional social workers. The evaluation ofthe supervisee, as well as the evaluation of theimpact and outcome of supervision, is asignificant responsibility of the supervisor.


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An evaluation serves many purposes, which varydepending on the setting and context. Anevaluation can be used to determine whether asupervisee is able to practice social work withincreasing independence in a competent andethical manner. An evaluation can also be usedfor licensure or credentialing reasons, annual jobperformance, probation, promotion, or meritsalary increases. Social work supervisors havethe responsibility of evaluating the performanceof supervisees in a fair manner with clearlystated criteria.

All evaluations have several common elements.The first element is a formal agreementbetween the supervisor and the superviseeregarding expectations for the outcome of theevaluative process. At the beginning of eachsupervisory relationship, the supervisor, incollaboration with the supervisee, shouldprepare written, measurable goals and specificguidelines to evaluate the supervisee’sperformance. In addition, the evaluation shouldinclude a time frame for goal attainment and asystematic procedure for disengaging fromsupervision once the goal has been reached.

Tools used to measure supervision goals can be acombination of various pre-determined criteriaincluding: case studies, progress notes,conversations, the successful implementation oftreatment plans, and client outcomes.

To enhance learning and increase theeffectiveness of supervision, a systematicprocedure for ongoing supervisory feedback isnecessary. Feedback during the supervisoryprocess is planned and continuous and inwritten and verbal form. Planned supervisory


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feedback allows both the supervisor and thesupervisee to make modifications, if needed, toimprove professional practice and skilldevelopment. Continuous feedback also helps todetermine the impact and effectiveness of thereceived supervision. When using an evaluationas a learning process, clinical and administrativeerrors can be expected and do occur but shouldnot be used in a punitive manner.

The final stage of an evaluative process shouldinclude a discussion of future challenges that thesupervisee may encounter and the resources thatthe supervisee can use to resolve thosechallenges. The goals of an evaluation processare to improve the delivery of services to clients,maintain ethical and competent social workpractice, and protect the public. Structuring anevaluation process focused on the supervisorylearning experience and the identification offuture learning needs is an important part of thesupervisory process. Supervisors have theresponsibility of researching and selecting thebest evaluative tool for supervision.

For purposes of licensing and credentialing, asupervisory evaluation is an aid to publicprotection. The supervisor is the last gate tocompetent, independent clinical practice and oneof the best resources regarding a supervisee’sfitness to practice social work. The supervisor hasthe responsibility of identifying incompetent orunethical practice and taking appropriate stepsto properly address the errors of the supervisee.


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Terminating the Supervisory Relationship

Ending the supervisory relationship is just asimportant as beginning it and a supervisorshould devote attention to it. Terminationoccurs when the supervisor or supervisee leavesthe organization or is promoted or when thesupervisee obtains licensure. It may also occurwhen the goals are achieved in the agreementbetween the supervisor and supervisee.

It is important for supervisors to identify earlyon the dynamics of termination as they emergeand assist supervisees in learning specific skills todeal with termination. Helping supervisees toaddress their concerns about termination canhelp make termination a good experience. Alldocumentation by the supervisor should becompleted by the time of termination. It isunprofessional and possibly unethical to withholdstatus or final reports, particularly where suchreports are required for licensing documentation.

Two germane areas of work require attention:(1) termination of the supervisory relationshipand (2) termination of the supervisee-clientrelationship. When the supervisor is leaving, ifappropriate, a smooth transition to a newsupervisor should be arranged. The skills usedin ending a supervisory relationship can also beused with clients. A supervisor models for thesupervisee the skills required to terminate withclients and addresses concerns that he or shemay have about termination. Supervisory focuson the termination phase helps to ensure aquality and safe termination of thesupervisee-client relationship and makes for apositive supervisory-supervisee transition.


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References

National Association of Social Workers. (2008).Code of ethics of the National Association of SocialWorkers. Washington, DC: Author.

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Best Practice Standards in Social Work Supervision

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