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A clear definition of which ethical aspirational principle and enforceable standards are relevant to the topic below.
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A clear definition of which ethical aspirational principle and enforceable standards are relevant to the topic below.
Ethical Supervision of Trainees in
Professional Psychology Programs
Supervision is a primary means by which students in professional psychology programs acquire and develop
skills needed to provide effective and ethical mental health services (Shallcross, Johnson, & Lincoln, 2010).
Competent and ethical supervision provides a foundation for the attitudes, skills, and commitment supervisees
will need to know what is right and the motivation for self-evaluation and lifelong learning necessary to do
what is right throughout their careers (see Chapter 3).
Supervisors have a fiduciary obligation to their supervisees, the clients/patients under the supervisees’ care,
and the public (Principle B: Fidelity and Responsibility). They must (a) nurture the supervisees’ professional
skills and attitudes, (b) ensure that supervisees’ clients/patients are provided appropriate mental health treatment,
and (c) serve as gatekeepers who take appropriate actions to prevent supervisees not able to demonstrate
the needed professional competence from entering the profession and practicing independently
(Principle A: Beneficence and Nonmaleficence; Barnett et al., 2007; Bernard & Goodyear, 2004). Supervision
should be marked by mutual respect, with supervisor and supervisee both contributing to the process of establishing
goals and role responsibilities (Principle E: Respect for People’s Rights and Dignity; Pettifor, McCarron,
Schoepp, Stark, & Stewart, 2011). The goal of this Hot Topic is to describe the competencies needed to provide
effective and ethical supervision, desired outcomes on which to fairly evaluate supervisee performance, and
how trainees can contribute to their supervisory experience.
Competencies for Effective Supervision
Efforts to provide faculty with the skills necessary for competent supervision has not kept pace with psychology’s
growing commitment to a culture of competence in training and supervision (Standard 2.01, Boundaries
of Competence; DeMers, Van Horne, & Rodolfa, 2008). Competencies for effective supervision include professional
knowledge and expertise and the interpersonal skills necessary to create a trusting supervisory alliance
(Falender et al., 2004). A competence-based approach to supervision also requires techniques for successfully
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Copyright © 2013 by SAGE Publications, Inc.
Chapter 10 Standards on Education and Training —— 217
monitoring, assessing, and providing feedback to trainees and an emphasis on self-reflection and self-assessment
on the part of supervisor and trainee (N. J. Kaslow, Falender, & Grus, 2012).
Professional Knowledge and Expertise . Supervisors must have the necessary clinical knowledge and expertise
to identify client mental health needs within a diversity-sensitive context, guide supervisees in clientappropriate
treatment techniques, and recognize when clients are not responding to supervisee interventions
(Accurso, Taylor, & Garland, 2011). They must also be familiar with academic credit or credentialing supervision
requirements, on-site institutional policies, and relevant laws as well as appropriate risk management strategies.
Finally, supervisors must fully integrate into the supervisory process the profession’s ethical values and
standards (Barnett et al., 2007; Gottlieb et al., 2007). This includes the following:
Discussion of informed consent, confidentiality and disclosure decisions, avoidance of harmful multiple
relationships, attention to personal problems, or biases that may interfere with treatment efficacy
Consistent monitoring of and feedback on supervisee ethical practices
Preparing students for orderly and appropriate resolution of client responsibility when the training rotation
ends
Maintaining appropriate boundaries and avoiding exploitative or harmful multiple relationships
Preparing students for orderly and appropriate resolution of client responsibility when the training rotation
ends
Maintaining appropriate boundaries and avoiding exploitative or harmful multiple relationships
Interpersonal Competencies . The supervisory context should encourage open discussion of treatment challenges
and attempt to try new strategies by providing constructive feedback in a manner that minimizes
trainee anxiety and decreased feelings of self-efficacy (Barnett et al., 2007; J. A. Daniels & Larson, 2001). At
the same time, supervisors cannot shy away from providing negative feedback when it is necessary to ensure
that clients are receiving adequate care and that their evaluations of supervisee clinical acumen is objective
and in accord with the standards of the profession.
Structuring the Supervisory Process
Structuring the supervisory process requires the ability to tailor training to the supervisee’s level of competence,
identify appropriate outcome measures for evaluation, and present clear standards for assessment.
Identifying Supervisee’s Competencies . The goals and desired outcomes of a training experience need to
be tailored to the supervisee’s current competencies in relation to client needs and institutional requirements.
To meet obligations to trainees and the trainees’ clients, supervisors need to evaluate each supervisee’s developing
competence and the clinical responsibilities with which he or she can be entrusted (Falender &
Shafranske, 2007; Standard 2.05, Delegation of Work to Others).
Identifying Appropriate Training Outcomes . Evaluations must be based on the supervisee’s actual performance
on relevant and established requirements (Standard 7.06, Assessing Student and Supervisee
Performance). Falender and Shafranske (2007) identified the following abilities by which the trainee’s professional
growth can be evaluated:
Apply clinical knowledge and skills in a consistent fashion and incorporate new knowledge into existing
competencies.
Deal with increased confusions and varied situational aspects that shape clinical work.
Respond to constructive feedback.
Carry out recommendations to ensure adequate client care.
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NOT FOR DISTRIBUTION, SALE, OR REPRINTING.
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Copyright © 2013 by SAGE Publications, Inc.
218 —— PART II ENFORCEABLE STANDARDS
Use problem-solving and clinical reasoning skills appropriate to specific clinical tasks and ethical challenges.
Master technical and facilitative variables appropriate to the students’ stage of training.
Feedback and Evaluation . Standard 7.06 also requires that supervisors establish a timely and specific process
for providing feedback to supervisees and explain the process to trainees at the beginning of supervision.
This includes delineating setting-specific competencies the supervisee must attain for successful completion of
the supervised interval (Falender & Shafranske, 2007).
Meaningful evaluations, scheduled at predetermined intervals, provide trainees with adequate time to
improve their skills and the supervisor with opportunity to evaluate the trainee’s responsiveness to constructive
feedback. When supervisees are unresponsive, fail to demonstrate needed competence, or exhibit impaired
professional competence as a result of personal problems, these issues should be addressed in supervision and
the trainee should be provided reasonable opportunities for remediation or intervention. When necessary, the
supervisor must act to prevent inappropriate actions resulting in poor-quality client care, violation of ethical
standards, or harm to the institution through the supervisee’s violation of policy or law. When appropriate,
supervisors should inform their institution or the students’ academic program and provide a written report
documenting the reasons for their concerns (see Gizara & Forest, 2004).
Enhancing the Supervisory Experience
The quality of clinical supervision will significantly affect students’ development as competent and ethical
practitioners.
Externships and internships in professional psychology programs are often off-site and supervised by nonfaculty
members. When applying for training at these sites, students should obtain the following information:
Has the graduate program and externship training site entered into a formal relationship that includes
articulation of specific training goals and standards, open communication between program faculty and
on-site supervisors, and a system of formalized feedback from students regarding the quality of the
training experience?
Who in their graduate program or externship or internship site can students go to if they have a problem
with an off-site supervisor? Is there a formal complaint process?
If a supervisor is providing inadequate training, will the department or training site assist the student
in obtaining the necessary clinical experience and supervision?
Competent practice in professional psychology requires an understanding of and adherence to ethical
standards, institutional policy, and law. Supervisees should be provided copies of the relevant agency policies
and procedural manuals, including mandatory and discretionary reporting policies and steps to be taken in
case of an emergency. Supervisees should also be made aware of the nature of routine institutional intake
procedures and their own responsibilities regarding obtaining informed consent and communicating to clients/
patients information regarding HIPAA policies, confidentiality policies, the fact that they are in training, and
the name and contact information of their supervisor (10.01, Informed Consent to Therapy).
Self-reflection and the motivation to improve one’s clinical knowledge and skills are fundamental to good
practice. Supervisees should take an active role in constructing a meaningful learning experience. To help their
supervisors in establishing appropriate training experiences and evaluation criteria, supervisees should be
encouraged to be frank when asked to discuss their current level of clinical competence and training goals and
to continue throughout the training experience to ask for additional or more focused training in a specific area
of clinical concern, including asking the supervisor about APA Ethics Code requirements and how they relate
to current treatment issues.
FOR THE USE OF UNIVERSITY OF PHOENIX STUDENTS AND FACULTY ONLY.
NOT FOR DISTRIBUTION, SALE, OR REPRINTING.
ANY AND ALL UNAUTHORIZED USE IS STRICTLY PROHIBITED.
Copyright © 2013 by SAGE Publications, Inc.
219
CHAPTER 11
Standards on
Research and Publication
8. Research and Publication
8.01 Institutional Approval
When institutional approval is required, psychologists provide accurate information about their
research proposals and obtain approval prior to conducting the research. They conduct the
research in accordance with the approved research protocol.
The Nuremberg Code (1949), the first international document establishing
participant rights in research was created in response to the notorious involvement
of German Nazi doctors in medical research on concentration camp prisoners
without their consent. In the United States, however, regulations protecting the
rights of human research participants did not emerge until the late 1970s, following
the 1972 public disclosure of the government-sponsored Tuskegee Syphilis
Study. In this 30-year study, 399 African American rural men were left untreated
for diagnosed syphilis even after effective antibiotics became available (J. H. Jones,
1993). Over time, the U.S. Code of Federal Regulations Title 45–Part 46 Protection
of Human Subjects (DHHS, 2009) has undergone a number of additions and now
includes a general section on research protections (Subpart A, known as the
Common Rule) and subsections specifically detailing special protections for
pregnant women, fetuses, and neonates (Subpart B), prisoners (Subpart C), and
children (Subpart D).
Under these regulations, IRBs are charged with ensuring that investigators protect
the rights and welfare of research participants. Specific IRB requirements
reflect three general moral principles proposed in the landmark Belmont Report
written by the National Commission for the Protection of Human Subjects of
Biomedical and Behavioral Research (NIH, 1979): beneficence, justice, and respect.
FOR
American Psychological Association (2015). Ethical Principles of Psychologists and Code of Conduct. Retrieved from: http://www.apa.org/ethics/code/
Fisher, C. B. (2013). Decoding the ethics code: A practical guide for psychologists. Thousand Oaks, CA: Sage.
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