Best Practices in Clinical Supervision

Best Practices in Clinical Supervision Preamble The Association for Counselor Education and Supervision (ACES) is composed of individuals engaged in the professional preparation of counselors and those responsible for the ongoing supervision of post-degree counselors. ACES is a founding division of the American Counseling Association (ACA). The ultimate mission of ACES, in accordance with the purpose of ACA, is to advance counselor education and supervision in order to improve the provision of counseling services in all settings of society. ACES leadership believes that counseling supervisors in all settings carry responsibilities unique to their job roles. Such responsibilities may include administrative supervision, clinical supervision, or both. In some settings (e.g., schools), counseling supervisors also may have responsibility for program supervision. Administrative supervision refers to those supervisory activities which increase the efficiency of the delivery of counseling services, whereas clinical supervision includes the supportive and educative activities of the supervisor designed to improve the application of counseling theory and technique directly with clients. Program supervision is generally defined as having a systems focus with program improvement and counselors' professional development as its purpose. As a division of ACA, ACES members are expected to adhere to the ACA Code of Ethics, which offers guidance regarding the practice of counseling supervision. Counseling supervisors, however, may encounter situations that are not adequately addressed by the Code of Ethics. Results of a 2002 survey of ACES members conducted by the ACES Ethics Interest Network strongly indicated that members wanted more specific guidance for their everyday supervisory practice than can be included appropriately in a code of ethics. The ACES Best Practices in Clinical Supervision Taskforce was formed to create a document that could offer more specific suggestions for supervisors. The broad charge for the Task Force was to formulate a relevant and useful set of best practice guidelines for clinical supervisors, regardless of work setting. The Best Practices in Clinical Supervision guidelines were constructed in the following manner. The scope of the guidelines was determined by a consensus of Task Force members. Members were responsible for researching and drafting specific sections of the guidelines. In drafting each section, Task Force members began by conducting a comprehensive review of qualitative and quantitative research findings to serve as the foundation of the guidelines. There are, however, many aspects of supervision that have not been investigated or investigated adequately. For these areas, Task Force members integrated the best available research combined with guidance provided through codes of ethics and other relevant documents (e.g., accreditation standards) adopted by professional organizations, as well as policies, procedures, and interventions that were most commonly espoused as best practices or best judgment across applicable professional literature. Task Force members then reviewed every section in the document several times and provided extensive feedback and edits. This Best Practices document, then, reflects both an extensive review of the research, expert consensus in the professional literature, and consensus of Task Force members. In addition, the Task Force held open meetings at the ACES conference in October 2009 and at the Southern ACES conference in October 2010 to discuss the most recent drafts of the guidelines for best practices. Feedback from those discussions has been incorporated into this final draft. In addition, Task Force members also elicited comments from supervisors who work in different settings, including community agencies and schools. After receiving comments, they revised the best practices guidelines as appropriate and now present the document to the ACES Executive Council for endorsement. It is important to note that these are best practices rather than minimal acceptable practices. The best practices guidelines are intended to support supervisors in their work. They are intended to be relevant and practical, and are offered to augment the judgment of supervisors as they strive to do the following: (a) offer ethical and legal protection of the rights of supervisors, supervisees, and clients; and (b) meet the professional development needs of supervisees while protecting client welfare. The guidelines also provide a framework for those seeking to develop supervisor training programs. Importantly, the guidelines are meant to supplement, not replace, the ACA Code of Ethics. In fact, ACES is not in a position to hear complaints about alleged non-compliance with these guidelines. Any complaints about the ethical behavior of any ACA member should be lodged with ACA in accordance with its procedures for doing so. Finally, this is meant to be a living document and as such will require review and revision approximately every 8-10 years. Supervision Best Practices Guidelines 1. Initiating Supervision a. The supervisor engages in sound informed consent practices in the initial supervision session. The supervisor verbally describes and provides the supervisee with a written i. contract (or syllabus) that outlines expectations of the supervisor and supervisee; criteria for evaluation; consequences of underperformance; tasks, functions, and goals of supervision; and ethical and legal considerations (e.g., confidentiality in counseling and supervision sessions). ii. As appropriate, the specifics in the contract (or syllabus) are negotiated to meet the needs of the particular supervisee. iii. In academic settings, the supervisor employs written contracts specifying and differentiating the responsibilities of university and site supervisors. iv. The supervisor provides the supervisee with a professional disclosure statement regarding his/her academic background in both counseling and supervision, experience as a counselor and supervisor, and supervision style. Limits of confidentiality also are explicitly delineated. v. If the supervisor is a supervisor-in-training, that status is made clear in the professional disclosure document and the name and contact information of the supervisor-in-training’s supervisor is included. vi. The supervisor emphasizes that these documents (e.g., contract/syllabus, professional disclosure statement) will be discussed throughout supervision as needed. vii. The supervisor clearly delineates his/her responsibility and authority to ensure client safety and effective treatment. b. The supervisor explicitly states clear parameters for conducting supervision. The supervisor and supervisee agree on time, place, and duration of supervision i. sessions. ii. The supervisor and supervisee discuss how the supervisee will prepare for each supervision session relevant to the supervision format (e.g., individual, triadic, group). iii. The supervisor clearly delineates supervisor and supervisee responsibilities regarding the preparation for and conduct of supervision. iv. The supervisor and supervisee agree on cancellation and rescheduling procedures for supervision sessions. v. The supervisor and supervisee agree on payment for supervision (as appropriate and permitted by state law). vi. The supervisor provides the supervisee with his/her emergency contact information, parameters for contacting the supervisor in emergency situations, and specific instructions for emergency protocols. vii. The supervisor provides necessary forms and other documents to be completed by the supervisor, supervisees, and others as appropriate to the particular supervisee, setting, and/or credentialing body. c. The supervisor facilitates a discussion about the supervision process to foster the supervisory working alliance. The supervisor establishes the beginning of a supervisory working alliance that is i. collaborative and egalitarian to assist in lessening supervisee anxiety about the supervision process. ii. The supervisor describes his/her role as supervisor, including teacher, counselor, consultant, mentor, and evaluator. iii. The supervisor describes the structure, process, and content of all relevant formats of supervision sessions (e.g., individual, triadic, peer, group supervision). iv. The supervisor and supervisee discuss the supervisee’s past experiences with supervision as well as preferred supervision styles and supervision interventions. v. The supervisor initiates a conversation about multicultural considerations and how they may affect both counseling and supervision relationships, indicating that such multicultural considerations will be an expected part of supervision conversations. 2. Goal-Setting a. To the extent possible, the supervisor co-develops specific goals for supervision with the supervisee. i. The supervisor and supervisee renegotiate the supervisory contract and supervisee’s goals as needed over the course of supervision. ii. The supervisor helps the supervisee develop goals that are realistic, measurable, and attainable within the context of the particular academic, field placement, or postdegree practice setting. b. The supervisor emphasizes goals that directly benefit the therapeutic alliance between the supervisee and client and the effectiveness of services provided. The supervisor helps the supervisee create goals that include the core areas of i. counselor competence (e.g., relationship building, cultural competencies, professionalism) and/or addresses the traditional foci of supervision (e.g., counseling performance skills, cognitive counseling skills and case conceptualization, diagnosis and treatment planning, self-awareness, and professional behaviors). ii. The supervisor helps the supervisee develop goals that are based on the supervisee’s area(s) of need and learning priorities, feedback from previous supervisors, the supervisee’s developmental level, and the academic, field placement, or post-degree practice setting. iii. The supervisor ensures that the supervisee chooses goals that fit within the supervisor’s areas of competence. c. The supervisor is intentional about addressing and evaluating goals in each supervision session. The supervisor conducts his/her own initial and ongoing assessment of the i. supervisee’s skills and, in conjunction with the supervisee’s stated goals, creates a prioritized list of skills and issues to address in supervision. ii. The supervisor gives attention to one or more of the agreed upon goal(s) during each supervision session. iii. The supervisor identifies or creates opportunities for the supervisee to display progress on goals. iv. The supervisor and supervisee review progress toward the stated goals on a regular basis. v. The agreed upon goals become one basis for evaluating the supervisee’s progress and development. 3. Giving Feedback a. The supervisor provides regular and ongoing feedback. The supervisor provides a manageable amount of feedback in each session, typically i. addressing no more than three skills or issues. ii. The supervisor provides a balance of challenging and supportive feedback appropriate to the counselor’s developmental level, experience, and client needs. iii. The supervisor provides feedback as close to the counseling session being reviewed as possible. iv. The supervisor helps the supervisee process feedback. v. The supervisor’s feedback is based on direct observation of the client and the counseling session (e.g., live observation, audio or video recording) as well as the supervisee’s self-report and analysis of the session. b. The supervisor provides direct feedback as needed. The supervisor focuses on supervisee behaviors that can be changed. i. ii. The supervisor provides constructive feedback that is specific, concrete, and descriptive. iii. As appropriate, the supervisor offers alternatives for supervisee’s behaviors that need to be changed, or provides directives as needed to ensure client needs are met. c. The supervisor pays attention to the multiple sources of feedback available to the supervisee. The supervisor helps the supervisee gather performance feedback from multiple i. sources (e.g., clients, peers, supervisors) using both informal methods (e.g., observation of clients’ non-verbal responses) and formal methods (e.g., standardized assessments completed by clients on a regular basis). ii. The supervisor is aware that he/she is constantly providing feedback through his/her in-session behavior, including verbal and nonverbal behaviors, as well as by what he/she does and does not address. 4. Conducting Supervision a. The supervisor adheres to appropriate professional standards (e.g., accreditation, certification, and licensure regulations) in establishing the frequency and modality of supervision sessions. The supervisor meets with the supervisee on a regular basis as required by the i. appropriate standards (e.g., weekly individual, triadic, and/or group supervision sessions). ii. The supervisor conducts supervision sessions in a professional setting. iii. The supervisor meets face-to-face with the supervisee(s) for individual, triadic, and/or group supervision. iv. The supervisor uses technology that clearly approximates face-to-face synchronous contact, as permitted by relevant standards. (See also point f. below.) v. The supervisor adheres to appropriate standards in ways that meet the needs of the supervisee. b. The supervisor provides a safe, supportive, and structured supervision climate. The supervisor plans for supervision so that sessions (individual, triadic, and group) i. are structured, purposeful, and goal-oriented. ii. The supervisor gives attention to both the personal and professional learning curves of the supervisee. iii. The supervisor modifies his/her style of and approach to supervision (both within a session and across sessions) based on his/her assessment of client welfare, supervisee characteristics, supervisee’s immediate needs, supervisee’s developmental level, supervisee’s supervision goals, environmental demands, as well as the supervision context. c. The supervisor uses a variety of supervisory interventions. The supervisor uses methods of direct observation (e.g., recordings of counseling i. sessions, live observation, live supervision). ii. The supervisor uses interventions that address a range of supervision foci, including counseling performance skills, cognitive counseling skills, case conceptualization, self-awareness, and professional behaviors. iii. The supervisor selects interventions intentionally, based on an assessment of the supervisee’s developmental level, confidence, self-efficacy, and learning style; the clinical and supervision contexts; and the needs of the client. iv. The supervisor chooses interventions that will help the supervisee work toward his/her learning goals. d. The supervisor chooses a group supervision format for multiple reasons; time efficiency is not a primary rationale. The supervisor is intentional about structure and goals, with particular attention to i. what is developmentally appropriate, when conducting group supervision. ii. The supervisor differentiates between group, individual, and triadic supervision, understands their complimentary nature, and shares this information with supervisees. iii. The supervisor assists group members in establishing ground rules for the conduct of the supervision group. iv. The supervisor uses group facilitations skills designed to enhance the working of the group. v. The group supervisor fosters meaningful and productive feedback among the supervisees. vi. The group supervisor does not allow dominance by one or more members in the group. vii. The supervisor encourages and allows increasing autonomy, leadership, and responsibility among group members over time and in line with supervisees’ developmental levels (i.e., helps the group move from supervision in a group to supervision by the group). viii. The supervisor assists supervisees in generalizing learning from the group supervision experience and applying (transferring) what they learned to their own work with clients. e. The supervisor chooses a triadic supervision format for multiple reasons; time efficiency is not a primary rationale. The supervisor is intentional about structure and goals, with particular attention to i. what is developmentally appropriate, when conducting triadic supervision. ii. The supervisor differentiates between triadic, individual, and group supervision, understands their complimentary nature, and shares this information with supervisees. iii. The supervisor conducts triadic supervision so that the needs of both supervisees are addressed in each session. iv. The supervisor facilitates peer feedback effectively and maintains involvement of both supervisees during the session. v. The supervisor guides peer feedback in ways that help the supervisees learn how to give balanced and constructive feedback. vi. The supervisor facilitates peer feedback in ways that help supervisees accept feedback they may perceive as challenging. vii. The supervisor conducts triadic supervision in ways that deal with supervisees’ sensitive issues appropriately. viii. The supervisor seeks to make effective supervisee matches (e.g., skill level, personality) that enhance the work of both supervisees. ix. When triadic supervision involves one peer’s review of the other peer’s counseling session before the supervision session, the supervisor provides a structure or format for the review that facilitates balanced and constructive feedback (e.g., What did the peer do well? What could the peer have done differently? What did you learn from reviewing your peer’s counseling session?). f. The supervisor employs technology in ways that enhance the supervisory process and the development of the supervisee. In using technology for distance supervision, the supervisor clearly approximates i. face-to-face synchronous contact (e.g., formats that allow supervisors and supervisees to attend to non-verbal as well as verbal behavior). ii. The supervisor ensures that client and supervisee confidentiality are protected when using technology in supervision (e.g., takes precautions such as password protection and encryption) that are compliant with HIPPA guidelines. iii. The supervisor ensures that any technology employed in supervision is in compliance with ethical guidelines and regulations promulgated by accreditation, certification, and licensure bodies. iv. The supervisor is competent in the use of the technology employed in supervision. g. In both academic and post-degree supervision, the supervisor actively evaluates the course of supervision on an ongoing basis. i. The supervisor regularly employs methods (appropriate to the supervision context) of gathering data on the effectiveness of supervision, in terms of both supervisee and client outcomes. ii. For academic settings, the university supervisor ensures that there is mutual agreement among the university supervisor, site supervisor, and supervisee about the expectations of each person involved in the supervision. iii. For field-based practicum and internship students, the supervisor provides a procedure by which the supervisee can provide feedback about the site that does not result in negative consequences for the supervisee. 5. The Supervisory Relationship a. The supervisor operates with an awareness that the supervisory relationship is key to the effectiveness of supervision as well as the growth and development of the supervisee. The supervisor operates within the supervisory relationship with emotional i. intelligence, maturity, flexibility, humility, and transparency. ii. Within appropriate professional boundaries, the supervisor is accessible to the supervisee. iii. The supervisor continually seeks to enhance his/her self-awareness around supervisor traits/characteristics/factors that influence the supervisory relationship (e.g., cultural sensitivity, attachment style), based on current literature. b. The supervisor intentionally engages with the supervisee to facilitate development of a productive supervisory relationship and working alliance. The supervisor gives deliberate attention to creating a safe environment that fosters i. mutual trust. ii. The supervisor views supervisee resistance as a normal response to challenge, growth, and change. iii. The supervisor deals with supervisee resistance in productive ways, using culturally appropriate strategies to guide, challenge, and encourage supervisees. iv. The supervisor seeks to lessen supervisee anxiety that is detrimental to supervision while recognizing that some anxiety is inevitable, normal, and positively related to supervisee growth. At the same time, the supervisor does not take responsibility for supervisee anxiety that is based in the supervisee’s personality (e.g., perfectionism), but helps the supervisee take ownership of that anxiety and find ways to manage it productively in counseling and supervision sessions. v. The supervisor encourages the supervisee to work outside her/his comfort zone by taking clinically appropriate risks and expanding his/her counseling approaches. vi. The supervisor encourages the supervisee to be aware of her/his comfort level regarding working with clients from various populations, to challenge perceived limitations, and expand his/her comfort zone. vii. The supervisor recognizes that some level of conflict is inevitable in the supervisory relationship and helps the supervisee understand this as well; the supervisor deals with conflict in productive ways. viii. The supervisor attends to strains, gaps, and/or ruptures to the working alliance and/or conflicts in the supervisor relationship in ways that create an opportunity for learning and growth for both the supervisor and supervisee. Importantly, the supervisor takes responsibility for his/her own contribution to the rupture or conflict. ix. The supervisor elicits and is open to candid and ongoing feedback from the supervisee. x. The supervisor addresses parallel process issues and transference and countertransference issues in ways that are developmentally appropriate and productive for supervisee learning and growth. c. The supervisor attends to ethical and cultural concerns that impact the supervisory relationship. (See also Diversity Considerations and Ethical Considerations sections.) The supervisor promotes contextual sensitivity around factors such as race, i. ethnicity, gender, sexual orientation, socioeconomic status, privilege, ability status, family characteristics and dynamics, country of origin, language, historical processes (e.g., history, migration), worldview, spirituality and religion, and values. ii. The supervisor is aware of the power differential inherent in the supervisory relationship and is transparent about this with the supervisee. The supervisor works to minimize the power differential while at the same time maintaining appropriate authority. iii. The supervisor clearly defines the boundaries of the supervisory relationship and avoids multiple roles or dual relationships with the supervisee that may negatively influence the supervisee or the supervisory relationship. When this is not possible, the supervisor actively manages the multiplicity of roles to prevent harm to the supervisee and maintain objectivity in working with and evaluating the supervisee. iv. The supervisor avoids imposing his/her own meanings, interpretations, values, and beliefs on the supervisee and/or the supervisee’s work with clients. v. The supervisor seeks to recognize and identify his/her own transference and countertransference issues in supervision, and seeks avenues to addressing these in ways that minimize their deleterious effects in supervision (e.g., consultation, peer supervision). 6. Diversity and Advocacy Considerations a. The supervisor recognizes that all supervision is multicultural supervision and infuses multicultural considerations into his/her approach to supervision. In an initial supervision session, the supervisor introduces issues of culture, i. diversity, power, and privilege within the supervisory and counseling relationships, indicating these are important issues to be aware of and discuss openly. ii. The supervisor includes cultural and advocacy competences in the supervisory contract, and intentionally addresses these topics throughout the supervisory process. iii. The supervisor attends to the full range of cultural factors, including race, ethnicity, gender, sexual orientation, socioeconomic status, privilege, ability status, family characteristics and dynamics, country of origin, language, historical processes (e.g., history, migration), worldview, spirituality and religion, and values. iv. The supervisor uses culturally sensitive interventions and aims to facilitate supervisee multicultural counseling competence and cultural identity development. v. The supervisor is aware of issues of privilege and oppression and how they affect the supervision process with each supervisee, with particular attention to supervisees and clients with minority statuses. vi. The supervisor helps the supervisee broach difficult topics in supervision, such as issues pertaining to social justice, and is open to discussing these in supervision. vii. The supervisor engages in ongoing assessment of his/her own multicultural awareness, knowledge, and skills, in counseling and supervision. b. The supervisor encourages supervisees to infuse diversity and advocacy considerations in their work with clients. The supervisor requires the supervisee to include considerations of culture, power, i. and privilege in client case conceptualization and, where appropriate, diagnosis and treatment planning. ii. The supervisor encourages the supervisee to seek opportunities to work with a diverse client population. iii. The supervisor encourages the supervisee to be aware of and address issues of culture, power, and privilege that may serve as barriers to clients from diverse populations seeking or receiving services. iv. The supervisor works with supervisees to help them develop the knowledge and skills necessary for advocating with and, as appropriate, on behalf of their clients. v. The supervisor provides the supervisee with reading and continuing education opportunities regarding multiculturalism and advocacy as needed. 7. Ethical Considerations a. The supervisor conveys to the supervisee that both the supervisor and supervisee are expected to adhere to the ethical codes and guidelines endorsed by the American Counseling Association, the Association for Counselor Education and Supervision and other ACA divisions, relevant credentialing bodies, and models of ethical behavior. The supervisor provides the supervisee with a professional disclosure statement and i. written informed consent as needed or relevant. ii. The supervisor advises the supervisee of the parameters of confidentiality in supervision and acts accordingly. This includes how evaluations of the supervisee may be shared with concurrent and/or future supervisors. iii. The supervisor infuses ethical discussions throughout supervision sessions. iv. The supervisor requires the supervisee to address ethical considerations as part of treatment planning and to document this in casenotes. v. The supervisor guides the supervisee’s critical thinking process about various ethical issues that arise in clinical work. vi. The supervisor provides the supervisee with policies and procedures related to the supervisee’s due process rights and acts accordingly. vii. The supervisor is knowledgeable of prevalent ethical violations and works toward minimizing them in supervision. viii. The supervisor and supervisee maintain liability/malpractice insurance that covers all facets of their supervisory/clinical work. ix. The supervisor avoids behaviors that might lead to direct liability (e.g., failure to meet with the supervisee as scheduled and/or as needed, neglecting important client information that the supervisee shares, assigning clients to supervisees who are inadequately trained to deal with those clients’ concerns) and indirect (vicarious) liability. x. The supervisor addresses ethical issues as needed and, when necessary, reports ethical breaches to relevant constituents (e.g., university, agency, certification and/or licensure board) in a timely manner. b. The supervisor continually monitors his/her own level of competence in providing supervision and acts accordingly. The supervisor provides supervision only for those supervisees and clients for i. whom the supervisor has adequate training and experience. ii. The supervisor limits the number of supervisees he/she supervises at any one time so that adequate and effective supervision can be provided. At a minimum, the supervisor adheres to limits set in accreditation standards and licensure regulations, but chooses to supervise fewer supervisees as needed based on factors such as the needs of the supervisees and clients, as well as personal and contextual considerations. iii. The supervisor regularly seeks consultation and/or peer supervision of his/her supervision. iv. The supervisor is engaged in ongoing continuing education in supervision and other professional development activities, including reading current literature on the conduct of supervision. v. The supervisor conducts supervision in a manner that prioritizes supervisees’ and clients’ needs and interests rather than the supervisor’s needs. vi. The supervisor appropriately engages in and models self-care. c. The supervisor understands that client welfare is his/her first and highest responsibility and acts accordingly. The supervisor assigns the supervisee clients who are appropriate to the supervisee’s i. experience, developmental level, etc., and/or adjusts supervision (e.g., frequency, closeness) as needed. If clients are assigned by others, the supervisor provides input regarding appropriate clients (e.g., number, severity of client issues). ii. The supervisor ensures that supervisees provide clients with professional disclosure statements and written informed consent documents that specify that the supervisee is under supervision and is not licensed or certified, if this is the case, and includes the name and contact information of the supervisor. d. The supervisor does not compromise the supervisory relationship by engaging in relationships with supervisees that are considered inappropriate. The supervisor does not engage in multiple relationships with supervisees nor with i. supervisees’ significant others. ii. The supervisor attends to power issues with the supervisee to prevent harmful nonsexual and sexual relationships. iii. The supervisor explains to the supervisee the appropriate parameters of addressing the supervisee’s personal issues in supervision (identifies the issue, helps the supervisee see the clinical implications, works to minimize the detrimental effects in the supervisee’s clinical work, contributes to a plan for resolution that does not directly involve the supervisor) and acts accordingly. iv. If the supervisor is a doctoral student, the doctoral student’s supervisor avoids pairings of supervisor-supervisee that would pose a conflict of interest. v. If the supervisor is a doctoral student, the doctoral student’s supervisor is sensitive to potential conflicts due to the supervisor’s multiple roles with the doctoral student. e. The supervisor provides ongoing performance assessment and evaluation of the supervisee, including the supervisee’s strengths and limitations. (See also Evaluation section.) i. Early in the relationship, the supervisor outlines how the supervisee will be evaluated, by what standards, and how and when this information will be given to the supervisee as well as to third parties. ii. The supervisor employs methods of direct observation of the supervisee’s work with clients. iii. The supervisor provides the supervisee with fair and ongoing performance assessments and evaluations, including the supervisee’s strengths and limitations. iv. The supervisor assesses the supervisee for impairment, blind spots, and other limitations. v. The supervisor does not include the supervisee’s personal disclosures in written evaluations. 8. Documentation a. The supervisor maintains documentation that provides a system of supervisor accountability. The supervisor maintains documentation that, at a minimum, includes the i. supervision contract (signed by supervisor, supervisee, and, as appropriate, the site supervisor or others involved in the supervisory experience), supervision session case notes, and formative and summative evaluations of the supervisee. ii. The supervisor includes the following information in supervision session case notes: supervisee and client informed consent, content of what was discussed (e.g., counseling session reviewed, client updates provided, site issues), review method used (e.g., recorded session, live observation), goals developed for counseling sessions, and recommendations and/or directives regarding counseling session and/or client care. As needed, the supervisor also includes decision processes, problems and remediation efforts. iii. The supervisor does not include unprofessional remarks about the supervisee or client, sensitive supervisee personal history information, or unsupported opinions in his/her case notes. iv. The supervisor documents supervision sessions so as to protect client welfare, record supervisee development, provide guidance for preparing for and managing future supervision sessions, and serve as a basis for accurate supervisee evaluations. v. The supervisor maintains documents related to supervision sessions so that they protect the privacy and confidentiality of the supervisee (e.g., in a locked file cabinet or on a secure server) and are separate from any client files. vi. The supervisor maintains documentation according to the policies of his/her employing institution, ethical codes, and other relevant guidelines (e.g., licensure regulations). When providing supervision for certification or licensure, the supervisor maintains documentation until the supervisee submits such documentation for credentialing. 9. Evaluation a. The supervisor understands that evaluation is fundamental to supervision and accepts his/her evaluation responsibilities. The supervisor provides both formative and summative evaluations on a regular i. basis. In general, formative evaluation occurs in every supervision session and informs the supervisee of his/her incremental progress or lack of progress. Summative evaluation occurs at regular, stated intervals (e.g., mid-term and end of semester; every three months), and includes a written statement of supervisee performance. ii. The supervisor highlights supervisee strengths and clearly indicates areas of growth in evaluations. iii. The supervisor provides the supervisee regular opportunities to offer verbal and written feedback about the supervisory process, including anonymous feedback when possible. iv. The supervisor regularly employs methods of direct observation of the supervisee’s work with clients, including review of entire counseling sessions to ensure that all phases of a session are reviewed. When a supervisee is working with more than one supervisor (multiple supervisors, layers of supervision), at least one supervisor regularly reviews entire sessions. v. The supervisor bases evaluations on direct observation of counselor performance (e.g., recorded counseling sessions, live observation). vi. The supervisor uses information from a variety of sources in addition to the supervisor’s own observations (e.g., clients, peers) to evaluate supervisee performance. vii. The supervisor reviews a representative sample of the range of the supervisee’s work (e.g., individual counseling, group counseling, play therapy, family counseling), range of clients (e.g., adults, adolescents, children, families), and range of clinical issues (e.g., grief and loss, depression, self-injury, career development). viii. The supervisor attempts to mitigate supervisee anxiety about evaluation by establishing evaluation norms early and exploring supervisee reactions to evaluation. b. The supervisor clearly communicates the evaluation plan to the supervisee. The supervisor presents, in writing, the evaluation plan (including the i. document/rating form and the timeline for providing formal, written evaluations) to be used, criteria for success, and consequences of underperformance to the supervisee prior to beginning supervision. These also are discussed with the supervisee, who is provided the opportunity to ask questions. ii. The supervisor includes core components of counselor competence in the evaluation plan, including relationship building, multicultural and advocacy competences, professionalism, and/or items that address the traditional range foci in supervision (e.g., counseling performance skills, cognitive counseling skills and case conceptualization, self-awareness, and professional behaviors). iii. The supervisor incorporates the supervisee’s individualized learning goals for supervision in the evaluation plan. c. The supervisor encourages ongoing supervisee self-evaluation. The supervisor requires supervisees to complete self-evaluations, formative and i. summative, as part of the evaluation process. ii. The supervisor helps the supervisee develop self-reflection and self-evaluation skills, and fosters an expectation of regular, ongoing self-reflection over the supervisee’s professional lifespan. d. The supervisor takes appropriate steps when remediation is necessary. The supervisor normalizes developmental challenges while also providing feedback i. in clear and constructive language about skills and behaviors that need to be remediated. ii. When remediation is necessary, the supervisor notifies the supervisee promptly. The supervisor recommends specific interventions relevant to the area of deficit. The supervisor prepares a written remediation plan that includes clear objectives, requirements, a timeline, and consequences of compliance and noncompliance. iii. If the remediation plan includes personal counseling, the supervisor avoids dual relationships and invasion of supervisee privacy. 10. Supervision Format a. The supervisor employs various supervision formats (e.g., individual, triadic, peer/colleague review, group supervision) in ways that adhere to accreditation standards and regulations of credentialing bodies (e.g., frequency of individual and group supervision) and that meet the needs of the supervisee, is appropriate to the site, and adequately addresses the needs of clients. b. The supervisor does not choose a format based on what may be convenient for the supervisor (e.g., saves time). When more than one supervisee is involved, the supervisor chooses or creates a i. structure and process that maximizes supervisee involvement and constructive peer feedback. ii. The supervisor addresses the parameters of confidentiality in supervision formats with multiple supervisees (i.e., triadic, peer, group), including information shared about clients and supervision group members. iii. Whenever possible, the supervisor is intentional in pairing supervisees for peer, triadic, and group supervision. iv. The supervisor ensures that, during triadic, peer, and group supervision, constructive feedback is provided and the process is not detrimental to the supervisees involved. 11. The Supervisor a. The supervisor is competent in providing clinical supervision. The supervisor is a competent and experienced practitioner who has knowledge of a i. range of theoretical orientations and techniques and experience with diverse client populations, as relevant to their counseling setting. ii. The supervisor is highly competent, morally sensitive, and ethical in the practices of counseling and supervision. iii. The supervisor has formal training in clinical supervision. iv. The supervisor possesses a strong professional identity as a counselor and supervisor. v. The supervisor is knowledgeable about required and recommended experiences that promote self-efficacy, development, and competence in supervisees (e.g., practicum and internship students as well as post-degree counselors). vi. The supervisor is competent in multicultural counseling and supervision. vii. The supervisor is competent in implementing advocacy competencies in counseling and supervision. viii. The supervisor abides by his/her state counselor and supervisor licensing requirements as well as national counselor and supervisor credentialing requirements. ix. The supervisor employs an appropriate ethical decision making model in responding to ethical challenges and issues and in determining courses of action and behavior for self and supervisee. x. The supervisor possesses a range of knowledge and skills in working with diverse supervisees. xi. The supervisor individualizes supervision based on the specific needs of the supervisee (e.g., learning goals, developmental level, learning style). xii. The supervisor incorporates elements of other supervisory styles if his/her preferred style of supervision does not enhance or challenge the supervisee’s professional development and growth to the fullest. xiii. The supervisor maintains regular and accurate supervision records. b. The supervisor can clearly describe the purpose of clinical supervision and distinguish it from the counseling process as well as from administrative and program supervision. The supervisor views supervision as an educational and developmental process. i. ii. The supervisor is intentional and proactive. iii. The supervisor is able to make the cognitive shift from thinking like a counselor to thinking like a supervisor. iv. The supervisor avoids acting as the supervisee’s counselor. v. The supervisor is aware of the power differential that exists between supervisor and supervisee, does not let it threaten supervisory trust, and makes power issues transparent. vi. The supervisor understands, accepts, and acts on her/his role as an evaluator and professional gatekeeper, continually monitoring and evaluating the supervisee’s practice of counseling to protect and safeguard the well-being of clients. vii. The supervisor encourages supervisee autonomy as appropriate. viii. The supervisor can clearly articulate her/his role as supervisor, including teacher, counselor, consultant, mentor, and evaluator. ix. The supervisor practices and promotes professional boundaries in supervision, thereby acting as a role model to the supervisee. x. The supervisor demonstrates professionalism in an effort to encourage the supervisee to exhibit similar behavior. c. The supervisor has a collaborative relationship with additional supervisors with whom the supervisee may be working (e.g., clinical, administrative, and/or program supervisor at the university, practicum or internship site, and/or work setting). The supervisor works to differentiate roles and responsibilities of each supervisor. i. ii. The supervisor establishes a communication method with other supervisors that enhances each supervisor’s work with the supervisee. iii. The supervisor manages any conflict with other supervisors respectfully and responsibly. d. The supervisor engages in self-reflection and other avenues of personal professional development. The supervisor explores his/her own cultural identity, including issues of power and i. privilege, as well as how these affect his/her values and beliefs about counseling and supervision. ii. The supervisor integrates his/her own cultural self-awareness (see 11.d.i. above) into the supervisor role. iii. The supervisor is actively interested in other cultures and values ecosystemic differences. iv. The supervisor continually seeks and accepts new perspectives from the supervisee and others. v. The supervisor seeks active membership in relevant professional organizations, pursues counseling and supervision credentials, and is involved in ongoing professional development activities regarding supervision. vi. The supervisor regularly reads research and other scholarly literature about supervision, and bases his/her supervision practice on current knowledge of best practices in supervision. vii. The supervisor solicits effectiveness feedback from the supervisee and responds to feedback by paying attention to what can/needs to be changed in the supervisory relationship or the supervisory context. viii. The supervisor is aware of, explores, and monitors his/her own strengths, limitations, abilities, and resources. ix. The supervisor is open to ambiguity and the absence of knowledge, and does not pretend to have all the answers. x. The supervisor has the courage to be imperfect and not expect perfection from self, the supervisee, and others. xi. The supervisor challenges him/her self to take appropriate risks in supervision practices and acts out of his/her comfort zone. xii. The supervisor views errors in supervision as learning opportunities. xiii. The supervisor engages in critical self-reflection and self-care, and avoids professional stagnation and burnout. xiv. The supervisor is self-evaluative and regularly seeks out supervision or peer consultation of supervision practices. e. The supervisor manages supervisory relationship dynamics competently and appropriately. The supervisor bases assessments, evaluations, and developmental feedback on i. supervisee behavior rather than supervisee personality traits. ii. The supervisor understands supervisee resistance and manages it effectively. iii. The supervisor emphasizes the supervisee’s intrinsic motivation rather than extrinsic motivation. 12. Supervisor Preparation: Supervision Training and Supervision of Supervision a. The supervisor has received didactic instruction and experiential training in clinical supervision (concurrent and/or sequential). b. The supervisor’s training is based in a developmental perspective and approach. c. The supervisor’s didactic instruction includes all the topics identified in guidelines published by relevant professional organizations (e.g., ACES) and credentialing bodies (e.g., NBCC, CRC). At a minimum, this didactic instruction includes the following: models of supervision; models of counselor development; formats of supervision; supervisory relationship dynamics; supervision methods and techniques; multicultural considerations; counselor assessment, feedback and evaluation; executive/administrative skills; ethical, legal, and professional regulatory issues; and research on these topics. d. The supervisor’s training emphasizes theoretical and conceptual knowledge, skills and techniques, and self-awareness. e. The supervisor’s training includes appropriate application of teaching, counseling, and consulting skills in supervision. f. The supervisor’s training emphasizes the role modeling that the supervisor provides in all his/her interactions with the supervisee. g. The supervisor’s training emphasizes the supervisory relationship as the primary vehicle for learning in supervision. h. The supervisor’s training includes an emphasis on managing the delicate balance of challenge and support of the supervisee. i. The supervisor’s training includes instruction in relevant learning theories, principles, and research. j. The supervisor is trained to understand that his/her focus includes both the clinical and the professional development of the supervisee. k. The supervisor’s training includes recognition of the need for different approaches, formats, structures, and types of supervision for different supervision settings (e.g., universities, agencies, schools, privately contracted). l. The supervisor articulates a personal philosophy of supervision as a result of training and supervised experience as a supervisor. m. The supervisor’s training includes supervision of supervision based in some form of direct observation of his/her work with supervisees. i. Supervision of supervision follows the guidelines of relevant accreditation standards and credentialing bodies. ii. Supervision of supervision adheres to all relevant “best practices” identified in this document.