Your
Supervision Ethics Code:
Guidelines for Judging Direct and Vicarious Liability
Question: As a supervisor of counselors seeking full licensure in Washington State, what is the likelihood and/or danger of being included in
a malpractice suit against one of my supervisees?
Dear Counselor
Supervisor:
I have never heard of a supervisor being included as a party in a malpractice suit
against a supervisee; however, there is no reason why this could not occur in the future. Certainly, if a counselor employed by an agency
is sued for malpractice, I would expect the agency to be included in the suit. The
relatively new interpretation of Washington State law, permitting licensed
associate counselors to do private practice counseling under supervision, would seem to invite similar inclusion of both the
individual counselor and the supervisor as defendants to a civil suit.
This is one reason why it is important for
both the supervisor and the supervisee maintain
current liability insurance.
Most counselor liability (malpractice) insurance considers the role
of supervisor to be a normal part of counseling activities and therefore
is included
in regular policies. Check your insurance policy!
In the Fall 2011 edition of the WAMFT newsletter, in an article called
"Legal and Ethical Dilemmas," attorney Joseph Shaub, JD, LMFT, cautions, "It is also important to realize that professional codes
of ethics are often the measuring stick by which your conduct will be measured in a civil lawsuit."
(He's talking about all counselors, not just supervisors.)
The supervisor should take the initiative to maintaining good supervision practices and to adhere
to a supervisors' code of ethics. So what is your code of ethics regarding supervision practices and is that information
included in your agreement with your supervisee? (You do have a written
disclosure form and fee agreement with your supervisee, don't you?)
Some day, a jury may be
looking at you to evaluate your performance as a supervisor.
Was the damage to your supervisee's client the direct result of
something that you instructed supervisee to do, or the indirect
effect of your failure to follow the supervisory standards of your
profession? What better way to judge than reviewing
professional ethics code? Claiming not to have any guiding supervisory code of ethics
is a poor defense and may brand you as unprofessional.
For those of you who are not aware of a
good Supervisors' Code of Ethics, I refer you to the excellent supervision section of the
American Counselors Association Code of Ethics. (see copy of supervision section
of the ACA ethics code, below.) I recommend this this code
to supervisors who want to do a good, professional job and stay out
of trouble.
Floyd Else, MA, LMHC,
NCC, Webmaster: Counseling Washington
Section F: Supervision, Training, and Teaching [From ACA Code of Ethics]
F.1. Counselor
Supervision and Client Welfare.
F.1.a. Client Welfare. A primary obligation of counseling
supervisors is to monitor the services
provided by other counselors or counselors-in-training. Counseling
supervisors monitor client welfare and supervisee clinical
performance and professional development. To fulfill these
obligations, supervisors meet regularly with supervisees to review
case notes, samples of clinical work, or live observations.
Supervisees have a responsibility to understand and follow the ACA
Code of Ethics.
F.1.b. Counselor Credentials. Counseling Supervisors work to
ensure that clients are aware of the qualifications of the
supervisees who render services to the clients. (See A.2.b.)
F.1.c. Informed Consent and Client Rights. Supervisors
make supervisees aware of client rights including the protection of
client privacy and confidentiality in the counseling relationship.
Supervisees provide clients with professional disclosure information
and inform them of how the supervision process influences the limits
of confidentiality. Supervisees make clients aware of who will have
access to records of the counseling relationship and how these
records will be used. (See A.2.b., B.1.d.)
F.2. Counselor Supervision Competence.
F.2.a. Supervisor Preparation. Prior to offering clinical supervision services, counselors are trained in supervision
methods and techniques. Counselors who offer clinical supervision services regularly pursue continuing education activities
including both counseling and supervision topics and skills. (See C.2.a., C.2.f.)
F.2.b. Multicultural Issues/Diversity in Supervision. Counseling supervisors are aware of and address the role of
multiculturalism/diversity in the supervisory relationship.
F.3. Supervisory
Relationships.
F.3.a. Relationship Boundaries With Supervisees. Counseling supervisors clearly define and maintain ethical professional,
personal, and social relationships with their supervisees. Counseling supervisors avoid nonprofessional relationships with
current supervisees. If supervisors must assume other professional roles (e.g., clinical and administrative supervisor,
instructor) with supervisees, they work to minimize potential conflicts and explain to supervisees the expectations and
responsibilities associated with each role. They do not engage in any form of nonprofessional interaction that may
compromise the supervisory relationship.
F.3.b. Sexual Relationships. Sexual or romantic interactions or
relationships with current supervisees are prohibited.
F.3.c. Sexual Harassment. Counseling supervisors do not condone or
subject supervisees to sexual harassment. (See C.6.a.)
F.3.d. Close Relatives and Friends.
Counseling supervisors avoid accepting close relatives, romantic partners, or friends as supervisees.
F.3.e. Potentially Beneficial Relationships. Counseling supervisors are aware of the power differential in their
relationships with supervisees. If they believe nonprofessional relationships with a supervisee may be potentially
beneficial to the supervisee, they take precautions similar to those taken by counselors when working with
clients. Examples of potentially beneficial interactions or relationships include attending a formal ceremony; hospital visits;
providing support during a stressful event; or mutual membership in a professional association, organization, or community.
Counseling supervisors engage in open discussions with supervisees when they consider entering into relationships with them outside of
their roles as clinical and/or administrative supervisors. Before engaging in nonprofessional relationships, supervisors
discuss with supervisees and document the rationale for such interactions, potential benefits or drawbacks, and anticipated
consequences for the supervisee. Supervisors clarify the specific nature and limitations of the additional role(s)
they will have with the supervisee.
F.4. Supervisor Responsibilities
F.4.a. Informed Consent for Supervision. Supervisors are responsible for incorporating into their supervision the principles
of informed consent and participation. Supervisors inform supervisees of the policies and procedures to which they are to
adhere and the mechanisms for due process appeal of individual supervisory actions.
F.4.b. Emergencies and Absences. Supervisors establish and communicate to supervisees procedures for contacting them or, in
their absence, alternative on-call supervisors to assist in handling crises.
F.4.c. Standards for Supervisees. Supervisors make their supervisees aware of professional and ethical standards and legal
responsibilities. Supervisors of post-degree counselors encourage these counselors to adhere to professional standards of practice. (See C.1.)
F.4.d. Termination of the Supervisory Relationship. Supervisors or supervisees have the right to terminate the supervisory
relationship with adequate notice. Reasons for withdrawal are provided to the other party. When cultural, clinical, or
professional issues are crucial to the viability of the supervisory relationship, both parties make efforts to resolve differences.
When termination is warranted, supervisors make appropriate referrals to possible alternative supervisors.
F.5. Counseling Supervision Evaluation, Remediation, and Endorsement.
F.5.a. Evaluation. Supervisors document and provide supervisees with ongoing performance
appraisal and evaluation feedback and schedule periodic formal evaluative sessions throughout the supervisory relationship.
F.5.b. Limitations. Through ongoing evaluation and appraisal, supervisors are aware of the limitations of supervisees
that might impede performance. Supervisors assist supervisees in securing remedial assistance when needed. They recommend dismissal
from training programs, applied counseling settings, or state or voluntary professional credentialing processes when those
supervisees are unable to provide competent professional services. Supervisors seek consultation and document their decisions to
dismiss or refer supervisees for assistance. They ensure that supervisees are aware of options available to them to address such
decisions. (See C.2.g.)
F.5.c. Counseling for Supervisees. If supervisees request counseling, supervisors provide them with acceptable
referrals. Counselors do not provide counseling services to supervisees. Supervisors address interpersonal competencies in
terms of the impact of these issues on clients, the supervisory relationship, and professional functioning. (See F.3.a.)
F.5.d. Endorsement. Supervisors endorse supervisees for certification, licensure, employment, or completion of an
academic or training program only when they believe supervisees are qualified for the endorsement. Regardless of
qualifications, supervisors do not endorse supervisees whom they believe to be impaired in any way that would interfere with the
performance of the duties associated with the endorsement.
What professional associations are
you a member of? Do any of your professional
association code of ethics include a section for supervisors? If so, are you complying with
the code of ethics in your
relationships with your supervisees? If your association does
not have a supervisors ethics code, I suggest you govern your
supervision with the ACA Code of Ethics, above.
Special Request:
If you are aware of another code of ethics for counselor supervision, please
email and provide the URL address (http://) where we can find the
page online.
[
Send an email to Floyd ]
Floyd Else, MA, LMHC, NCC
Webmaster: Counseling Washington
CounselingSeattle LLC
PO Box 67814, Bellevue, WA 98008
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Related
Counseling Washington Web pages:
List of Approved Clinical Supervisors Available for counselor
supervision.
Regulations for the Supervision of Therapists, Counselors, and Social Workers.
Washington State Forms for Supervision. |
Code of Ethics of the National Association of Social Workers
--full text.
Also see:
Collection of
selected SW Ethics paragraphs that apply specifically to
supervision, supervisors and supervisees.
Other references online (on other sites):
"
Ethical Guidelines for Counseling Supervisors,"
Association for Counselor Education and Supervision (1993), which were incorporated into the 2005 ACA Code of Ethics.
The Zur Institute list of "
Professional Organizations' Codes of Ethics on Supervision in Psychotherapy and Counseling."
"
Ethical Issues in the Practice of Supervision," Perry C. Francis, EdD, NCC, LPC, Department of Counseling, Texan
A & M Commerce University. This is a Microsoft PowerPoint presentation and takes a minute or two to download.
"
Ethical Issues in Counseling Supervision: A Comparison of University and Site Supervisors," UNCG Author
Craig S. Cashwell, Professor, The University of North Carolina at Greensboro (UNCG) and other contributors
named therein. Study to examine how site and university supervisors differed on the interpretation of
ethical dilemmas. A survey of ethical dilemmas based on salient ethical issues in counseling supervision (i.e.,
dual relationships, competence, informed consent, and due process) was used. The participants in this study
included site supervisors of field-based practicum, internship students and university supervisors from
counseling programs accredited by the Council for Accreditation of Counseling and Related Educational
Programs (CACREP). The results of the study indicated significant differences between university and site
supervisors on the interpretation of ethical dilemmas based on relevant ethical standards.
Ethical and Legal Issues in Supervision, Syracuse University School of Education website:
"If a professional fails to follow acceptable standards of practice and harm to a client results, the
professional can be held liable for the harm caused. Direct liability
would be charged when the actions of a supervisor were themselves the cause of harm to a supervisee or a client (for instance, if a
supervisor suggested (and documented) an intervention that was determined to be the cause of harm). The
supervisor does not have to actually carry out the intervention, but if the supervisee follows the
suggestion of a supervisor and this results in harm – this is direct liability.
Vicarious liability is being held liable for the actions of the supervisee when these were
not suggested, or even known, by the supervisor. Therefore, if a supervisory relationship exists, the
supervisor can potentially be held liable for any negligent acts of the supervisee."
(Emphasis added.)
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