21 TAP 21-A

Technical Assistance Publication Series

U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration

Center for Substance Abuse Treatment

www.samhsa.gov

Competencies for 

Substance Abuse 

Treatment Clinical 

Supervisors

Competencies for 

Substance Abuse 

Treatment Clinical 

Supervisors
COMPETENCIES FOR 

SUBSTANCE ABUSE 

TREATMENT CLINICAL 

SUPERVISORS

Technical Assistance Publication (TAP) Series

21-A

U.S. Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Center for Substance Abuse Treatment

1 Choke Cherry Road

Rockville, MD 20857
ACKNOWLEDGMENTS

Numerous people contributed to this publication. The clinical supervision competencies were developed by a Task Force of experts (see page v), and the document was reviewed by others in the substance 

use disorder treatment field (see Appendix D). Section II: Implementation Guidelines was written by 

Steve Gallon, Ph.D., and Pamela Mattel, LCSW-R, CASAC. This publication was produced by JBS International, Inc. (JBS), under Knowledge Application Program (KAP) contract number 270-04-7049 with the 

Substance Abuse and Mental Health Services Administration (SAMHSA), U.S. Department of Health and 

Human Services (DHHS). Christina Currier served as the Center for Substance Abuse Treatment (CSAT) 

Government Project Officer, and Karl White, Ed.D., served as the CSAT Workforce Development Team 

expert. Lynne MacArthur, M.A., A.M.L.S., served as the JBS KAP Executive Project Co-Director, and Barbara 

Fink, RN, M.P.H., served as the JBS KAP Managing Project Co-Director. Other JBS KAP personnel included 

Dennis Burke, M.S., M.A., Deputy Director for Product Development; Candace Baker, M.S.W., CSAC, MAC, 

Senior Writer/Publication Manager; Wendy Caron, Editorial Quality Assurance Manager; Frances Nebesky, 

M.A., Quality Assurance Editor; Pamela Frazier, Document Production Specialist; and Claire Macdonald, 

Graphic Artist. 

DISCLAIMER

The opinions expressed herein are the views of Task Force members and do not necessarily reflect the 

official position of CSAT, SAMHSA, or DHHS. No official support of or endorsement by CSAT, SAMHSA, 

or DHHS for these opinions or for particular resources described in this document is intended or should 

be inferred. 

PUBLIC DOMAIN NOTICE

All materials appearing in this volume except those taken directly from copyrighted sources are in the 

public domain and may be reproduced or copied without permission from SAMHSA/CSAT or the authors. 

Do not reproduce or distribute this publication for a fee without specific, written authorization from 

SAMHSA’s Office of Communications. 

ELECTRONIC ACCESS AND COPIES OF PUBLICATION

This publication may be accessed electronically through www.kap.samhsa.gov. Copies may be obtained 

free of charge from SAMHSA’s National Clearinghouse for Alcohol and Drug Information (NCADI), (800) 

729-6686 or (240) 221-4017; TDD (for hearing impaired), (800) 487-4889; or electronically through 

www.ncadi.samhsa.gov.

RECOMMENDED CITATION

Center for Substance Abuse Treatment. Competencies for Substance Abuse Treatment Clinical Supervisors.

Technical Assistance Publication (TAP) Series 21-A. DHHS Publication No. (SMA) 07-4243. Rockville, MD: 

Substance Abuse and Mental Health Services Administration, 2007.

ORIGINATING OFFICE

Practice Improvement Branch, Division of Services Improvement, Center for Substance Abuse Treatment, 

Substance Abuse and Mental Health Services Administration, 1 Choke Cherry Road, Rockville, MD 20857.

DHHS Publication No. (SMA) 07-4243

Printed 2007
iii

CONTENTS

Clinical Supervision Competencies Task Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v

Section I: Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

A Changing Profession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

A Competency-Based Framework for Clinical Supervision . . . . . . . . . . . . . . . . . . . . . . 3

What This Document Is Not . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Using This Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Directions for Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Section II: Implementation Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Why Have Implementation Guidelines? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

What Needs To Be Implemented? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Section III: Foundation Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13

FA1: Theories, Roles, and Modalities of Clinical Supervision . . . . . . . . . . . . . . . . . . . 15

FA2: Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

FA3: Supervisory Alliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

FA4: Critical Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

FA5: Organizational Management and Administration . . . . . . . . . . . . . . . . . . . . . . . . . 23

Section IV: Performance Domains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

PD1: Counselor Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

PD2: Professional and Ethical Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

PD3: Program Development and Quality Assurance . . . . . . . . . . . . . . . . . . . . . . . . . . 31

PD4: Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

PD5: Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Section V: Integrated Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37

Section VI: Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43

Appendix A: Clinical Supervision Certification—National Resources . . . . . . . . . . . . . 45

Appendix B: Professional Codes of Ethics Specific to Clinical Supervision . . . . . . . . . 47

Appendix C: Suggested Reading and Other Resources . . . . . . . . . . . . . . . . . . . . . . . . 55

Appendix D: Field Reviewers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
v

CLINICAL SUPERVISION COMPETENCIES TASK FORCE

Steve Gallon, Ph.D. (Chair)

Principal Investigator

Northwest Frontier Addiction Technology 

 Transfer Center

Salem, Oregon

Charlotte Chapman, M.S., LPC

Clinical Assistant Professor

Virginia Commonwealth University

Richmond, Virginia 

Thomas Durham, Ph.D., CCS

Executive Director

The Danya Institute

Silver Spring, Maryland 

Christiane Farentinos, M.D., CADA II

Director

ChangePoint, Inc.

Portland, Oregon 

Karen Garrett, M.A., CAP, CAPP

Quality Improvement and Training 

 Director

River Region Human Services, Inc.

Jacksonville, Florida 

Anne Hatcher, Ed.D., CAC III, NCAC II

Professor, Co-Director 

Center for Addiction Studies

Metropolitan State College of Denver

Denver, Colorado 

Jim Knorp, M.S.W., CAP

Project Manager

Southern Coast Addiction Technology 

 Transfer Center

Tallahassee, Florida 

Pamela Mattel, LCSW-R, CASAC

Behavioral Healthcare Consultant/Trainer

13 Hill Drive

Oyster Bay, New York

Jeanne Obert, MFT, MSM

Executive Director

Matrix Institute

West Los Angeles, California 

Laura Tonkin

Partner

The Mackey Group

Issaquah, Washington

Mike Towey, M.P.A., CDP, CPP

Instructor

Tacoma Community College

Tacoma, Washington
Other Technical Assistance Publications (TAPs) include:

TAP 1 Approaches in the Treatment of Adolescents with Emotional and Substance Abuse Problems

PHD580

TAP 2 Medicaid Financing for Mental Health and Substance Abuse Services for Children and 

Adolescents PHD581

TAP 3 Need, Demand, and Problem Assessment for Substance Abuse Services PHD582

TAP 4 Coordination of Alcohol, Drug Abuse, and Mental Health Services PHD583

TAP 5 Self-Run, Self-Supported Houses for More Effective Recovery from Alcohol and Drug Addiction 

PHD584

TAP 6 Empowering Families, Helping Adolescents: Family-Centered Treatment of Adolescents with 

Alcohol, Drug Abuse, and Mental Health Problems BKD81

TAP 7 Treatment of Opiate Addiction With Methadone: A Counselor Manual BKD151

TAP 8 Relapse Prevention and the Substance-Abusing Criminal Offender BKD121

TAP 9 Funding Resource Guide for Substance Abuse Programs BKD152

TAP 10 Rural Issues in Alcohol and Other Drug Abuse Treatment PHD662

TAP 11 Treatment for Alcohol and Other Drug Abuse: Opportunities for Coordination PHD663

TAP 12 Approval and Monitoring of Narcotic Treatment Programs: A Guide on the Roles of Federal and 

State Agencies PHD666

TAP 13 Confidentiality of Patient Records for Alcohol and Other Drug Treatment BKD156

TAP 14 Siting Drug and Alcohol Treatment Programs: Legal Challenges to the NIMBY Syndrome

BKD175

TAP 15 Forecasting the Cost of Chemical Dependency Treatment Under Managed Care: The Washington 

State Study BKD176

TAP 16 Purchasing Managed Care Services for Alcohol and Other Drug Abuse Treatment: Essential 

Elements and Policy Issues BKD167

TAP 17 Treating Alcohol and Other Drug Abusers in Rural and Frontier Areas BKD174

TAP 18 Checklist for Monitoring Alcohol and Other Drug Confidentiality Compliance PHD722

TAP 19 Counselor’s Manual for Relapse Prevention With Chemically Dependent Criminal Offenders

PHD723

TAP 20 Bringing Excellence to Substance Abuse Services in Rural and Frontier America BKD220

TAP 21 Addiction Counseling Competencies: The Knowledge, Skills, and Attitudes of Professional 

Practice BKD246

TAP 21-A Competencies for Substance Abuse Treatment Clinical Supervisors (SMA)07-4243

TAP 22 Contracting for Managed Substance Abuse and Mental Health Services: A Guide for Public 

Purchasers BKD252

TAP 23 Substance Abuse Treatment for Women Offenders: Guide to Promising Practices BKD310

TAP 24 Welfare Reform and Substance Abuse Treatment Confidentiality: General Guidance for 

Reconciling Need to Know and Privacy BKD336

TAP 25 The Impact of Substance Abuse Treatment on Employment Outcomes Among AFDC Clients in 

Washington State BKD367

TAP 26 Identifying Substance Abuse Among TANF-Eligible Families BKD410

TAP 27 Navigating the Pathways: Lessons and Promising Practices in Linking Alcohol and Drug 

 Services with Child Welfare BKD436

TAP 28 The National Rural Alcohol and Drug Abuse Network Awards for Excellence 2004, Submitted 

and Award-Winning Papers BKD552

Other TAPs may be ordered by contacting the National Clearinghouse for Alcohol and Drug 

Information (NCADI), (800) 729-6686 or (240) 221-4017, TDD (for hearing impaired), (800) 487-4889.
1

Section I:

INTRODUCTION

BACKGROUND

In 1998, the Substance Abuse and Mental Health Services Administration’s Center for Substance Abuse Treatment (CSAT) published Technical 

Assistance Publication (TAP) 21, Addiction Counseling Competencies: 

The Knowledge, Skills, and Attitudes of Professional Practice. TAP 21 has 

been widely distributed and is now a benchmark by which curricula are 

developed and educational programs and professional standards are measured in the U.S. substance use disorder treatment field. In 2006, CSAT 

produced a reformatted, revised version of TAP 21 (Center for Substance 

Abuse Treatment, 2006).

The TAP 21 counselor competencies describe what fully proficient counselors can do in clinical practice. Those competencies may be introduced 

in preemployment education and training settings, but they are often 

developed more fully on the job. It is typically the clinical supervisor’s 

responsibility to mentor counselor development and facilitate the building of new knowledge and skills, not only during counselors’ early years 

but throughout their careers. To that end, clinical supervisors in agencies 

specializing in the treatment of substance use disorders are expected to be 

knowledgeable and proficient in the addiction counseling competencies.

Clinical supervision itself is much discussed in the professional literature 

of several disciplines, including social work, psychology, and both mental 

health and substance use disorder counseling. Theories, process dynamics, and tools abound, but the functional responsibilities and essential 

skills of the substance use disorder treatment supervisor had not been 

synthesized into one document that could serve as a standard for the 

field. To remedy that situation, CSAT convened the Clinical Supervision 

Competencies Task Force (the Task Force) in fall 2005. The Task Force, 

composed of experts in substance abuse treatment and clinical supervision from across the country, was charged with developing this document, TAP 21-A, Competencies for Substance Abuse Treatment Clinical 

Supervisors. TAP 21-A is designed to accompany TAP 21, taking monitoring, assessment, and improvement of addiction counseling competencies 

to the next level.
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Competencies for Substance Abuse Treatment Clinical Supervisors

A CHANGING PROFESSION

Professional treatment for substance use disorders is a rapidly changing discipline. Research and 

evaluation studies are identifying new methods and tools for facilitating change and recovery. 

Payers, clients and their families, and the general public are seeking increased accountability 

and effectiveness of services. Licensing and credentialing bodies are raising their standards and 

expecting higher qualifications from applicants for certification or licensure. For example:

States and the Federal Government are implementing contracts and grants that require 

treatment organizations to demonstrate specified levels of client outcomes rather than 

just delivery of services.

Licensing and funding sources of all types are expecting programs to use evidence-based 

practices in the delivery of treatment services.

Treatment programs also are seeing clients who have co-occurring disorders and present with 

complex life situations and issues. More complex treatment issues call for more sophisticated 

and competent treatment and supervision skills. To meet increasing demands, modern treatment 

organizations must be able to—

Monitor, evaluate, and promote clinical competence, directly and objectively;

Ensure fidelity to evidence-based practices; and

Increase treatment efficacy and cost-effectiveness.

Historically, professional substance abuse treatment organizations have focused resources on 

providing direct client care but have not provided sufficient resources for clinical supervision, an 

activity critical to ensuring service quality and effectiveness. Supervision time is limited in most 

agencies, and supervisory activities are frequently more administrative than clinical in nature. 

Supervisors often carry a clinical caseload and have a variety of program management responsibilities. It is no wonder that direct clinical supervision of counselors (including performance observation, feedback, and mentoring) is rarely a part of an agency’s staff development plan. 

Counselors often are promoted into supervisory positions on the basis of seniority, academic 

training, or their competence as counselors. Although a high level of counseling proficiency is an 

important prerequisite, it is not the only qualification of a competent clinical supervisor. Clinical 

supervision requires a new set of knowledge, skills, and abilities, as well as assumption of a different professional role. Many new supervisors receive little or no training in clinical supervision, 

leading to enormous inconsistency in the quality of supervision available in the field. As a result, 

many counselors receive inadequate clinical training and supervision. New counselors working 

toward certification or licensure frequently have to go outside their agencies, and even outside the 

field of substance use disorder treatment, to obtain competent supervision. 

In addition, as professional performance expectations increase, substance use disorder treatment agencies are experiencing an unprecedented workforce shortage. An aging workforce and 

the lure of better paying positions in related settings have contributed to the shortage of qualified treatment personnel. Clinical staff members can become overwhelmed or dissatisfied when 

faced with the high demands of the job and little supervision. Some even choose to leave the 

profession. At the same time, fewer individuals are entering the field than in the past. Literature 

suggests that one potential solution is to provide consistent, high-quality clinical supervision in 

a way that will attract new counselors, enhance career satisfaction, mitigate burnout among veteran providers, and help clinicians become (and feel) more competent and effective. 

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Section I: Introduction

A COMPETENCY-BASED FRAMEWORK FOR CLINICAL SUPERVISION

Clinical supervision has become an organizational function with its own conceptual framework 

and methodology. Key competencies for effective clinical supervision represent an array of 

knowledge and skills pertinent to the clinical, administrative, and evaluative responsibilities of a 

clinical supervisor. Before the framework can be described in more detail, definitions of two key 

terms are needed: clinical supervision and competency.

A number of definitions for clinical supervision have appeared in the published literature. Two 

of the most popular are the following: 

1. Clinical supervision is a disciplined, tutorial process wherein principles are transformed 

into practical skills, with four overlapping foci: administrative, evaluative, clinical, and 

supportive (Powell, 2004, p. 11).

2. Supervision is an intervention that is provided by a senior member of a profession to 

a more junior member or members of that same profession. This relationship is evaluative, extends over time, and has the simultaneous purposes of enhancing the professional functioning of the more junior person(s), monitoring the quality of professional 

services offered to the clients that she, he, or they see, and serving as a gatekeeper of 

those who are to enter the particular profession (Bernard and Goodyear, 2004, p. 8).

After reviewing the available literature, the Task Force synthesized the following consensus definition of clinical supervision:

A social influence process that occurs over time, in which the supervisor participates with 

supervisees to ensure quality clinical care. Effective supervisors observe, mentor, coach, 

evaluate, inspire, and create an atmosphere that promotes self-motivation, learning, and 

professional development. They build teams, create cohesion, resolve conflict, and shape 

agency culture, while attending to ethical and diversity issues in all aspects of the process. 

Such supervision is key to both quality improvement and the successful implementation of 

consensus- and evidence-based practices. 

Marrelli and colleagues (2004, p. 4) define competency as follows: 

[A] measurable human capability that is required for effective performance . . . [composed] of 

knowledge, a single skill or ability, a personal characteristic, or a cluster of two or more of 

these attributes. Competencies are the building blocks of work performance. The performance 

of tasks requires the simultaneous or sequenced demonstration of multiple competencies.

A competency-based model, as presented in this document, provides a framework for understanding, learning, and implementing the multiple functions and tasks of clinical supervision. 

Becoming an effective and fully competent clinical supervisor is a developmental process. As 

knowledge and skills are accumulated over time, the supervisor’s proficiency incrementally 

increases. This document describes competencies required to reach mastery as a clinical supervisor. It establishes a set of expectations for clinical supervision in substance use disorder treatment settings, describes the capabilities of a fully proficient clinical supervisor, and provides a 

standard toward which organizations and supervisors are encouraged to strive. 

The nature of the relationship between supervisor and supervisee is unique. It can be characterized as highly charged and intense. When one person is in a position of power and authority 

over another, tension, discomfort, and conflict can arise. It is crucial that clinical supervisors 

understand the nature of this relationship and exercise supervisory responsibilities in a respectful, fair, and objective manner.
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Competencies for Substance Abuse Treatment Clinical Supervisors

It is important, too, for supervisors to understand the developmental process of supervisees 

(e.g., how they learn, how skills are developed over time) and how to establish a spirit of learning and personal development in an organization. Service improvement occurs most effectively 

when service providers have the freedom to practice new skills in an environment marked more 

by support and mentoring than by critical judgment.

The clinical supervision competencies identified in the pages that follow are presented under 

two major headings: foundation areas and performance domains.

Foundation areas identify the broad knowledge and concepts essential to supervisory proficiency. The competencies representing these foundations of supervision are grouped into five areas: 

FA1: Theories, Roles, and Modalities of Clinical Supervision;

FA2: Leadership;

FA3: Supervisory Alliance;

FA4: Critical Thinking; and

FA5: Organizational Management and Administration.

Performance domains identify the specific responsibilities and abilities essential to protecting 

client welfare, improving clinical services, developing a competent staff, and fulfilling an organization’s mission and goals. The competencies relating to these specifics of supervisory practice 

are grouped into five domains:

PD1: Counselor Development;

PD2: Professional and Ethical Standards;

PD3: Program Development and Quality Assurance;

PD4: Performance Evaluation; and

PD5: Administration.

Clinical supervision is distinguished from administrative supervision in some models of supervisory practice, and many believe that administrative duties take precious time away from the 

provision of direct supervision to clinical staff. However, in substance use disorder treatment 

settings, the two kinds of supervision significantly overlap in real-world practice; Powell (2004, 

p. 11) identified “administrative” as one of four “overlapping foci” of clinical supervision. The 

Task Force members believe strongly that this document would not be complete if it did not 

address elements of organizational and administrative functioning. Unlike the other competencies described in this document, the extent to which clinical supervisors are expected (or have 

the authority) to perform the administrative functions varies greatly from organization to organization. Few supervisors have responsibility for performing all of the administrative activities 

included. However, as supervisors move to other organizations, their administrative activities 

may well change. It is important that clinical supervisors understand the range of administrative 

competencies that may be expected of them.

This competencies document is both research and consensus based. A thorough literature 

search was conducted, and Task Force members developed competencies based on a review of 

literature available. The specific resources the Task Force used to identify particular competencies are listed in a bibliographic section after each foundation area and performance domain. 

In addition, Section V provides an integrated bibliography. Additional reading suggestions and 

resources for further study are in Appendix C.

WHAT THIS DOCUMENT IS NOT

Before discussing ways in which this document can be used, it is important to clarify what this 

document is not intended to be. It is not the following:
5

Section I: Introduction

A description of the competencies, models, or techniques of counseling. This document 

presupposes knowledge and mastery of the counseling competencies described in TAP 

21, Addiction Counseling Competencies: The Knowledge, Skills, and Attitudes of Professional Practice.

A clinical supervision certification test preparation manual. Each certifying body can provide guidance about the best preparation material for its test (see Appendix A for a list of 

national certifying bodies).

An in-depth description of specific supervision models, approaches, or techniques. The 

competencies are relevant across treatment settings and models of supervision. The 

references listed throughout the document and in Appendix C: Suggested Reading and 

Other Resources are excellent sources of information about models and specific supervision techniques.

USING THIS DOCUMENT

Basing clinical supervision practices on the competencies described in this publication may 

require significant changes in current supervisory practices. State agencies may choose to 

alter guidelines for clinical supervision in their administrative rules. Community agencies may 

choose to make changes throughout their organizations in day-to-day clinical supervision practices. Making such changes requires planning and a process designed for gradual incremental 

change. To assist in the implementation process, Section II contains a discussion of how a set of 

guidelines could be useful and presents recommendations for facilitating successful implementation at both the State and the community agency levels. 

The clinical supervision competencies in the foundation areas (Section III) and performance 

domains (Section IV) serve as guides to providing consistent and comprehensive supervisory 

training and development. In general, they promote a common understanding of the clinical supervisor’s roles and responsibilities, foster development of standards for the delivery of clinical 

supervision, encourage the development of clinical supervision credentials, and raise questions 

for future study. Specifically, the competencies provide a resource for professional development 

to the following individuals and organizations:

New and experienced supervisors can assess their proficiency and use their self-assessment 

to establish personal professional development plans. Aspiring supervisors can develop 

accurate expectations about the nature of being a supervisor and seek education and 

training that will prepare them for the role.

Counselors can become familiar with supervision standards, develop accurate expectations about their role in supervision, and identify how supervision can contribute to 

their professional development.

Agency administrators can identify the potential benefits of establishing an effective 

clinical supervision program, improve their understanding of the clinical supervisor’s 

tasks and responsibilities, and provide clear guidelines for the delivery of clinical supervision in their agencies.

Professional and advocacy associations can establish practice standards and plan continuing education efforts for clinical supervisors.

Educators and training professionals can assess and improve existing curricula related 

to supervision, as well as enhance the quality of supervision in academic practica, field 

training, and internship experiences.

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Competencies for Substance Abuse Treatment Clinical Supervisors

Single State Authorities can establish administrative rules related to the availability and 

delivery of clinical supervision and recommend or provide technical assistance to Stateaffiliated or contracted agencies that provide treatment services for substance use disorders.

Certification and licensing bodies can establish or update clinical supervisor credentialing or licensing standards and prepare credentialing examination questions.

Federal agencies can develop contract and grant guidelines to ensure the quality of 

services they support and to promote the highest possible standard of care. 

Allied health professionals can establish or improve supervision guidelines in their 

clinical settings.

Researchers can develop research agendas. 

DIRECTIONS FOR FUTURE RESEARCH

The Task Force recognizes that more work is needed and hopes that clinical supervision in 

general and this supervisor competency framework will be the subject of further study. Future 

research could examine the importance of clinical supervision in implementing empirically supported treatment interventions, the relationship between the quality and quantity of supervision 

to clinical outcomes, and other important issues related to an improved understanding of the 

relationship between supervision and effective clinical service delivery. 

Research specific to the supervisor competencies in this document could focus on—

Validating the relationship between these competencies and improved service quality;

Developing additional tools to assess supervisor proficiency in the competencies;

Determining how best to train supervisors or teach them the competencies; and

Determining the best way to prepare aspiring clinical supervisors for their future 

positions.

The Task Force hopes that this document encourages both continued development of clinical 

supervision as a discipline and continuous improvement of clinical services for people with 

substance use disorders.

BIBLIOGRAPHY

Bernard, J.M., and Goodyear, R.K. Ethical and legal considerations. In: Fundamentals of 

Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 49–72.

Center for Substance Abuse Treatment. Addiction Counseling Competencies: The Knowledge, 

Skills, and Attitudes of Professional Practice. Technical Assistance Publication (TAP) 

Series 21. DHHS Publication No. (SMA) 06-4171. Rockville, MD: Substance Abuse and 

Mental Health Services Administration, 2006.

Marrelli, A.F., Tondora, J., and Hoge, M.A. Strategies for developing competency models. 

Competency Conference Proceedings. The Annapolis Coalition on the Behavioral Health 

Workforce, 2004. www.annapoliscoalition.org/pdfs/

Competency%20Modeling%20Strategies.pdf [accessed December 12, 2006]. 

Powell, D.J. Clinical Supervision in Alcohol and Drug Abuse Counseling: Principles, Models, 

Methods. San Francisco: Jossey-Bass, 2004.

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Section II:

IMPLEMENTATION GUIDELINES

WHY HAVE IMPLEMENTATION GUIDELINES?

Competencies for Substance Abuse Treatment Clinical Supervisors 

(Supervisor Competencies) succinctly describes the knowledge and skills 

essential to the competent practice of clinical supervision in treatment 

settings. Within the performance domains (Section IV), responsibilities 

are clearly laid out for counselor development, maintaining professional 

and ethical standards, program development and quality assurance, 

performance evaluation, and administrative functions. When supervisors 

have an opportunity to observe and evaluate the work of clinicians, they 

become aware of both the strengths and the deficits of the services being 

delivered. They can identify issues that need resolution and services or 

supervisee skills that need to be enhanced. 

Such comprehensive practice, in reality, is relatively rare in clinical settings today. Most treatment agencies have clinical supervisors. However, 

their work typically is limited to administrative and case management duties such as reviewing case records, facilitating case staffing conferences, 

and collaborating on difficult cases. Actual observation of clinical services, 

performance feedback, coaching, teaching, and negotiating professional 

development plans occur relatively infrequently. 

For most agencies, adopting clinical supervision practices consistent 

with the performance domains identified in this document will require 

a significant change in operations. In return for their investment in time 

and resources, agencies will find themselves engaged in an improvementoriented approach to the monitoring and development of clinical services 

that likely will lead to improved staff retention, enhanced counselor skills, 

and better clinical outcomes.

If agencies are to improve their supervisory practices by adding activities identified as clinical supervision competencies, a set of guidelines is 

needed to support the development of an implementation plan and to 

ensure a smooth transition from existing practice to a different way of 

supervising clinical staff. Some necessary tasks include— 

Defining or clarifying the rationale, purpose, and methods for 

delivering clinical supervision;

Ensuring that agency management fully understands and supports 

the changes that need to be made;

Providing training and support in supervisory knowledge and skill 

development; and 

Orienting clinicians to the new supervision rationale and procedures. 

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Competencies for Substance Abuse Treatment Clinical Supervisors

These tasks require an implementation process. Too often, the assumption is made that systemic 

changes can be made by administrative order. However, research indicates that successful change 

requires a comprehensive plan, management support, effective leadership, and a period of effort 

sufficient for the change to become a normative practice (Bradley et al., 2004). Agencies should 

introduce and enact changes in supervisory practice over a defined period that allows for procedures to be developed, supervisors to test the new operations, and clinicians to provide feedback 

and adjust to a more collaborative, observational supervisory process. The broad goal is to create 

a continuous learning culture in the agency that encourages professional development, service 

improvement, and a quality of care that maximizes benefits to the agency’s clients.

WHAT NEEDS TO BE IMPLEMENTED?

Agency management needs to study the five performance domains in the Supervisor Competencies and compare them with existing agency practice to determine the type and extent of 

change needed. At a minimum, management needs to examine its current—

Organizational culture; 

Policies and procedures;

Position descriptions;

Direct service expectations; and

Time allocated to the delivery of clinical supervision.

Time is a significant issue. The type of clinical supervision described in this document takes 

considerably more time than is typically allotted in community agencies. Nonetheless, that time 

should be considered an investment that will return benefits of improved service delivery, fewer 

direct service performance problems, improved risk management, and better treatment outcomes. 

If agency management clarifies expectations for both the delivery and the outcome of clinical 

supervision before its implementation, staff is likely to be more receptive to the time investment 

necessary to implement an effective clinical supervision model. Supervisors need to be trained 

in the roles and processes of clinical supervision that are consistent with management expectations. Such training is best delivered over a period that allows supervisors to apply new knowledge and practices during the learning process. Making available a consultant or coach, who 

can meet regularly with supervisory staff to guide implementation, enhances the likelihood of a 

smooth and effective transition. 

While supervisors are being trained, staff clinicians need to be introduced to the new supervisory paradigm. As clinicians begin to experience being observed, receiving feedback, and negotiating individual development plans, it is important that they discuss their experiences with supervisors and managers. Such discussion likely will yield suggestions for process improvement and 

provide opportunities to clarify misunderstandings and improve communication. 

Most agencies can expect to complete the initial change process within 6 months. However, 

learning and adjustments to the model will continue as agencies assess the performance and 

needs of both supervisors and clinical staff. Agencies may need to be encouraged to “hang in 

there” when faced with implementation difficulties. In addition, when a new practice is introduced and adopted, the ability to monitor, provide feedback, and coach facilitates continuous quality improvement and increases fidelity to a new protocol. Without the opportunity to 

directly monitor clinical processes, it is unlikely that fidelity to any treatment intervention or 

protocol will be maintained. 

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Section II: Implementation Guidelines

The following guidelines are suggested, for both State- and agency-level implementation efforts, 

to facilitate successful adoption of enhanced clinical supervision practices in addiction treatment agencies.

Implementation Guidelines: State Level

1. Appoint a leader for the improvement effort. Without an accountable leader, change 

initiatives often move slowly, are plagued with miscommunication, or founder altogether. 

The leader—

Assesses readiness to adopt a new model of clinical supervision;

Oversees the change process;

Facilitates the achievement of objectives;

Monitors data being gathered to measure success;

Checks in regularly with key players on the change team; and

Troubleshoots when unanticipated problems arise.

 The leader’s success often hinges on whether sufficient time has been allocated to the 

project. When a system change is important, management must ensure that the leader, 

whether an employee or a contractor, has the time and resources to successfully implement the change plan. 

2. Start with agencies that choose to adopt the change. Change is often accompanied 

by resistance. To be successful, statewide initiatives should consider a phase-in process 

that begins with the agencies most interested in adopting the change. Using this strategy can accomplish two objectives that enhance the possibility of success throughout 

the system. First, agencies that are most ready are most likely to be successful. Word of 

their success can be spread throughout the system, thus reducing resistance among a 

significant number of peer agencies. Second, by starting small, State management and 

the participating “early adopters” can work out problems and develop a proven set of 

guidelines for other agencies to use. The selection of agencies for this first phase of the 

process should be done carefully; only those deemed most ready should be selected to 

participate.

3. Establish clear written standards and agreements with participating agencies. 

Expectations, timeframes, deliverable products, and progress benchmarks should be 

clarified in the State’s agreement or contract with a participating agency. Before such 

conditions are established, the State may do several things in preparation. First, it may 

survey agencies to determine the current state of clinical supervision activities. This 

survey can provide a baseline for comparison purposes later and can yield information 

about the types of changes needed to bring agencies in line with the State’s goals. Second, the State may consider establishing a set of minimum standards for the delivery of 

clinical supervision. The minimum amount, type, and frequency of clinical supervision 

activities (depending on caseload and number of clinicians) could be established, preferably in consultation with selected treatment agency representatives. Third, the State may 

establish minimum clinical supervisor qualification standards (e.g., for education, clinical licensure, supervisory certification) to provide guidance to agencies in revising their 

clinical supervision protocols.

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Competencies for Substance Abuse Treatment Clinical Supervisors

4. Establish criteria for annual performance evaluations of clinical staff. Evaluations

should be based on multiple, periodic direct observations of clinical duties and activities. Performance should be assessed in relation to proficiency in the relevant addiction 

counseling competencies. The agency should include other criteria that reflect its strategic plan, position descriptions, and individual professional development plans implemented during the year.

5. Recognize that change is incremental. Although establishing statewide goals and 

objectives is important, so is remembering that each agency is different and that success 

depends on an agency’s ability to adapt its clinical services system to the new requirements. Variations in how the new standards are implemented at the agency level are 

inevitable. It is important to provide clinical supervision in a way that facilitates the 

continuous improvement of clinical services and improves treatment outcomes. Creative 

adaptations are to be expected and even encouraged. Agencies, to be successful, need 

to buy into and own the improvements they make and not simply respond to a mandate 

from a regulatory authority. 

6. Develop a source of technical assistance and statewide monitoring. Not all agencies can successfully enhance their supervisory practices without outside assistance. 

Technical assistance can be provided in a number of ways. For example, the State could 

develop a manual that includes— 

Sample supervisory practices;

Performance assessment tools;

Professional development planning forms;

Checklists for required policies and procedures; and

A list of resources and external sources of technical assistance. 

 Consultants or peer experts could be identified to review a requesting agency’s clinical supervision program and resolve specific issues. Agencies also could be required to 

submit specific prescribed data to allow statewide monitoring of clinical supervision 

activities, changes, and the effect of supervision activities on other measures of agency 

performance. Without some objective measures, it is impossible for the State to monitor 

and assess progress in the delivery of clinical supervision. 

7. Ensure the availability of ongoing training in clinical supervision methods. Too 

often the expectation is that new knowledge and skills can be acquired quickly, with 

brief exposure during a class, workshop, or conference. Complex skills and knowledge, 

however, are best acquired over time, interspersed with periods of experimentation and 

practice. Clinical supervision, as described in this volume, is a discipline marked by a 

large body of foundation knowledge and many performance domains. A working knowledge of the competencies and proficiency in supervisory skills can be acquired only 

through a learning process, not one or even several learning events. Clinical supervisors 

motivated to master their craft need to attend continuing education programs throughout their careers. 

8. Develop a credential that reflects proficiency in the clinical supervision competencies. Most disciplines with an array of unique competencies establish a way of verifying basic qualifications and practice knowledge. Clinical supervision should not be an 

exception. A State’s existing credentials need to be modified to encompass minimal State 

qualifications and an assessment of the supervisor’s understanding and appreciation of 

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Section II: Implementation Guidelines

the competencies described in this volume, or a new credential needs to be established 

that does so. Only then can employers and State monitors accurately assess an applicant’s readiness to fill a supervisory position in a clinical setting. 

Implementation Guidelines: Agency Level

1. Base improvement objectives on needs identified within the agency. The best 

way to identify agency needs is to study existing clinical supervision practices, compare 

them with the competencies in the performance domains, and note important issues to 

management. Sometimes a consultant trained in facilitating service improvement, who 

has expertise in clinical supervision, can help management prioritize improvements and 

recommend implementation processes tailored to agency needs. Often the consultant 

works with the agency over several months to facilitate the process and provides coaching to agency leadership.

2. Select only changes that management will fully support. Some improvements in 

clinical supervision require significant changes in the amount of time supervisors devote 

to supervisory activities and the nature of those activities. It is important to choose only 

objectives that the highest level of management supports. The initiative gains credibility 

with staff when management announces the importance of the change, identifies how the 

agency expects to benefit, and clarifies how progress will be measured. Anything less than 

a serious commitment is likely to limit severely the success of an improvement process. 

 When more than one change is identified as a high priority, it is important to limit 

changes to what can be planned and implemented while attending to other key agency 

functions. Changing too much at once can be as detrimental as a lack of management 

support and can overwhelm everyone involved. Overwhelming frequently results in returning to the familiar rather than forging ahead to explore the unknown. 

3. Create a change plan with objectives that are specific, achievable, and measurable. Management must identify the reasons for change and communicate them clearly 

to agency staff. The objectives or outcomes sought should be clearly defined and measurable. The change process needs to be initiated by developing, with a small number of 

key staff members, a detailed plan to achieve management’s objectives. Such a plan typically includes a progression of activities that gradually enact the new processes or improvements. As the plan unfolds, revisions can be made to accommodate unanticipated 

situations or difficulties encountered by participating supervisors.

4. Identify a leader to facilitate the improvement process. Regardless of whether the 

agency secures outside consultation, it should assign a staff member who has the respect 

of both management and supervisory staff to serve as the internal leader of a change 

initiative team. This team leader— 

Collaborates with the consultant and the supervisory team;

Helps present the change plan to the staff;

Clarifies assignments for implementing the plan;

Debriefs and celebrates progress;

Prevents discouragement when problems are encountered;

Keeps both management and line staff apprised of progress; and 

Facilitates problem resolution when necessary. 

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Competencies for Substance Abuse Treatment Clinical Supervisors

 The change leader ensures that data indicating progress are gathered and checks in with 

those implementing change to ensure fidelity with the plan. In short, the change leader 

is responsible for moving the project forward, keeping it on track, and identifying both 

successes and problems along the way. 

 The supervisory team should also facilitate peer supervision and support as the implementation process progresses. Collaboratively debriefing supervisors about their experiences of directly observing clinicians, providing feedback, and developing learning plans 

generate momentum and solidify the importance of the improvement initiative. Another 

value of peer support is that clinical supervisors often are isolated and need as much 

clinical supervision as the people they supervise. 

5. Make sure that all staff members are prepared to implement the plan. Supervisors 

often need training in the new skills and practices they are expected to implement. They 

typically are promoted based on their performance as clinicians or because they have 

advanced educational degrees and are considered the best-trained staff in the agency. 

In either case, supervisors rarely have much training in how to be effective, so most 

agencies will need to provide supervisory training in both the foundation areas and the 

performance domains that constitute the Supervisor Competencies.

 Just as supervisors need training in the foundation areas and performance domains, 

clinicians must be oriented to new ways of receiving clinical supervision. Some clinicians are anxious or even resistant to the monitoring, feedback, and coaching that form 

the essence of the Supervisor Competencies. They need reassurance that the goal is to 

facilitate service improvements, not to criticize individuals. Clinical supervision identifies and acknowledges clinicians’ strengths and limitations and provides opportunities 

for continued learning and improvement of clinical services. The goal of clinical supervision is not to find fault but to identify ways for clinicians to grow professionally. 

 When everyone understands the intent and the mechanics of the new procedures, then 

the agency is ready to begin implementation. Management should arrange for staff 

members to meet with the change leader and consultant to provide feedback on the 

new procedures. Modifications can be made to the initial plan as needed.

6. When success is achieved, implement a sustainability plan. Once supervisors have 

integrated the improvement processes and tools into their practice, are experiencing 

success in their alliance with supervisees, and see improvements in clinical skills and 

service delivery, it is time to establish an ongoing process to ensure the continued development of supervisory practices. The plan can include periodic (e.g., quarterly) review 

of quality assurance indicators, the strengths and limitations of current supervisory practices, and adjustments to the agency’s expectations of supervisors and clinical staff. 

Readers are encouraged to develop a thorough working knowledge of the competencies described in this volume. The Task Force predicts that quality supervision will become a major 

factor in determining the degree to which evidence-based practices are adopted in community 

settings; identifying the professional development needs of agencies, clinical supervisors, and 

clinicians; and improving retention rates for both clients and clinical staff. 

BIBLIOGRAPHY

Bradley, E.H., Webster, T.R., Baker, D., Schlesinger, M., Inouye, S.K., Barth, M.C., Lapane, 

K.L., Lipson, D., Stone, R., and Koren, M.J. Translating research into practice: Speeding 

the adoption of innovative health care programs. Issue Brief (Commonwealth Fund),

July(724):1–12, 2004.
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Section III:

FOUNDATION AREAS

Effective clinical supervisors are skilled, experienced clinicians. They are 

knowledgeable about substance use disorders and generally accepted, 

research-based assessment, intervention, treatment, and recovery strategies. It is important that supervisees believe that their supervisors have 

substantial knowledge and skill to pass along. However, knowledge and 

skill as a counselor are not enough to ensure success as a clinical supervisor. 

The specific tasks, responsibilities, and roles of supervisors vary depending on agency mission, target population, theoretical model, treatment 

modality, and general structure. However, some basic competencies are 

common to a variety of settings and professional disciplines. These basic 

concepts are reflected in the foundation area competencies in this document. They are common across the variety of disciplines and interest 

groups that provide care for clients with substance use disorders. The 

competencies identified as foundation areas complement those found in 

the transdisciplinary foundations section of TAP 21. Clinical supervisors 

in substance use disorder treatment settings are expected to be familiar 

with the knowledge described in the transdisciplinary foundations. 

The framework used here identifies five foundation areas in clinical 

supervision:

FA1: Theories, Roles, and Modalities of Clinical Supervision;

FA2: Leadership;

FA3: Supervisory Alliance;

FA4: Critical Thinking; and

FA5: Organizational Management and Administration.

Each contains several competencies that, taken together, define the work 

of the clinical supervisor.
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Section III: Foundation Areas

FA1: THEORIES, ROLES, AND MODALITIES OF CLINICAL SUPERVISION

Introduction

Although some similarities exist between counseling and supervising, there are many important 

differences. Clinical supervision has its own knowledge base, and supervisors must understand 

different theoretical perspectives. They also must understand the roles clinical supervisors are expected to fill and the various modalities, or ways of implementing supervision, that are available.

The Competencies

Understand the role of clinical supervision as the principal method for monitoring and 

ensuring the quality of clinical services. 

Appreciate the systemic role of the clinical supervisor as a primary link between management and direct services.

Understand the multiple roles of the clinical supervisor, including consultant, mentor, 

teacher, team member, evaluator, and administrator.

Be able to define the purpose of clinical supervision specific to the organization’s clinical and administrative contexts, including supervisory goals and methods.

Be familiar with a variety of theoretical models of clinical supervision, including (but not 

limited to) psychotherapy-based, developmental, multicultural, integrative, and blended 

models.

Be able to articulate one’s model of supervision. 

Be familiar with modalities of clinical supervision, including individual, group, direct 

observation, and consultation.

Be familiar with the current research literature related to recommended practices in 

both substance use disorder treatment and clinical supervision.

Be familiar with the literature regarding multiple learning strategies (e.g., instructions, 

demonstrations, role plays, critiques).

Recognize the importance of establishing with the supervisee a productive, healthy 

learning alliance focused on improving client services and job performance.

Understand and reinforce the complementary roles of members on a multidisciplinary team.

Understand the importance of assessing needs and carefully planning and systematically 

implementing individual and group supervisory activities that promote clinical and program service improvement.

Bibliography

Bernard, J.M., and Goodyear, R.K. Introduction to clinical supervision. In: Fundamentals of 

Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 1–18.

Falender, C.A., and Shafranske, E.P. The practice of supervision. In: Clinical Supervision: A

Competency-Based Approach. Washington, DC: American Psychological Association, 2004. 

pp. 3–36.

Haynes, R., Corey, G., and Moulton, P. Clinical Supervision in the Helping Professions: A 

Practical Guide. Belmont, CA: Wadsworth Publishing Company, 2002.

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Competencies for Substance Abuse Treatment Clinical Supervisors

Orlans, V., and Edwards, D. Focus and process in supervision. British Journal of Guidance and 

Counselling, 25(3):409–415, 1997.

Pearson, Q.M. Opportunities and challenges in the supervisory relationship: Implications for 

counselor supervision. Journal of Mental Health Counseling, 22(4):283–294, 2000.

Powell, D.J. Clinical Supervision in Alcohol and Drug Abuse Counseling: Principles, Models, 

Methods. San Francisco: Jossey-Bass, 2004.

Stoltenberg, C.D., McNeill, B., and Delworth, U. IDM Supervision: An Integrated Developmental 

Model for Supervising Counselors and Therapists. San Francisco: Jossey-Bass, 1998.
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Section III: Foundation Areas

FA2: LEADERSHIP

Introduction

Leadership is an important element of clinical supervision. Leadership may be defined as a 

bidirectional social influence process in which supervisors seek voluntary participation of 

supervisees to achieve organizational goals, while providing leadership in the management 

structure of the agency. Leaders mentor, coach, inspire, and motivate. They build teams, provide 

structure, create cohesion, and resolve conflict. In addition, leaders build organizational culture, 

facilitate individual and organizational growth and change, and foster a culturally sensitive 

service delivery system by consistently advocating, at all levels of the organization, the need 

for high-quality clinical care for all patients or clients of the agency.

The Competencies

Use a leadership style that creates and maintains an environment based on mutual 

respect, trust, and teamwork. 

Be a role model by taking full responsibility for one’s decisions, supervisory practices, 

and personal wellness.

Seek job performance feedback from supervisees, peers, and managers to improve 

supervisory practices.

Create, regularly assess, and revise a personal leadership plan to provide direction for 

one’s continuing professional development.

Seek out and use leadership mentors to assist with one’s personal development, 

knowledge acquisition, and skill development.

Understand the historical context of treatment for substance use disorders and use that 

understanding to participate in developing the agency’s guiding vision and its related 

mission, principles, and sense of purpose. 

Clarify agency vision, mission, and service goals and objectives for the supervisee.

Interpret agency mission, policies, procedures, and critical events. Effectively communicate those interpretations to supervisees and foster an organizational climate that promotes continuous improvement and excellence in client care.

Understand, monitor, and ensure compliance with State and Federal regulations and 

accrediting body (e.g., Commission on Accreditation of Rehabilitation Facilities, Joint 

Commission on Accreditation of Healthcare Organizations, Council on Accreditation) 

standards for the delivery of substance use disorder treatment. 

Recognize the safety and security issues facing the organization and participate in enforcing and enhancing organizational policies that ensure the safety and security of clients, 

personnel, and facilities. 

Understand and acknowledge the power differential inherent in the supervisor–

supervisee relationship, using power fairly and purposefully avoiding the abuse of 

power.

Proactively structure and schedule clinical supervision activities.

Teach, mentor, and coach in the context of the organization’s core values.

Provide honest feedback—positive, constructive, and corrective. 

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Competencies for Substance Abuse Treatment Clinical Supervisors

Guide through motivational empowerment rather than control. Facilitate work through 

team building, training, coaching, and support.

Plan and organize for orderly workflow, controlling details without being overbearing.

Empower and delegate key duties to others while maintaining goal clarity and commitment. Delegate mindfully, considering both the supervisee’s professional development 

and the agency’s needs.

Encourage supervisee participation in communicating observations, ideas, and suggestions to agency management.

Bibliography

Kinicki, A., and Kreitner, R. Organizational Behavior: Key Concepts, Skills and Best Practices

(2d ed.). New York: McGraw-Hill, 2006. 

Maxwell, J.C. Failing Forward: How to Make the Most of Your Mistakes. Nashville, TN: Nelson 

Business, 2000.

Maxwell, J.C. The 360 Degree Leader: Developing Your Influence From Anywhere in the Organization. Nashville, TN: Nelson Business, 2006.

Powell, D.J. Leadership principles for supervisors. In: Clinical Supervision in Alcohol and Drug 

Abuse Counseling: Principles, Models, Methods. San Francisco: Jossey-Bass, 2004. pp. 20–39.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards. 

Olympia, WA: Washington State Department of Social and Health Services, 2002.

White, W., and Albright, L. Calling a new generation of leaders. Addiction Professional, 4(1):12–

21, 2006.

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Section III: Foundation Areas

FA3: SUPERVISORY ALLIANCE

Introduction

Clinical supervision takes place in the context of the supervisor–supervisee relationship. A positive supervisory alliance includes mutual understanding of the goals and tasks of supervision 

and a strong professional bond between supervisor and supervisee. To be effective, a supervisor 

must have a clear understanding of the nature and dynamics of this relationship.

The Competencies

Be familiar with the literature about supervisory alliance, including key factors that 

strengthen or compromise the supervisory alliance, supervisory contracting, and 

relational issues (e.g., transference and countertransference).

Understand the complex, multilevel, and bidirectional nature of the supervisory triad of 

client, counselor, and supervisor. Maintain an awareness of potential dual relationships 

and boundary violations within the triad.

Recognize that the supervisor–supervisee relationship develops over time and that the 

stage of relationship development influences the rules, roles, and expectations of the 

alliance.

Conceptualize the supervisor–supervisee relationship as a learning alliance that provides 

for role induction, includes agreement on goals and tasks, and recognizes the bond that 

develops between the supervisor and the supervisee. 

Understand the value of mentoring as a dynamic way of forming an alliance, teaching 

counseling skills through encouragement, and giving suggestions for accomplishing goals.

Create an explicit supervisory contract that clarifies expectations and goals, the relationship’s structure and evaluative criteria, and the limits of supervisor–supervisee 

confidentiality. 

Present as a credible professional who possesses knowledge and expertise relevant to 

the setting and the population being served. 

Model ethical behavior vis-à-vis the supervisee and reinforce ethical standards in the 

relationship between the supervisee and the supervisee’s clients.

Be continually alert to the effects of one’s interpersonal style on the supervisee. 

Maintain appropriate boundaries in forming and maintaining a safe and trusting professional relationship. 

Attend to cultural, racial, gender, age, and other diversity variables essential to a productive supervisor–supervisee relationship. 

Understand, recognize, and know how to ameliorate the effects of personal countertransference triggered by the supervisee’s interpersonal style, the supervisee’s 

developmental issues, or the supervisee’s unresolved personal issues. 

Recognize interpersonal conflict and supervisory impasses, accept appropriate responsibility, and actively participate in resolving difficulties.

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Competencies for Substance Abuse Treatment Clinical Supervisors

Bibliography

Abroms, G.M. Supervision as metatherapy. In: Kaslow, F.W., ed. Supervision, Consultation, and 

Staff Training in the Helping Professions. San Francisco: Jossey-Bass, 1977. pp. 81–99.

Bernard, J.M., and Goodyear, R.K. The supervisory relationship: The influence of individual 

and developmental differences. In: Fundamentals of Clinical Supervision (3d ed.). Boston: 

Allyn & Bacon, 2004. pp. 136–157.

Bernard, J.M., and Goodyear, R.K. The supervisory relationship: Processes and issues of the 

supervisory triad and dyad. In: Fundamentals of Clinical Supervision (3d ed.). Boston: 

Allyn & Bacon, 2004. pp. 101–135.

Bordin, E.S. A working alliance based model of supervision. The Counseling Psychologist,

11:35–41, 1983.

Fleming, J., and Benedek, T. Psychoanalytic Supervision: A Method of Clinical Teaching. New

York: Grune & Stratton, 1966.

Haynes, R., Corey, G., and Moulton, P. Ethical issues and multiple relationships. In: Clinical

Supervision in the Helping Professions: A Practical Guide. Belmont, CA: Wadsworth Publishing Company, 2002. pp. 151–181.

Holloway, E.L. Structures for the analysis and teaching of supervision. In: Watkins, C.E., Jr., ed. 

Handbook of Psychotherapy Supervision. New York: John Wiley & Sons, 1997. pp. 249–276.

Ladany, N., Ellis, M.V., and Friedlander, M.L. The supervisory working alliance, trainee selfefficacy, and satisfaction. Journal of Counseling & Development, 77(4):447–455, 1999.

Muse-Burke, J.L., Ladany, N., and Deck, M.D. The supervisory relationship. In: Bradley, L.J., 

and Ladany, N., eds. Counselor Supervision: Principles, Process, and Practice. New York: 

Brunner-Routledge, 2001. pp. 28–57.
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Section III: Foundation Areas

FA4: CRITICAL THINKING

Introduction

Critical thinking refers to the cognitive processes of conceptualizing, analyzing, applying information, synthesizing, and evaluating. Supervisors are expected to use critical thinking to make 

sound decisions and solve problems on a regular basis; they also must help supervisees hone 

critical thinking skills. 

The Competencies

Understand the various contexts (e.g., organizational, political, societal, cultural) in 

which supervision is conducted.

Analyze and evaluate agency issues and policies to better understand, clarify, and 

participate in the continuous improvement of agency and staff performance and service 

outcomes.

Evaluate and select written and oral communication strategies appropriate to the 

audience and purpose.

Select, adapt, implement, and evaluate appropriate problemsolving, decisionmaking, 

and conflict resolution techniques.

Apply experience, insight, and lessons learned to new situations. 

Apply critical thinking to information gathering by evaluating the content of the information and the credibility of its source.

Ask supervisees relevant and clarifying questions and listen critically for content and 

underlying issues in their self-disclosure.

Help supervisees develop skills in case conceptualization and analysis of client–

counselor interactions.

Negotiate, communicate, and document the resolution of conflicts or disagreements and 

strategies for resolving performance problems. Document outcomes.

Develop sound criteria for self-evaluation and clarify personal beliefs, values, and biases. 

Help supervisees develop sound criteria for self-evaluation and clarify their beliefs, 

values, and biases. 

Bibliography

Bradley, L.J., and Gould, L.J. Psychotherapy-based models of counselor supervision. In: Bradley, 

L.J., and Ladany, N., eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). 

New York: Brunner-Routledge, 2001. pp. 147–182.

Culbreth, J.R. The Wisconsin clinical supervision training model. Clinical Supervisor, 20(1):

61–71, 2001.

Estrada, D., Wiggins Frame, M., and Braun Williams, C. Cross-cultural supervision: Guiding the 

conversation toward race and ethnicity. Journal of Multicultural Counseling & Development, 32:307–319, 2004.

Fisher, R., and Ury, W.L. Getting to Yes: Negotiating Agreement Without Giving In (2d ed.). New 

York: Penguin Books, 1991.

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Foundation for Critical Thinking. Strategy List: 35 Dimensions of Critical Thought. Dillon, CA: 

Foundation for Critical Thinking, 2004. www.criticalthinking.org/resources/TRK12-

strategy-list.shtml#s22 [accessed December 12, 2006].

Mackey, S., and Tonkin, L. Living Well, Working Smart: Soft Skills for Success. Bothell, WA: Book 

Publishers Network, 2005.

Robinson, C.R. The role of critical thinking skills in counselor supervision. Inquiry: Critical 

Thinking Across the Disciplines, 20(3):19–25, 2001.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards.

Olympia, WA: Washington State Department of Social and Health Services, 2002.
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Section III: Foundation Areas

FA5: ORGANIZATIONAL MANAGEMENT AND ADMINISTRATION

Introduction

Management can be defined as the process of working with and through others to achieve organizational objectives in an efficient, legal, and ethical manner. Administration, in the context of 

this document, is the day-to-day implementation of the organization’s policies and procedures. 

Although clinical supervision is distinguished from administrative supervision in some models 

of supervisory practice, the two significantly overlap in the real world. Virtually all clinical supervisors have responsibility for some management and administrative activities, but the scope of 

these activities can vary widely depending on the organization. 

The Competencies

Recognize that organizational and managerial skills and tasks enhance clinical supervision.

Understand and consistently apply agency policies, procedures, organizational structure, 

and communication protocols. 

Understand the legal demands and liabilities inherent in supervisory and clinical services, including the vicarious liabilities incurred in supervising interns and students. 

Be familiar with and abide by current principles, laws, ethical guidelines, and agency 

policies regarding personnel management. 

Learn to implement effective disciplinary and administrative management techniques 

that enhance clinical supervision and accomplishment of the organization’s mission.

Understand and ensure supervisee compliance with State program licensing requirements and with other State and Federal laws and statutes.

Understand and ensure supervisee compliance with the substance use disorder treatment standards of the organization’s healthcare accrediting body (e.g., Commission on 

Accreditation of Rehabilitation Facilities, Joint Commission on Accreditation of Healthcare Organizations).

Monitor and maintain the human and technical resources needed to meet organizational 

and program objectives. 

Evaluate and contribute to improving the organization’s cultural proficiency.

Possess and continually improve organizational and time management skills.

Understand and work within the organization’s budgetary constraints.

Effectively apply technology, within agency and regulatory limits, for communication, 

program monitoring, report writing, problemsolving, recordkeeping, case management, 

and other activities. 

Ensure the maintenance, storage, and security of employee records and protected health 

information consistent with the organization’s policies and procedures, government 

regulations, and ethical principles. 

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Competencies for Substance Abuse Treatment Clinical Supervisors

Bibliography

Abernethy, A.D. Increasing the cultural proficiency of clinical managers. Journal of Multicultural Counseling & Development, 33(2):81–93, 2005.

Bernard, J.M., and Goodyear, R.K. Organizing the supervision experience. In: Fundamentals of 

Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 180–208.

Falvey, J.E., and Bray, T.E. Managing Clinical Supervision: Ethical Practice and Legal Risk Management. Pacific Grove, CA: Brooks/Cole-Thomson Learning, 2002.

Falvey, J.E., and Cohen, C.R. The buck stops here: Documenting clinical supervision. Clinical 

Supervisor, 22(2):63–80, 2003.

Garcia, B. Professional development of AODA practice with Latinos: The utility of supervision, inservice training and consultation. Alcoholism Treatment Quarterly, 16(1–2):85–108, 1998.

Kanz, J.E. Clinical supervision.com: Issues in the provision of online supervision. Professional 

Psychology: Research & Practice, 32(4):415–420, 2001.

Olson, M.M., Russell, C., and White, M.B. Technological implications for clinical supervision and 

practice. Clinical Supervisor, 20(2):201–215, 2001. 

Spencer, P.C., and Munch, S. Client violence toward social workers: The role of management in 

community mental health programs. Social Work, 48(4):532–544, 2003.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards. 

Olympia, WA: Washington State Department of Social and Health Services, 2002. 
25

Section IV:

PERFORMANCE DOMAINS

Performance domains identify specific areas of clinical supervision practice that are essential to protecting client welfare, achieving agency goals, 

and improving clinical services. To ensure high-quality service delivery, 

supervisors work to develop and maintain competence among direct 

service staff while adhering to high professional and ethical standards. Supervisors provide supervisees with appropriate feedback while facilitating 

knowledge and skill development. To accomplish these tasks, supervisors 

must gather objective information on which to base an evaluation of their 

supervisees’ performance. Supervisors also perform administrative tasks 

that preserve and build the organizational culture. 

The framework used here identifies five performance domains:

PD1: Counselor Development;

PD2: Professional and Ethical Standards;

PD3: Program Development and Quality Assurance;

PD4: Performance Evaluation; and

PD5: Administration.

The competencies listed within each performance domain identify the 

specific abilities and responsibilities that clinical supervisors must master to be effective in the essential roles they play in the service delivery 

system.

Counselor development and performance evaluation are discussed here 

as two separate performance domains because each requires a distinct 

set of competencies. It is important to note, however, that each is integral 

to the other. Performance evaluation without a counselor development 

process would not necessarily lead to improved counselor proficiency. 

Similarly, counselor development activities in the absence of performance 

evaluation would likely be untargeted, general, and of less value to the 

counselor.
27

Section IV: Performance Domains

PD1: COUNSELOR DEVELOPMENT

Introduction

The continuous development of staff clinical skills is key to the delivery of high-quality client 

care. Counselor development is a complex process that involves teaching, facilitating, collaborating, and supporting counselor self-efficacy. Supervisors must facilitate this process in the context of a collaborative supervisor–supervisee relationship and within professional, ethical, and 

legal guidelines. Supervisors also must consistently maintain a multicultural perspective.

The Competencies

Teach supervisees the purpose of clinical supervision and how to use it effectively. 

Ensure that comprehensive orientation is provided to new employees, including in areas 

such as the organization’s client population, mission, vision, policies, and procedures.

Build a supportive and individualized supervisory alliance that respects professional 

boundaries.

Maintain a constructive supervisory learning environment that fosters awareness of oneself and others, motivation, self-efficacy, enthusiasm, and two-way feedback. 

Conceptualize and plan individual and group supervision activities, incorporating supervisees’ preferred learning styles, cultures, genders, ages, and other appropriate variables.

Encourage supervisees to examine their views regarding culture, race, values, religion, 

gender, sexual orientation, and potential biases. 

Help supervisees develop skills of empathy and acceptance specific to working with culturally diverse clients.

Provide timely and specific feedback to supervisees on their conceptualizations of client needs, attitudes toward clients, clinical skills, and overall performance of assigned 

responsibilities.

Create a professional development plan with supervisees that includes mutually approved goals and objectives for improving job performance, how goals and objectives 

will be met (including the respective responsibilities of the supervisor and the supervisee), a timeline for expected accomplishments, and measurements of progress and 

goal attainment.

Implement a variety of direct supervisory activities (e.g., role play, live supervision/observation, review of audiotaped and videotaped sessions, presentation/discussion of case 

studies) to teach and strengthen supervisees’ theoretical orientation, professional ethics, 

clinical skills, and personal wellness. 

Help supervisees recognize, understand, and cope with unique problems of transference 

and countertransference when working with clients with substance use disorders. 

Acknowledge supervisees’ development and celebrate accomplishments through frequent 

rewards and recognition.

Encourage and help supervisees develop a personal wellness plan to manage their stress 

and avoid compassion fatigue and burnout.

X

X

X

X

X

X

X

X

X

X

X

X

X
28

Competencies for Substance Abuse Treatment Clinical Supervisors

Bibliography

Aten, J.D., and Hernandez, B.C. Addressing religion in clinical supervision: A model. Psychotherapy: Theory, Research, Practice, Training, 41(2):152–160, 2004.

Barnes, K.L. Applying self-efficacy theory to counselor training and supervision: A comparison of 

two approaches. Counselor Education & Supervision, 44(1):56–69, 2004.

Bernard, J.M., and Goodyear, R.K. Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn 

& Bacon, 2004. 

Cashwell, T.H., and Dooley, K. The impact of supervision on counselor self-efficacy. The Clinical 

Supervisor, 20(1):39–48, 2001.

Haynes, R., Corey, G., and Moulton, P. Clinical Supervision in the Helping Professions: A Practical Guide. Belmont, CA: Wadsworth Publishing Company, 2002.

Ladany, N., Friedlander, M.L., and Nelson, M.L. Remediating skill difficulties and deficits: It’s 

more than just teaching. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

Approach. Washington, DC: American Psychological Association, 2005. pp. 23–52.

Ladany, N., Friedlander, M.L., and Nelson, M.L. Toward an events-based understanding of the 

supervisory process. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

Approach. Washington, DC: American Psychological Association, 2005. pp. 3–22.

Ladany, N., Friedlander, M.L., and Nelson, M.L. Working through countertransference: When 

super-vision is needed. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

Approach. Washington, DC: American Psychological Association, 2005. pp. 99–126.

McMahon, M., and Simons, R. Supervision training for professional counselors: An exploratory 

study. Counselor Education & Supervision, 43(4):301–309, 2004.

Pearson, Q.M. Getting the most out of clinical supervision: Strategies for mental health. Journal 

of Mental Health Counseling, 26(4):361–373, 2004.

Powell, D.J. Clinical Supervision in Alcohol and Drug Abuse Counseling: Principles, Models, 

Methods. San Francisco: Jossey-Bass, 2004.

Stoltenberg, C.D., McNeill, B., and Delworth, U. IDM Supervision: An Integrated Developmental 

Model for Supervising Counselors and Therapists. San Francisco: Jossey-Bass, 1998.

Utsey, S.O., Gernat, C.A., and Hammar, L. Examining white counselor trainees’ reactions to 

racial issues in counseling and supervision dyads. Counseling Psychologist, 33(4):449–478,

2005.
29

Section IV: Performance Domains

PD2: PROFESSIONAL AND ETHICAL STANDARDS

Introduction

Supervisors work in a complex environment subject to professional, statutory, and regulatory 

guidelines. This domain identifies competencies related to protecting the public, clients, and 

staff members. It also describes the development of supervisors’ professional identity and integrity in the context of professional supervisory practice.

The Competencies

Be familiar with relevant professional codes of ethics (see Appendix B), client’s rights 

documents, and laws and regulations that govern both counseling and clinical supervision practices.

Ensure that supervisees are familiar with generally accepted professional codes of ethics, 

State and Federal statutes regarding duty to report (e.g., child abuse) and duty to warn 

(e.g., threat of physical violence against a reasonably identifiable victim or victims), Federal confidentiality (e.g., 42 Code of Federal Regulations, Part 2) and privacy (e.g., Health 

Insurance Portability and Accountability Act) rules and regulations, and other legal constraints on the counseling relationship.

Follow due process guidelines when responding to grievances and ensure that supervisees know their rights as employees and understand the organization’s employee 

grievance procedures. 

Ensure that supervisees are familiar with client’s rights and understand client grievance 

procedures.

Ensure that supervisees inform clients about the limits of confidentiality (e.g., child 

abuse reporting, specific threats of violence).

Ensure that supervisees inform clients about supervision practices (e.g., direct observation, session transcripts) and obtain documented informed consent from clients as appropriate (e.g., signed releases for audio or video recording of sessions).

Learn about supervisees’ cultures, lifestyles, beliefs, and other key factors that may influence their job performance.

Use and teach supervisees an ethical decisionmaking model, such as that described by 

Corey and colleagues (2002), as a guide for supervisory and clinical practice. 

Understand the risks of dual relationships and potential conflicts of interest in the 

supervisor–supervisee relationship and maintain appropriate relationships at all times. 

Help supervisees develop awareness of possible dual relationships in the client–

counselor relationship.

Monitor supervisees’ clinical practice to enhance their competence and ensure their ethical treatment of clients. 

Provide timely consultation and guidance to supervisees in situations that present moral, 

legal, and/or ethical dilemmas. 

Ensure that supervisees maintain complete, accurate, and necessary documentation at all 

times, including detailed descriptions of actions taken in critical situations. 

X

X

X

X

X

X

X

X

X

X

X

X

X
30

Competencies for Substance Abuse Treatment Clinical Supervisors

Intervene immediately and take action as necessary when a supervisee’s job performance appears to present problems.

Report supervisees’ ethical violations to the appropriate professional organizations and 

State bodies as required.

Maintain familiarity with consensus- and evidence-based best practices in the treatment 

of substance use disorders.

Build supervisory competence by actively participating in professional organizations and 

in a variety of relevant professional and educational activities.

Seek supervision and consultation to evaluate one’s personal needs for training and 

education, receive and discuss feedback on supervisory job performance, and implement a professional development plan.

Practice only within one’s areas of clinical and supervisory competence. 

Develop and maintain a personal wellness plan for physical and mental health and encourage supervisees to develop and maintain personal wellness plans.

Bibliography

Association for Counselor Education and Supervision, Supervision Interest Network. ACES ethical guidelines for counseling supervisors. ACES Spectrum, 53(4):5–8, 1993.

Bernard, J.M., and Goodyear, R.K. Ethical and legal considerations. In: Fundamentals of 

Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 49–72.

Borders, L.D., and Brown, L.L. Ethical issues in supervision. In: The New Handbook of Counseling Supervision. Mahwah, NJ: Lawrence Erlbaum, 2005. pp. 81–87.

Columbia Assessment Services, Inc. Clinical Supervision of Alcohol and Other Drug Abuse 

Counselors Role Delineation Study. Washington, DC: International Certification & Reciprocity Consortium/Alcohol and Other Drug Abuse, Inc., 2000.

Corey, G., Corey, M.S., and Callanan, P. Issues and Ethics in the Helping Professions (6th ed.). 

Belmont, CA: Wadsworth Publishing Company, 2002.

Falvey, J.E., and Bray, T.E. Managing Clinical Supervision: Ethical Practice and Legal Risk Management. Pacific Grove, CA: Brooks/Cole-Thomson Learning, 2002.

International Consortium of Addiction and Prevention Credentialing Boards. Certified Clinical 

Supervisor Code of Ethics, n.d. www.mcbap.com/ccs_ethics1.htm [accessed December 

12, 2006].

Ladany, N., Friedlander, M.L., and Nelson, M.L. Managing sexual attraction: Talking about sex in 

supervision. In: Critical Events in Psychotherapy Supervision: An Interpersonal Approach.

Washington, DC: American Psychological Association, 2005. pp. 127–154.

Legal Action Center. Confidentiality and Communication: A Guide to the Federal Alcohol & 

Drug Confidentiality Law and HIPAA (revised ed.). New York: Legal Action Center, 2003.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards. 

Olympia, WA: Washington State Department of Social and Health Services, 2002.

White, W.L., and Popovits, R.M. Critical Incidents: Ethical Issues in the Prevention and Treatment of Addiction (2d ed.). Bloomington, IL: Chestnut Health Systems, 2001.

X

X

X

X

X

X

X
31

Section IV: Performance Domains

PD3: PROGRAM DEVELOPMENT AND QUALITY ASSURANCE

Introduction

Program development is the process of guiding the natural evolution of a service delivery organization to maximize the potential of its staff and resources to meet the needs of the population 

it serves. Quality assurance (QA) is the process of designing, implementing, monitoring, and improving a program’s activities to ensure maximum effectiveness and efficiency of services within 

the limitations of the agency and its operating environment.

The extent to which clinical supervisors are responsible for program development and QA 

activities varies, depending on the size, structure, and mission of the organization. However, all 

clinical supervisors have some responsibility for these activities. 

The Competencies

Structure and facilitate staff learning about specific consensus- and evidence-based 

treatment interventions, program service design, and recovery models relevant to the 

organization and the population it serves.

Understand the limitations of addiction treatment in general; its relationship to sustained, long-term recovery; and the specific limitations of the models or design in use by 

supervisees.

Understand and be able to apply principles of technology transfer to assist in the adoption and implementation of new clinical practices.

Identify, develop, and obtain appropriate learning and treatment resource materials that 

meet the needs of the agency, its clients, and supervisees.

Plan and facilitate inservice training and other organizational activities that support 

application of empirically based clinical interventions that are responsive to needs of the 

agency, clients, and supervisees.

Understand the balance between fidelity and adaptability when implementing new clinical practices.

Be familiar with the methods used to analyze the organization’s developmental needs 

and clinical outcomes, including regular needs assessments. 

Advocate within the agency for ongoing quality improvement, including strategies for 

enhancing client access, engagement, and retention in treatment.

Understand the organization’s QA plan and comply with all monitoring, documenting, 

and reporting requirements.

Develop program goals and objectives and counselor development plans that are 

consistent with the organization’s QA plan.

Solicit, document, and use client feedback to improve service delivery. 

Provide diversity training and other experiences that empower one to become an advocate for the organization’s target population and an agent of organizational change. 

Build and maintain relationships with referral sources and other community programs 

to expand, enhance, and expedite service delivery. 

Develop skills to advocate for clients throughout the entire continuum of care.

X

X

X

X

X

X

X

X

X

X

X

X

X

X
32

Competencies for Substance Abuse Treatment Clinical Supervisors

Bibliography

Abernethy, A.D. Increasing the cultural proficiency of clinical managers. Journal of Multicultural Counseling & Development, 33(2):81–93, 2005.

Addiction Counselor Certification Board of Oregon. Addictions Treatment Clinical Supervision 

Competencies. n.d. www.accbo.com/super.htm [accessed December 12, 2006]. 

Hodgson, J.L., Johnson, L.N., Ketring, S.A., Wampler, R.S., and Lamson, A.L. Integrating research 

and clinical training in marriage and family therapy training programs. Journal of Marital & 

Family Therapy, 31(1):75–88, 2005.

Hubble, M.A., Duncan, B.L., and Miller, S.D., eds. The Heart and Soul of Change: What Works in 

Therapy. Washington, DC: American Psychological Association, 2000.

Lindbloom, G., Ten Eyck, T.G., and Gallon, S.L. Clinical Supervision: Building Chemical Dependency Counselor Skills (3d ed.). Salem, OR: Northwest Addiction Technology Transfer 

Center, 2005.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards.

Olympia, WA: Washington State Department of Social and Health Services, 2002.
33

Section IV: Performance Domains

PD4: PERFORMANCE EVALUATION

Introduction

Counselor evaluation is central to the assurance of high-quality client care. It is a professional 

and ethical responsibility of clinical supervisors to regularly monitor the quality of supervisees’ 

performance, to facilitate improvement in supervisees’ clinical competence, and to assess supervisees’ readiness to practice with increasing autonomy. As such, this domain is closely related to 

Counselor Development (PD1). The competencies in each are distinct yet highly complementary 

and interactive. 

The Competencies

Communicate agency expectations about the job duties and competencies, performance 

indicators, and criteria used to evaluate job performance. 

Understand the concept of supervision as a two-way evaluative process with each party 

providing feedback to the other, including constructive sharing and resolution of disagreements. Actively encourage supervisees to provide feedback to the supervisor regarding the supervisor’s performance.

Assess supervisees’ professional development, cultural competence, and proficiency in 

the addiction counseling competencies.

Differentiate between counselor developmental issues and those requiring corrective 

action (e.g., ethical violations, incompetence).

Assess supervisees’ preferred learning style, motivation, and suitability for the work 

setting.

Use multiple sources of quantitative and qualitative data, direct and indirect observations, and formal and informal methods of assessment to ensure substantiated and 

accurate evaluation.

Institute an ongoing formalized, proactive process that identifies supervisees’ training 

needs, actively involves supervisees in conjointly reviewing goals and objectives, and 

reinforces performance improvement with positive feedback.

Communicate feedback clearly, including feedback regarding performance deficits, weak 

competencies, or harmful activities. Provide timely written notification of all performance problems and ensure that supervisees understand the feedback. 

Evaluate the competency, including the fidelity, with which supervisees implement 

research-based treatment protocols.

Address and manage relational issues common to evaluation, including anxiety, disagreements, and full discussion of performance problems. 

Guide and evaluate supervisees’ ability to use a range of evaluative tools (e.g., process 

recordings, memory work, audiotapes and videotapes, direct observation) and encourage them to use the most effective techniques available in the setting.

Skillfully use agency evaluation tools and procedures.

Self-assess for evaluator bias (e.g., leniency, overemphasis on one area of performance, 

favoritism, stereotyping) and conflict with other supervisory roles.

X

X

X

X

X

X

X

X

X

X

X

X

X
34

Competencies for Substance Abuse Treatment Clinical Supervisors

Adhere to professional standards of ongoing supervisory documentation, including written individual development plans, supervision session notes, written documentation of 

corrective actions, and written recognition of good performance. 

Bibliography

Addiction Counselor Certification Board of Oregon. Addictions Treatment Clinical Supervision 

Competencies, n.d. www.accbo.com/super.htm [accessed December 12, 2006].

American Board of Examiners in Clinical Social Work, Work Group on Clinical Social Work 

Supervision. Clinical Supervision: A Practice Specialty of Clinical Social Work. Salem, MA: 

American Board of Examiners in Clinical Social Work, 2004.

Bernard, J.M., and Goodyear, R.K. Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn 

& Bacon, 2004. 

Borders, L.D., and Brown, L.L. Ethical issues in supervision. In: The New Handbook of Counseling Supervision. Mahwah, NJ: Lawrence Erlbaum, 2005. pp. 81–87.

Bradley, L.J., and Whiting, P.P. Supervision training: A model. In: Bradley, L.J., and Ladany, N., 

eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). New York: BrunnerRoutledge, 2001. pp. 361–387.

Center for Substance Abuse Treatment. Addiction Counseling Competencies: The Knowledge, 

Skills, and Attitudes of Professional Practice. Technical Assistance Publication (TAP) Series 21. DHHS Publication No. (SMA) 06-4171. Rockville, MD: Substance Abuse and Mental 

Health Services Administration, 2006.

Columbia Assessment Services, Inc. Clinical Supervision of Alcohol and Other Drug Abuse 

Counselors Role Delineation Study. Washington, DC: International Certification & Reciprocity Consortium/Alcohol and Other Drug Abuse, Inc., 2000.

Falender, C.A., and Shafranske, E.P. Evaluation of the supervisory process. In: Clinical Supervision: A Competency-Based Approach. Washington, DC: American Psychological Association, 

2004. pp. 195–226.

Powell, D.J. Evaluation and feedback. In: Clinical Supervision in Alcohol and Drug Abuse Counseling: Principles, Models, Methods. San Francisco: Jossey-Bass, 2004. pp. 228–252.

Washington State Division of Alcohol and Substance Abuse. Clinical Supervisor Skill Standards. 

Olympia, WA: Washington State Department of Social and Health Services, 2002.

X
35

Section IV: Performance Domains

PD5: ADMINISTRATION

Introduction

Clinical supervisors’ administrative responsibilities are the executive functions of the position, 

those duties that help the organization run smoothly and efficiently. Administrative responsibilities include following the organization’s policies and procedures (including those related 

to human resource management), ensuring the maintenance of case records, monitoring case 

documentation, assisting in financial resource development (e.g., grant proposal writing), and 

developing relationships with referral sources in the community. Administrative responsibilities 

also include program development and quality assurance, which are addressed separately in 

PD3. Although the competencies described below are administrative in nature, many overlap 

significantly with clinical functions and serve to ensure the quality of services being delivered 

within the agency. As noted previously, the range of administrative functions clinical supervisors 

are responsible for will vary from agency to agency.

The Competencies

Participate in developing, maintaining, applying, and revising the organization’s policies, 

procedures, and forms.

Monitor, evaluate, and provide feedback regarding supervisees’ compliance with administrative policies and procedures.

Understand and ensure that supervisees understand the organization’s chain-ofcommand and communication protocols.

Monitor, evaluate, and provide guidance regarding the supervisees’ case recordings, 

including session notes, treatment plans, correspondence, and behavioral contracts.

Establish and maintain an efficient and comprehensive recordkeeping system that 

provides clear, chronological documentation of supervisory activities.

Recommend personnel actions to maintain high standards of clinical care (e.g., hiring, 

performance recognition, disciplinary action, suspension, termination of clinical staff).

Maintain and regularly update clinical staff job descriptions according to agency policies 

and procedures.

Understand and help supervisees understand and manage the relationships among 

clinical services, fee assessment and collection, and overall fiscal responsibility.

Understand and comply with procedures necessary for processing third-party payment 

claims, if applicable.

Participate actively in the organization’s resource development activities (e.g., grant 

application or proposal writing).

Develop and rely on schedules, deadlines, and reminders to meet service needs and 

ensure completion of assigned projects and tasks. 

X

X

X

X

X

X

X

X

X

X

X
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Competencies for Substance Abuse Treatment Clinical Supervisors

Ensure that supervisees have proper training for using information technology systems 

and have access to technical assistance and other resources.

Obtain regularly scheduled diversity, crisis management, and safety training for oneself 

and supervisees.

Develop and comply with intraorganizational and interorganizational agreements that 

expand, enhance, and expedite service delivery.

Maintain security of all supervisory notes, assessments, and other pertinent documents.

Structure and facilitate effective staff meetings.

Bibliography

Bernard, J.M., and Goodyear, R.K. Organizing the supervision experience. In: Fundamentals of 

Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 180–208.

Bradley, L.J., and Kottler, J.A. Overview of counselor supervision. In: Bradley, L.J., and Ladany, 

N., eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). New York: 

Brunner-Routledge, 2001. pp. 3–27.

Spencer, P.C., and Munch, S. Client violence toward social workers: The role of management in 

community mental health programs. Social Work, 48(4):532–544, 2003.

X

X

X

X

X
37

Section V:

INTEGRATED BIBLIOGRAPHY

Abernethy, A.D. Increasing the cultural proficiency of clinical managers. 

Journal of Multicultural Counseling & Development, 33(2):81–93, 

2005.

Abroms, G.M. Supervision as metatherapy. In: Kaslow, F.W., ed. Supervision, 

Consultation, and Staff Training in the Helping Professions. San Francisco: Jossey-Bass, 1977. pp. 81–99.

Addiction Counselor Certification Board of Oregon. Addictions Treatment 

Clinical Supervision Competencies, n.d. www.accbo.com/super.htm

[accessed December 12, 2006].

American Board of Examiners in Clinical Social Work, Work Group on 

Clinical Social Work Supervision. Clinical Supervision: A Practice 

Specialty of Clinical Social Work. Salem, MA: American Board of 

Examiners in Clinical Social Work, 2004.

Association for Counselor Education and Supervision, Supervision Interest Network. ACES ethical guidelines for counseling supervisors. ACES

Spectrum, 53(4):5–8, 1993.

Aten, J.D., and Hernandez, B.C. Addressing religion in clinical supervision: A model. Psychotherapy: Theory, Research, Practice, Training, 

41(2):152–160, 2004.

Barnes, K.L. Applying self-efficacy theory to counselor training and supervision: A comparison of two approaches. Counselor Education & 

Supervision, 44(1):56–69, 2004.

Bernard, J.M., and Goodyear, R.K. Ethical and legal considerations. In: 

Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn & 

Bacon, 2004. pp. 49–72.

Bernard, J.M., and Goodyear, R.K. Fundamentals of Clinical Supervision 

(3d ed.). Boston: Allyn & Bacon, 2004. 

Bernard, J.M., and Goodyear, R.K. Introduction to clinical supervision. 

In: Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn & 

Bacon, 2004. pp. 1–18.

Bernard, J.M., and Goodyear, R.K. Organizing the supervision experience. 

In: Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn & 

Bacon, 2004. pp. 180–208.
38

Competencies for Substance Abuse Treatment Clinical Supervisors

Bernard, J.M., and Goodyear, R.K. The supervisory relationship: The influence of individual and 

developmental differences. In: Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn & Bacon, 2004. pp. 136–157.

Bernard, J.M., and Goodyear, R.K. The supervisory relationship: Processes and issues of the 

supervisory triad and dyad. In: Fundamentals of Clinical Supervision (3d ed.). Boston: 

Allyn & Bacon, 2004. pp. 101–135.

Borders, L.D., and Brown, L.L. Ethical issues in supervision. In: The New Handbook of Counseling Supervision. Mahwah, NJ: Lawrence Erlbaum Associates, 2005. pp. 81–87.

Bordin, E.S. A working alliance based model of supervision. The Counseling Psychologist, 

11:35–41, 1983.

Bradley, E.H., Webster, T.R., Baker, D., Schlesinger, M., Inouye, S.K., Barth, M.C., Lapane, K.L., 

Lipson, D., Stone, R., and Koren, M.J. Translating research into practice: Speeding the adoption of innovative health care programs. Issue Brief (Commonwealth Fund), July(724):1–12, 

2004.

Bradley, L.J., and Gould, L.J. Psychotherapy-based models of counselor supervision. In: Bradley, 

L.J., and Ladany, N., eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). 

New York: Brunner-Routledge, 2001. pp. 147–182.

Bradley, L.J., and Kottler, J.A. Overview of counselor supervision. In: Bradley, L.J., and Ladany, 

N., eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). New York: 

Brunner-Routledge, 2001. pp. 3–27.

Bradley, L.J., and Whiting, P.P. Supervision training: A model. In: Bradley, L.J., and Ladany, N., 

eds. Counselor Supervision: Principles, Process, and Practice (3d ed.). New York: BrunnerRoutledge, 2001. pp. 361–387.

Cashwell, T.H., and Dooley, K. The impact of supervision on counselor self-efficacy. The Clinical 

Supervisor, 20(1):39–48, 2001.

Center for Substance Abuse Treatment. Addiction Counseling Competencies: The Knowledge, 

Skills, and Attitudes of Professional Practice. Technical Assistance Publication (TAP) Series 21. 

DHHS Publication No. (SMA) 06-4171. Rockville, MD: Substance Abuse and Mental Health 

Services Administration, 2006.

Columbia Assessment Services, Inc. Clinical Supervision of Alcohol and Other Drug Abuse 

Counselors Role Delineation Study. Washington, DC: International Certification & Reciprocity Consortium/Alcohol and Other Drug Abuse, Inc., 2000.

Corey, G., Corey, M.S., and Callanan, P. Issues and Ethics in the Helping Professions (6th ed.). 

Belmont, CA: Wadsworth Publishing Company, 2002.

Culbreth, J.R. The Wisconsin clinical supervision training model. Clinical Supervisor, 20(1):61–

71, 2001.

Estrada, D., Wiggins Frame, M., and Braun Williams, C. Cross-cultural supervision: Guiding the 

conversation toward race and ethnicity. Journal of Multicultural Counseling & Development, 32:307–319, 2004.

Falender, C.A., and Shafranske, E.P. Evaluation of the supervisory process. In: Clinical Supervision: A Competency-Based Approach. Washington, DC: American Psychological Association, 

2004. pp. 195–226.
39

Section V: Integrated Bibliography

Falender, C.A., and Shafranske, E.P. The practice of supervision. In: Clinical Supervision: A 

Competency-Based Approach. Washington, DC: American Psychological Association, 2004. 

pp. 3–36.

Falvey, J.E., and Bray, T.E. Managing Clinical Supervision: Ethical Practice and Legal Risk 

Management. Pacific Grove, CA: Brooks/Cole-Thomson Learning, 2002.

Falvey, J.E., and Cohen, C.R. The buck stops here: Documenting clinical supervision. Clinical

Supervisor, 22(2):63–80, 2003.

Fisher, R., and Ury, W.L. Getting to Yes: Negotiating Agreement Without Giving In (2d ed.). New 

York: Penguin Books, 1991.

Fleming, J., and Benedek, T. Psychoanalytic Supervision: A Method of Clinical Teaching. New

York: Grune & Stratton, 1966.

Foundation for Critical Thinking. Strategy List: 35 Dimensions of Critical Thought. Dillon, CA: 

Foundation for Critical Thinking, 2004. www.criticalthinking.org/resources/

TRK12-strategy-list.shtml#s22 [accessed December 12, 2006].

Garcia, B. Professional development of AODA practice with Latinos: The utility of supervision, 

in-service training and consultation. Alcoholism Treatment Quarterly, 16(1–2):85–108, 

1998.

Haynes, R., Corey, G., and Moulton, P. Clinical Supervision in the Helping Professions: 

A Practical Guide. Belmont, CA: Wadsworth Publishing Company, 2002.

Haynes, R., Corey, G., and Moulton, P. Ethical issues and multiple relationships. In: Clinical

Supervision in the Helping Professions: A Practical Guide. Belmont, CA: Wadsworth 

Publishing Company, 2002. pp. 151–181.

Hester, R.K., and Miller, W.R., eds. Handbook of Alcoholism Treatment Approaches: Effective 

Alternatives (3d ed.). Boston: Allyn & Bacon, 2003.

Hodgson, J.L., Johnson, L.N., Ketring, S.A., Wampler, R.S., and Lamson, A.L. Integrating research 

and clinical training in marriage and family therapy training programs. Journal of Marital & 

Family Therapy, 31(1):75–88, 2005.

Holloway, E.L. Structures for the analysis and teaching of supervision. In: Watkins, C.E., Jr., ed. 

Handbook of Psychotherapy Supervision. New York: John Wiley & Sons, 1997. pp. 249–276.

Hubble, M.A., Duncan, B.L., and Miller, S.D., eds. The Heart and Soul of Change: What Works in 

Therapy. Washington, DC: American Psychological Association, 2000.

International Consortium of Addiction and Prevention Credentialing Boards. Certified Clinical 

Supervisor Code of Ethics, n.d. www.mcbap.com/ccs_ethics1.htm [accessed December 12, 

2006].

Kanz, J.E. Clinical supervision.com: Issues in the provision of online supervision. Professional 

Psychology: Research & Practice, 32(4):415–420, 2001.

Kinicki, A., and Kreitner, R. Organizational Behavior: Key Concepts, Skills and Best Practices

(2d ed.). New York: McGraw-Hill, 2006. 

Ladany, N., Ellis, M.V., and Friedlander, M.L. The supervisory working alliance, trainee selfefficacy, and satisfaction. Journal of Counseling & Development, 77(4):447–455, 1999.
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Competencies for Substance Abuse Treatment Clinical Supervisors

Ladany, N., Friedlander, M.L., and Nelson, M.L. Managing sexual attraction: Talking about sex in 

supervision. In: Critical Events in Psychotherapy Supervision: An Interpersonal Approach.

Washington, DC: American Psychological Association, 2005. pp. 127–154.

Ladany, N., Friedlander, M.L., and Nelson, M.L. Remediating skill difficulties and deficits: It’s 

more than just teaching. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

Approach. Washington, DC: American Psychological Association, 2005. pp. 23–52.

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supervisory process. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

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Ladany, N., Friedlander, M.L., and Nelson, M.L. Working through countertransference: When 

super-vision is needed. In: Critical Events in Psychotherapy Supervision: An Interpersonal 

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study. Counselor Education & Supervision, 43(4):301–309, 2004.

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41

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Powell, D.J. Evaluation and feedback. In: Clinical Supervision in Alcohol and Drug Abuse 

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Utsey, S.O., Gernat, C.A., and Hammar, L. Examining white counselor trainees’ reactions to 

racial issues in counseling and supervision dyads. Counseling Psychologist, 33(4):449–478, 

2005.

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Olympia, WA: Washington State Department of Social and Health Services, 2002.

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21, 2006.

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43

Section VI:

APPENDICES

APPENDIX A: CLINICAL SUPERVISION CERTIFICATION—

NATIONAL RESOURCES

APPENDIX B: PROFESSIONAL CODES OF ETHICS

SPECIFIC TO CLINICAL SUPERVISION

APPENDIX C: SUGGESTED READING AND OTHER

RESOURCES

APPENDIX D: FIELD REVIEWERS

X

X

X

X
45

Section VI: Appendices

APPENDIX A: CLINICAL SUPERVISION CERTIFICATION—NATIONAL RESOURCES

Clinical supervisor credentials are available through many State addiction counselor certification boards. Check with the local board for more information about State-level supervisory 

credentialing.

Approved Clinical Supervisor 

National Board for Certified Counselors

Center for Credentialing and Education, Inc. 

3 Terrace Way

Greensboro, NC 27403

(336) 482-2856

(336) 482-2852 (fax) 

www.cce-global.org/acs.htm

Approved Supervisor Designation

American Association for Marriage and Family Therapy

112 South Alfred Street

Alexandria, VA 22314

(703) 838-9808

(703) 838-9805 (fax)

www.aamft.org/membership/Approved%20Supervisor/AS_Main.asp

Certified Clinical Supervisor 

International Consortium of Addiction and Prevention Credentialing Boards

620 Eye Street, N.W., Suite 210

Washington, DC 20006

(202) 785-0683

(202) 785-8949 (fax)

www.icrcaoda.org/credentialing.asp

Certified Pastoral Counselor Supervisor

National Board for Certified Pastoral Counselors

Certification Committee

1331 County Road D

St. Paul, MN 55109

www.nbcpc.org/Webpage.asp?MID=647147
47

Section VI: Appendices

APPENDIX B: PROFESSIONAL CODES OF ETHICS SPECIFIC TO CLINICAL SUPERVISION

The National Board for Certified Counselors/Center for Credentialing and 

Education

The Approved Clinical Supervisor (ACS) Code of Ethics*

Updated September 2005

In addition to following the Code of Ethics of their mental health credentialing body, approved 

clinical supervisors shall:

1. Ensure that supervisees inform clients of their professional status (e.g., intern) and of all 

conditions of supervision.

 Supervisors need to ensure that supervisees inform their clients of any status other 

than being fully qualified for independent practice or licensed. For example, supervisees 

need to inform their clients if they are a student, intern, trainee or, if licensed with 

restrictions, the nature of those restrictions (e.g., associate or conditional). In addition, 

clients must be informed of the requirements of supervision (e.g., the audio taping of all 

clinical sessions for purposes of supervision).

2. Ensure that clients have been informed of their rights to confidentiality and privileged 

communication when applicable. Clients also should be informed of the limits of confidentiality and privileged communication.

 The general limits of confidentiality are when harm to self or others is threatened; when 

the abuse of children, elders or disabled persons is suspected and in cases when the 

court compels the mental health professional to testify and break confidentiality. These 

are generally accepted limits to confidentiality and privileged communication, but they 

may be modified by state or federal statute.

3. Inform supervisees about the process of supervision, including supervision goals, case 

management procedures, and the supervisor’s preferred supervision model(s).

4. Keep and secure supervision records and consider all information gained in supervision 

as confidential.

5. Avoid all dual relationships with supervisees that may interfere with the supervisor’s 

professional judgment or exploit the supervisee.

 Any sexual, romantic, or intimate relationship is considered to be a violation. Sexual relationship means sexual conduct, sexual harassment, or sexual bias toward a supervisee 

by a supervisor.

6. Establish procedures with their supervisees for handling crisis situations.

7. Provide supervisees with adequate and timely feedback as part of an established evaluation plan.

8. Render assistance to any supervisee who is unable to provide competent counseling 

services to clients.

9. Intervene in any situation where the supervisee is impaired and the client is at risk.

*Reprinted with permission of the Center for Credentialing and Education, Inc., an affiliate of the 

National Board for Certified Counselors, 3 Terrace Way, Greensboro, NC 27403-3660.
48

Competencies for Substance Abuse Treatment Clinical Supervisors

10. Refrain from endorsing an impaired supervisee when such impairment deems it unlikely 

that the supervisee can provide adequate counseling services.

11. Supervisors offer only supervision for professional services for which they are trained or 

have supervised experience. 

 Supervision should not include assistance in diagnosis, assessment, or treatment without prior training or supervision. Supervisors are responsible for correcting any misrepresentations of the qualifications of others.

12. Ensure that supervisees are aware of the current ethical standards related to their professional practice, as well as legal standards that regulate the practice of counseling.

13. Engage supervisees in an examination of cultural issues that might affect supervision 

and/or counseling.

14. Ensure that both supervisees and clients are aware of their rights and of due process 

procedures, and that you as supervisor are ultimately responsible for the client. 

15. Refrain from supervising a relative or immediate family member.

Ethical Guidelines for Counseling Supervisors

Association for Counselor Education and Supervision*

Adopted by ACES Executive Counsel and Delegate Assembly 

March 1993 

Preamble:

The Association for Counselor Education and Supervision (ACES) is composed of people engaged in the professional preparation of counselors and people responsible for the ongoing 

supervision of counselors. ACES is a founding division of the American Counseling Association 

(ACA) and as such adheres to ACA’s current ethical standards and to general codes of competence adopted throughout the mental health community. 

ACES believes that counselor educators and counseling supervisors in universities and in applied counseling settings, including the range of education and mental health delivery systems, 

carry responsibilities unique to their job roles. Such responsibilities may include administrative 

supervision, clinical supervision, or both. 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 to clients. 

Counselor educators and counseling supervisors encounter situations which challenge the help 

given by general ethical standards of the profession at large. These situations require more specific guidelines that provide appropriate guidance in everyday practice. 

The Ethical Guidelines for Counseling Supervisors are intended to assist professionals by 

helping them: 

1. Observe ethical and legal protection of clients’ and supervisees’ rights; 

*Reprinted with permission of the Association for Counselor Education and Supervision.
49

Section VI: Appendices

2. Meet the training and professional development needs of supervisees in ways consistent 

with clients’ welfare and programmatic requirements; and 

3. Establish policies, procedures, and standards for implementing programs.

The specification of ethical guidelines enables ACES members to focus on and to clarify the 

ethical nature of responsibilities held in common. Such guidelines should be reviewed formally 

every five years, or more often if needed, to meet the needs of ACES members for guidance. 

The Ethical Guidelines for Counselor Educators and Counseling Supervisors are meant to help 

ACES members in conducting supervision. ACES is not currently 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 measured against the ACA Ethical Standards and a complaint lodged with ACA in accordance with its procedures for doing so. 

One overriding assumption underlying this document is that supervision should be ongoing 

throughout a counselor’s career and not stop when a particular level of education, certification, 

or membership in a professional organization is attained. 

DEFINITIONS OF TERMS: 

Applied Counseling Settings – Public or private organizations of counselors such as community mental health centers, hospitals, schools, and group or individual private practice settings. 

Supervisees – Counselors-in-training in university programs at any level who [are] working 

with clients in applied settings as part of their university training program, and counselors who 

have completed their formal education and are employed in an applied counseling setting. 

Supervisors – Counselors who have been designated within their university or agency to 

directly oversee the professional clinical work of counselors. Supervisors also may be persons 

who offer supervision to counselors seeking state licensure and so provide supervision outside 

of the administrative aegis of an applied counseling setting. 

1. Client Welfare and Rights 

1.01 The primary obligation of supervisors is to train counselors so that they respect the 

integrity and promote the welfare of their clients. Supervisors should have supervisees 

inform clients that they are being supervised and that observation and/or recordings of 

the session may be reviewed by the supervisor. 

1.02 Supervisors who are licensed counselors and are conducting supervision to aid a 

supervisee to become licensed should instruct the supervisee not to communicate or 

in any way convey to the supervisee’s clients or to other parties that the supervisee is 

himself/herself licensed. 

1.03 Supervisors should make supervisees aware of clients’ rights, including protecting 

clients’ right to privacy and confidentiality in the counseling relationship and the information resulting from it. Clients also should be informed that their right to privacy 

and confidentiality will not be violated by the supervisory relationship. 

1.04 Records of the counseling relationship, including interview notes, test data, correspondence, the electronic storage of these documents, and audio and videotape recordings, 

are considered to be confidential professional information. Supervisors should see 

that these materials are used in counseling, research, and training and supervision 
50

Competencies for Substance Abuse Treatment Clinical Supervisors

of counselors with the full knowledge of the clients and that permission to use these 

materials is granted by the applied counseling setting offering service to the client. This 

professional information is to be used for full protection of the client. Written consent 

from the client (or legal guardian, if a minor) should be secured prior to the use of such 

information for instructional, supervisory, and/or research purposes. Policies of the 

applied counseling setting regarding client records also should be followed. 

1.05 Supervisors shall adhere to current professional and legal guidelines when conducting 

research with human participants such as Section D-1 of the ACA Ethical Standards. 

1.06 Counseling supervisors are responsible for making every effort to monitor both the 

professional actions and failures to take action of their supervisees.

2. Supervisory Role 

Inherent and integral to the role of supervisor are responsibilities for: 

a. Monitoring client welfare; 

b. Encouraging compliance with relevant legal, ethical, and professional standards for 

clinical practice; 

c. Monitoring clinical performance and professional development of supervisees; and

d. Evaluating and certifying current performance and potential of supervisees for academic, screening, selection, placement, employment, and credentialing purposes.

2.01 Supervisors should have had training in supervision prior to initiating their role as 

supervisors.

2.02 Supervisors should pursue professional and personal continuing education activities 

such as advanced courses, seminars, and professional conferences on a regular and 

ongoing basis. These activities should include both counseling and supervision topics 

and skills. 

2.03 Supervisors should make their supervisees aware of professional and ethical standards 

and legal responsibilities of the counseling profession. 

2.04 Supervisors of post-degree counselors who are seeking state licensure should encourage these counselors to adhere to the standards for practice established by the state 

licensure board of the state in which they practice. 

2.05 Procedures for contacting the supervisor, or an alternative supervisor, to assist in handling crisis situations should be established and communicated to supervisees. 

2.06 Actual work samples via audio and/or video tape or live observation in addition to case 

notes should be reviewed by the supervisor as a regular part of the ongoing supervisory process. 

2.07 Supervisors of counselors should meet regularly in face-to-face sessions with their 

supervisees.

2.08 Supervisors should provide supervisees with ongoing feedback on their performance. 

This feedback should take a variety of forms, both formal and informal, and should 

include verbal and written evaluations. It should be formative during the supervisory 

experience and summative at the conclusion of the experience. 
51

Section VI: Appendices

2.09 Supervisors who have multiple roles (e.g., teacher, clinical supervisor, administrative 

supervisor) with supervisees should minimize potential conflicts. Where possible, the 

roles should be divided among several supervisors. Where this is not possible, careful 

explanation should be conveyed to the supervisee as to the expectations and responsibilities associated with each supervisory role. 

2.10 Supervisors should not participate in any form of sexual contact with supervisees. Supervisors should not engage in any form of social contact or interaction which would 

compromise the supervisor-supervisee relationship. Dual relationships with supervisees that might impair the supervisor’s objectivity and professional judgment should 

be avoided and/or the supervisory relationship terminated. 

2.11 Supervisors should not establish a psychotherapeutic relationship as a substitute for 

supervision. Personal issues should be addressed in supervision only in terms of the 

impact of these issues on clients and on professional functioning. 

2.12 Supervisors, through ongoing supervisee assessment and evaluation, should be aware 

of any personal or professional limitations of supervisees which are likely to impede 

future professional performance. Supervisors have the responsibility of recommending 

remedial assistance to the supervisee and of screening from the training program, 

applied counseling setting, or state licensure those supervisees who are unable to 

provide competent professional services. These recommendations should be clearly 

and professionally explained in writing to the supervisees who are so evaluated. 

2.13 Supervisors should not endorse a supervisee for certification, licensure, completion of 

an academic training program, or continued employment if the supervisor believes the 

supervisee is impaired in any way that would interfere with the performance of counseling duties. The presence of any such impairment should begin a process of feedback and remediation wherever possible so that the supervisee understands the nature 

of the impairment and has the opportunity to remedy the problem and continue with 

his/her professional development. 

2.14 Supervisors should incorporate the principles of informed consent and participation; 

clarity of requirements, expectations, roles and rules; and due process and appeal into 

the establishment of policies and procedures of their institutions, program, courses, 

and individual supervisory relationships. Mechanisms for due process appeal of individual supervisory actions should be established and made available to all supervisees.

3. Program Administration Role 

3.01 Supervisors should ensure that the programs conducted and experiences provided are 

in keeping with current guidelines and standards of ACA and its divisions. 

3.02 Supervisors should teach courses and/or supervise clinical work only in areas where 

they are fully competent and experienced. 

3.03 To achieve the highest quality of training and supervision, supervisors should be active 

participants in peer review and peer supervision procedures. 

3.04 Supervisors should provide experiences that integrate theoretical knowledge and practical application. Supervisors also should provide opportunities in which supervisees 

are able to apply the knowledge they have learned and understand the rationale for 

the skills they have acquired. The knowledge and skills conveyed should reflect current practice, research findings, and available resources. 
52

Competencies for Substance Abuse Treatment Clinical Supervisors

3.05 Professional competencies, specific courses, and/or required experiences expected 

of supervisees should be communicated to them in writing prior to admission to the 

training program or placement/employment by the applied counseling setting, and, in 

case of continued employment, in a timely manner. 

3.06 Supervisors should accept only those persons as supervisees who meet identified entry 

level requirements for admission to a program of counselor training or for placement 

in an applied counseling setting. In the case of private supervision in search of state 

licensure, supervisees should have completed all necessary prerequisites as determined by the state licensure board. 

3.07 Supervisors should inform supervisees of the goals, policies, theoretical orientations 

toward counseling, training, and supervision model or approach on which the supervision is based. 

3.08 Supervisees should be encouraged and assisted to define their own theoretical orientation toward counseling, to establish supervision goals for themselves, and to monitor 

and evaluate their progress toward meeting these goals. 

3.09 Supervisors should assess supervisees’ skills and experience in order to establish standards for competent professional behavior. Supervisors should restrict supervisees’ 

activities to those that are commensurate with their current level of skills and 

experiences.

3.10 Supervisors should obtain practicum and fieldwork sites that meet minimum standards 

for preparing student to become effective counselors. No practicum or fieldwork setting should be approved unless it truly replicates a counseling work setting. 

3.11 Practicum and fieldwork classes would be limited in size according to established professional standards to ensure that each student has ample opportunity for individual 

supervision and feedback. Supervisors in applied counseling settings should have a 

limited number of supervisees. 

3.12 Supervisors in university settings should establish and communicate specific policies 

and procedures regarding field placement of students. The respective roles of the 

student counselor, the university supervisor, and the field supervisor should be clearly 

differentiated in areas such as evaluation, requirements, and confidentiality. 

3.13 Supervisors in training programs should communicate regularly with supervisors in 

agencies used as practicum and/or fieldwork sites regarding current professional practices, expectations of students, and preferred models and modalities of supervision. 

3.14 Supervisors at the university should establish clear lines of communication among 

themselves, the field supervisors, and the students/supervisees. 

3.15 Supervisors should establish and communicate to supervisees and to field supervisors 

specific procedures regarding consultation, performance review, and evaluation of 

supervisees.

3.16 Evaluations of supervisee performance in universities and in applied counseling settings should be available to supervisees in ways consistent with the Family Rights and 

Privacy Act and the Buckley Amendment. 
53

Section VI: Appendices

3.17 Forms of training that focus primarily on self understanding and problem resolution 

(e.g., personal growth groups or individual counseling) should be voluntary. Those 

who conduct these forms of training should not serve simultaneously as supervisors of 

the supervisees involved in the training. 

3.18 A supervisor may recommend participation in activities such as personal growth 

groups or personal counseling when it has been determined that a supervisee has deficits in the areas of self understanding and problem resolution which impede his/her 

professional functioning. The supervisors should not be the direct provider of these 

activities for the supervisee. 

3.19 When a training program conducts a personal growth or counseling experience involving relatively intimate self disclosure, care should be taken to eliminate or minimize 

potential role conflicts for faculty and/or agency supervisors who may conduct these 

experiences and who also serve as teachers, group leaders, and clinical directors. 

3.20 Supervisors should use the following prioritized sequence in resolving conflicts 

among the needs of the client, the needs of the supervisee, and the needs of the 

program or agency. Insofar as the client must be protected, it should be understood 

that client welfare is usually subsumed in federal and state laws such that these statutes should be the first point of reference. Where laws and ethical standards are not 

present or are unclear, the good judgment of the supervisor should be guided by the 

following list: 

 a. Relevant legal and ethical standards (e.g., duty to warn, state child abuse laws); 

 b. Client welfare; 

 c. Supervisee welfare; 

 d. Supervisor welfare; and 

 e. Program and/or agency service and administrative needs.
55

Section VI: Appendices

APPENDIX C: SUGGESTED READING AND OTHER RESOURCES

These books, journals, Web sites, and training resources were recommended by the Clinical 

Supervision Competencies Task Force or field reviewers. 

Books

Addiction Technology Transfer Center Network. The Change Book: A Blueprint for Technology 

Transfer (2d ed.). Kansas City, MO: Addiction Technology Transfer Center Network, 2004.

Addiction Technology Transfer Center Network. The Change Book Workbook: A Companion to 

The Change Book. Kansas City, MO: Addiction Technology Transfer Center Network, 2004.

American Association for Marriage and Family Therapy. Readings in Family Therapy: Selected 

Articles from the AAMFT Supervisor Bulletin. Washington, DC: American Association for 

Marriage and Family, 2000.

Anderson, B.S., and Hopkins, B.R. The Counselor and the Law (4th ed.). Alexandria, VA: American Counseling Association, 1996. 

Bernard, J.M., and Goodyear, R.K. Fundamentals of Clinical Supervision (3d ed.). Boston: Allyn 

& Bacon, 2004.

Boylan, J.C., Malley, P.B., and Reilly, E.P. Practicum and Internship, Textbook and Resource 

Guide for Counseling and Psychotherapy (3d ed.). London: Taylor & Francis Group, 2001.

Campbell, J.M. Becoming an Effective Supervisor: A Workbook for Counselors and Psychotherapists. Philadelphia: Accelerated Development/Taylor & Francis Group, 2000.

Campbell, J.M. Essentials of Clinical Supervision. New York: John Wiley & Sons, 2006.

Holloway, E., and Carroll, M., eds. Training Counselling Supervisors: Strategies, Methods and 

Techniques. London: Sage Publishers, 1999.

Hubble, M.A., Duncan, B.L., and Miller, S.D., eds. The Heart and Soul of Change: What Works in 

Therapy. Washington, DC: American Psychological Association, 2000.

Kinney, J. Clinical Manual of Substance Abuse. St. Louis, MO: Mosby, 1996.

Legal Action Center. Confidentiality and Communication: A Guide to the Federal Alcohol & 

Drug Confidentiality Law and HIPAA (revised ed.). New York: Legal Action Center, 2003.

Maxwell, J.C. Failing Forward: How to Make the Most of Your Mistakes. Nashville, TN: Nelson 

Business, 2000.

Maxwell, J.C. The 360 Degree Leader: Developing Your Influence From Anywhere in the Organization. Nashville, TN: Nelson Business, 2006.

Maxwell, J.C. The 360 Degree Leader Workbook: Developing Your Influence From Anywhere in 

the Organization. Nashville, TN: Nelson Business, 2006.

Morrissette, P.J. Self-Supervision: A Primer for Counselors and Helping Professionals. New York: 

Brunner-Routledge, 2001.

Powell, D.J., and Brodsky, A. Clinical Supervision in Alcohol and Drug Abuse Counseling: 

Principles, Models, Methods (revised ed.). San Francisco: Jossey-Bass, 2004.

Shulman, L. Interactional Supervision. Washington, DC: NASW Press, 1993.
56

Competencies for Substance Abuse Treatment Clinical Supervisors

Simon, R.I. Concise Guide to Psychiatry and Law for Clinicians (3d ed.). Arlington, VA: 

American Psychiatric Publishing, Inc., 2001.

Skovholt, T.M., & Rønnestad, M.H. The Evolving Professional Self: Stages and Themes in 

Therapist and Counselor Development. New York: John Wiley & Sons, 1992.

Storm, C.L., and Todd, T.C. The Reasonably Complete Systemic Supervisor Resource Guide. 

New York: Authors Choice Press, 2002.

Walker, M., and Jacobs, M. Supervision Questions and Answers for Counsellors and Therapists. 

London: Whurr Publishers, 2004.

White, W.L. Slaying the Dragon: The History of Addiction Treatment and Recovery in America. 

Bloomington, IL: Lighthouse Institute, 1998.

White, W.L. The Incestuous Workplace: Stress and Distress in the Organizational Family. 

Bloomington, IL: Lighthouse Institute, 1997.

Journals

The Clinical Supervisor: The Journal of Supervision in Psychotherapy and Mental Health. 

Binghamton, NY: The Haworth Press. 

Counselor Education and Supervision. Alexandria, VA: American Counseling Association. Association for Counselor Education and Supervision members receive the journal as a member 

benefit. For nonmember subscriptions call (800) 633-4931 or write to ACA Subscriptions, 

P.O. Box 361, Birmingham, AL 35201-0361.

Web Sites

Association for Counselor Education and Supervision 

www.acesonline.net

Foundation for Critical Thinking

www.criticalthinking.org

Institute for Professional Development in the Addictions

www.ipdany.org

Legal Action Center

www.lac.org

Training

Clinical Supervision of Alcohol and Drug Counselors: An Independent Study Course.

Thomas Durham, Ph.D., CCS

Distance learning; available through NAADAC, the Association for Addiction Professionals, 

www.naadac.org or (800) 548-0497.

Clinical Supervision: Skills for the Future.

David J. Powell, Ph.D., LADC, CCS, LMFT

Onsite training; available through the International Center for Health Concerns, 

www.ichc-us.org/index.htm or (860) 653-4470.

Clinical Supervision for Substance Abuse Treatment Practitioners Series. 

Distance learning; available through the Mid-Atlantic Addiction Technology Transfer Center, 

www.mid-attc.org or (804) 828-9910.
57

Section VI: Appendices

Clinical Supervision in Alcohol and Drug Abuse Counseling: Principles, Models, Methods; 

Advanced Skills in Clinical Supervision: Updates on the Blended Model of Clinical Supervision; 

and Expanding the Role of the Clinical Supervisor in Alcohol and Drug Abuse Counseling.

David J. Powell, Ph.D., LADC, CCS, LMFT

Distance learning; available through the Distance Learning Center for Addiction Studies, 

www.dlcas.com.

National Addiction Technology Transfer Centers’ Leadership Institute.

Live, intensive training offered at regional Addiction Technology Transfer Centers. For 

schedules and other information about this training program, go to 

www.nattc.org/leaderInst/index.htm or call the regional center.
59

Section VI: Appendices

L. Worth Bolton, M.S.W., LCAS, CCS

Clinical Instructor

University of North Carolina School of 

 Social Work

Chapel Hill, North Carolina

David C. Bowen, LMSW, CASAC

Counselor/International Student Advisor

Clarkson University

Potsdam, New York

Linda J. Bradshaw, M.A., CADC III

Program Manager

ChangePoint, Inc.

Portland, Oregon

Jane M. Campbell, Ph.D., NCC, ACS

Consulting Psychologist

Houston, Texas

Daniel L. Carzoli, M.A., CAP, NCAC II,

 ICADC, CPC

Corrections Program Director

River Region Matrix House

Jacksonville, Florida

Ann H. Davis, M.Ed., CCS, LCAS

Director of Administrative Services

Walter B. Jones Alcohol and Drug Abuse 

 Treatment Center

Greenville, North Carolina

Michael V. Ellis, Ph.D.

Professor, Division of Counseling Psychology

University at Albany, State University of 

 New York

Albany, New York

Arthur Flescher, LCSW, CASAC

Deputy Director

Suffolk County Division of Community 

 Hygiene

Hauppauge, New York

Sharon R. Foley, M.A., LPC, ACS, CAC

Clinical Coordinator, Preceptorship Program

Danya International, Inc.

Silver Spring, Maryland

Maria del Mar Garcia-Rodriguez, M.S.W.,

 M.H.S.

Continuing Education Coordinator

Caribbean Basin and Hispanic Addiction 

 Technology Transfer Center

Universidad Central del Caribe

Bayamon, Puerto Rico

Suzanne Goolden, M.H.A., CTRS, CASAC

Inpatient Services Director

St. Joseph’s Rehabilitation Center, Inc.

Saranac Lake, New York

Rick Gressard, Ph.D., NCC, LPC, MAC

Associate Professor

College of William and Mary

Williamsburg, Virginia

Stephen J. Gumbley, M.A., LCDP

Education Specialist

Addiction Technology Transfer Center of 

 New England

Providence, Rhode Island

Charles T. Holt, Ph.D., MFT, LADC

Personal Development Consultants

Reno, Nevada

John D. Hughes, M.S.W., CDP

Coordinator, Safe and Effective Schools

Sunnyside School District

Sunnyside, Washington

Stephen S. Mason, ACSW, LICSW, CCAC-S

Director

West Virginia State Division on Alcoholism 

 and Drug Abuse

Charleston, West Virginia

Leslie D. McCrory, LPC, LCAS, CCS

McCrory Consulting

Asheville, North Carolina

Robert L. Neri, M.A., CAP, LMHC

Chief Clinical Officer

WestCare Foundation

St. Petersburg, Florida

APPENDIX D: FIELD REVIEWERS
60

Competencies for Substance Abuse Treatment Clinical Supervisors

Michele A. Packard, Ph.D.

Executive Director

Sage Training

Boulder, California

David J. Powell, Ph.D., CCS, LADC

President

International Center for Health Concerns, Inc.

East Granby, Connecticut

Annie Ramniceanu, M.S., LCMHC, LADC

Clinical Director

Spectrum Youth and Family Services

Burlington, Vermont

Scott Reiner, M.S., CAC, CCS

Program Development Manager

Virginia Department of Juvenile Justice

Richmond, Virginia

Jeffrey Savoy, LCSW, CASAC

Vice President, Director of Clinical Support 

 Services

Odyssey House, Inc.

New York, New York

Donald H. Scherling, Psy.D., ICADC, CCS, 

 LADC, MAC

Program Director

Berkshire Medical Center, McGee Acute 

 Addictions Unit

Pittsfield, Massachusetts

Anne Helene Skinstad, Ph.D.

Director

Prairielands Addiction Technology Transfer 

 Center

University of Iowa

Iowa City, Iowa

Robert M. Vincent, M.S.Ed.(c), NCAC II, 

CPP

Director

True North Student Assistance and Treatment 

 Services

Olympia, Washington

Michael J. Wagner, LICSW, MAC

Owner MJW Consulting

Seattle, Washington

William L. White, M.S.

Senior Research Consultant

Chestnut Health Systems

Bloomington, Illinois
DHHS Publication No. (SMA) 07-4243

Substance Abuse and Mental Health Services Administration

Printed 2007