Social Work Communication and Documentation

Unit One. Communication

Sheafor, Bradford W. and Charles R. Horejsi (2015). Techniques and Guidelines for Social Work Practice, 10th ed. Boston: Allyn
and Bacon
Zastrow, Charles (2007). The Practice of Social Work: A Comprehensive Worktext, 8th ed., Australia: Thomson Brooks/Cole
https://www.therelationshipdoc.org/how-voice-tone-affects-your-relationships-its-not-what-you-say/
http://hughsmiley.com/home/the-voice-of-the-therapist/
https://www.psychologytoday.com/us/blog/communication-success/201401/how-improve-the-sound-your-voice

A. Communication: Definitions

1. A process where one individual conveys information – either intentionally or

unintentionally – to another person.

2. A verbal and nonverbal exchange of ideas, values and feelings.

3. A process by which information is exchanged between individuals through a common

system of symbols, signs, or behavior.

B. Elements of the Communication Process

1. Communication occurs when one person perceives a message in the words or

behavior of another.

• Communication is primarily a receiver phenomenon; it is the person on the

receiving end who assigns meaning to another’s words and gestures.

• Each individual has perceptual filters and patterns of thought that affect how
messages are sent and received.

o one individual may notice things that others overlook;

o messages that are important to one person may seem inconsequential to

another.

2. Communication involves the use of words.

• A word is a symbol.

o It may have different meanings to different people, depending on their belief

system, life experiences, capacity of abstract thinking, and familiarity with the
language being used.

o Methods of describing the meanings of words:

a. Denotative meaning – precise, literal definition of a word - dictionary

definitions

b. Connotative meaning – implied; conveys a wide array of positive and

negative associations or overtones that words naturally carry with them.

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 Example: “ Baby”

Denotative meaning = infant

Connotative meaning = girlfriend/boyfriend

“Mother”

Denotative meaning = female parent

Connotative meaning = love, care, tenderness

3. Communication depends on the functioning of the physical senses (seeing, hearing,

touching, smelling, tasting) and the cognitive abilities of the brain which include:

a. Attention – focusing on certain stimuli while disregarding others;

b. Perception – using pattern recognition and sensory memory to interpret stimuli

picked up by our senses;

c. Memory – retaining information over time;

d. Language – interpreting, expressing, and remembering verbal and written words

and symbols;

e. Conceptualization – organizing information and ideas into categories;

f. Reasoning – drawing conclusions from information;

g. Decision making – choices based on an anticipation of future event

4. One of the most important factors affecting people’s communication is their self-
concept.

• Self-concept refers to how we define and view ourselves in relation to others.

• One’s self-concept acts like a screen through which a person sees, hears, and
interprets the messages from others

• Example: A person who feels incompetent or inferior may be guarded and find it
difficult to speak honestly and listen attentively to others; a defensive and
insecure individual may find it difficult to accept direction, instruction, or
constructive criticism.

5. The capacity to send and receive messages accurately can also be limited by one’s
emotional state and expectations.

• We tend to hear what we want to hear and what we expect to hear

• We may distort messages sent by others in order to met our emotional needs or
avoid discomfort.

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 6. The situational and social-interactional factors also have a powerful influence on how
words and gestures are interpreted.

• How, when, and where a message is sent are as important as the literal meaning
of the words used.

Encoding Decoding

Imputation of emotion MESSAGE Comprehension

Engagement of Physical reaction

sense organs

C. Foundation for Good Communication

1. Anticipate some degree of misunderstanding and plan to take steps to minimize

problems of miscommunication.

2. Organize your thoughts and present your message in ways that make it easy for others
to understand.

3. Lower your defenses so you can hear what others have to say.

4. Listen carefully to the person who is speaking.

5. Take responsibility for your own thoughts, feelings, and behaviors.

6. Take the time needed to communicate, to understand and be understood.

D. Tone of Voice and Intensity

• “What you say is not the only thing that matters, it’s very important how you say it.”
(Shrikanth Narayanan)

• Components of Communication (by Dr. Albert Mehrabian):

Verbal/Words 7%
Tone of Voice/Feeling Tone 38%
Nonverbal/Body Language 55%

• The tone of voice we use can positively or negatively affect our interactions with
others.

o How you speak, and what you and your partner say to each other, greatly
impacts your emotions and relationship quality.

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 o A comment directed to you in a sarcastic or critical tone comes across as a
negative blow, yet hearing the same words, delivered in a kind and loving tone,
has an entirely different and upbeat feel.

o The big communication difference lies in the tone of voice we choose when we
communicate with others.

o Regularly observing the way you speak to others, as well as how the words are
received, would be a great start or addition to a mindfulness practice.

o Equally important, observe how the varying tones of voice from others impact
you.

• Different qualities of the human-tone like pitch, volume, rhythm, speed, and intensity,
influence human interaction from the beginning of life.

o Clients can be very attentive to their worker’s voice-tone during a session

o Experiments have shown that clients can appreciate having both a warm and
supportive “mother-like voice tone” as well as a clear and determined “father-like
voice tone.

o A person with a strong, attractive voice has a big advantage over a person with a
weak, unattractive voice.

o A person with a good voice commands attention, gets less interrupted, and is
more likely to be perceived as a promotable leader.

• Levels of voice

a. Nasal voice – high pitched, almost whiny quality, which can turn people off in a
hurry.

b. Mouth voice – makes sounds but is not very powerful.

▪ This may be caused by cultural, gender, social and/or psychological factors.

▪ People who use the mouth voice can sometimes feel invisible: they’re
overworked, under-appreciated, neglected of their needs, and passed over
for recognition.

▪ The person with mouth voice cries out to be heard, but more often than not
no one is really paying attention.

c. Chest voice – sounds pleasant enough, and can generally maintain listener
interest.

▪ Normal talking where one uses air from the top of the lungs.

d. Diaphragm voice – the most attractive and natural voice.

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 ▪ Breath technique is essential for proper voice projection.

▪ A properly projected voice uses air properly flowing from the expansion of the
diaphragm.

▪ The person who uses the diaphragm voice commands attention, sounds
more attractive socially, and is more likely to be perceived as a promotable
leader. It's the best sounding voice for both women and men.

• How to improve voice tone

(1) Breathe right, breathe from the diaphragm

o To breath correctly, simply inhale and let your belly rise, and exhale and let
your belly fall.

o “To master our breath is to be in control of our bodies and minds.” (Thich
Nhat Hanh)

(2) Make sounds based on diaphragmatic breathing. Project from your diaphragm.

(3) Keep your voice in a calm tone, don’t get carried away. Slow it down, quiet it
down

E. Communication Skills in Facilitating Exchanges of Information (within an Agency, Between

Agencies, and Among Professionals)

• Communication involves both a message sender and a message receiver.

o The sender has a responsibility to convey their message in a way that is easily
received and understood.

o The receiver has a responsibility to make sure that they have accurately received
the sender’s intended message and have not, in some way, distorted or
misinterpreted that message.

1. Rules in sending a message:

a. Use clear, simple language. Speak distinctly and not too fast.

b. Pay attention to your body language

▪ Make sure it is congruent with your message

▪ Maintain appropriate eye contact and utilize gestures.

c. Do not overwhelm or overload the receiver with information.

▪ Break up a lengthy or complex message into several parts so that it

could be more easily understood.

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 d. Ask for comments, questions, or feedback so that you will know whether your
intended message is received and understood

▪ The receiver has a responsibility to make sure that s/he has accurately
received the sender’s intended message and has not, in some way,
distorted or misinterpreted that message.

2. Rules in receiving a message

a. Stop talking. You cannot listen when you are talking.

b. Put the message sender at ease and remove distractions.

c. Be patient with the message sender and do not interrupt.

d. Ask questions if it will help you understand or help the sender to clarify their
message

F. Barriers to Communication

1. When we speak for others rather than allowing them to speak for themselves.

2. When we discourage or suppress communication by ordering, threatening, preaching,

patronizing, judging, or blaming.

3. When we allow our prejudices and resumptions to color our interpretations of what
others are saying.

4. When we do not take the time or make the effort to really listen

5. When we do not speak honestly and truthfully because we want to avoid conflict or
fear disapproval from others.

6. When we assume that others already know or should know what we think.

7. Negative feelings about ourselves (low self-esteem) cause us to conclude that we

have nothing to say and no one wants to listen to us.

G. Overcoming Barriers to Communication

• Communication involves both a message sender and a message receiver.

o The sender has a responsibility to convey their message in a way that is easily
received and understood.

o The receiver has a responsibility to make sure that they have accurately received
the intended message and have not, in some way, distorted or misunderstood the
sender’s message.

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1. Planning the message – refers to anticipating an upcoming episode of
communication and structuring your message around the answers to questions or
concerns, such as:

o How much time is available for this exchange?

o When and where am I most likely to have the full attention of the person who is
to receive my message?
o What are the essential points of my message?
o What aspects of my message are most likely to be misunderstood?
o How can I organize and present my message so it will be understood and
accepted by the receiver?
o Do I have the necessary credibility, position and status to deliver this message
or should someone else present it?

▪ The middle portion of the message is most likely to be distorted by the

receiver.

▪ Place the most important points at the beginning and the end of your
message.

2. Identifying self

o Give a concise description of who you are and how your role and responsibilities
relate to the conversation.

3. Explaining the purpose of the communication

o Explaining the reason or purpose of the communication helps the receiver place
the message in a proper context.

4. Following up on nonverbal communication

o It is important to respond to a receiver’s nonverbal communication if it suggests

some confusion over the message.

o Follow-up efforts are especially important when the receiver’s nonverbal

behavior or communication suggests that they disagree with the message.

5. Sending a message of complaint or constructive criticism

o This can easily put the receiver on the defensive and block further
communication.

▪ During times of conflict, confrontation, or hurt feelings, we often use You-

statements (e.g., “You need to study more.” “You make me angry,” “You are
being selfish.”)

▪ The technique of I-message or I statement refers to a particular way of

structuring or wording a message so as to minimize the possibility of the
person on the receiving end to feel put down and wanting to strike back.

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 ▪ Parts of an I-statement:

a. A brief, clear description of the troublesome behavior,

b. The resulting feeling experienced because of that behavior

c. A description of the tangible impact this behavior has had on the

message sender.

Example: “When you did not show up for our scheduled appointment
(troublesome behavior), I felt upset and angry (feeling) because I don’t
like having to wait around and because I could have spent that time
with another client (tangible impact).

6. Checking for message reception

o Refers to the use of questions and probes to determine whether your message
has been accurately received.

7. Asking a focused question

o Oftentimes, we attach unnecessary words or extraneous concerns to our basic

question that confuses the point of our query.

o Ask questions one at a time, do not lump them all together in one statement.

o Avoid vague questions.

Example: “I am confused about these new agency policies, especially the

ones about foster care and in some ways about a lot of the policies. This
policy manual is organized in an unusual way. What is really expected of
us? I mean, what are we supposed to do with new cases and how do we
handle the court-ordered evaluations?”

Focused question: “I have question about the policy described on page 86

of our agency manual. My question is, do I need my supervisor’s written
approval before I request a psychological evaluation on a foster child?”

8. Answering questions

o The ability to formulate statements that respond directly to the question asked
and answer the question in a clear and complete manner.

o Example:

Worker: “I need some direction on where to send this report. Do I

send it to the County Attorney or directly to Judge
Smith?”

Supervisor: “Just remember that Judge Smith is a stickler for details

and he wants the report to be concise.”

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 Worker: “Well, yes, I know but what I need to know is where to
send the report.”

Supervisor: “Oh, I am sorry. I didn’t answer your question. Send it

directly to Judge Smith.”

9. Checking for word meaning

o Many communication problems arise because people attach different meanings

to words or phrases

o Checking for word meaning refers to inquiries intended to make sure that all
parties to a message exchange agree on the meaning of key words.

Example:

Chair of planning group: “I think we need to shift about 20% of

our budget into child abuse
prevention program.”

Committee member: “Well, I may or may not agree,

depending on what you mean by
prevention. Are you thinking of primary or
secondary level prevention?”

H. Guidelines for Effective Telephone Communication

• The telephone is used frequently in social work practice.

• It is not always an effective and accurate method of communication because the

messages must be delivered entirely by voice and without body language.

• The telephone is used when:

1. A quick response is needed

2. When the matter under discussion is easily understood
3. It is not critical to establish a permanent record of the transaction.

• Guidelines to help improve telephone use:

1. Before placing a phone call, consider its purpose and jot down the major points you
wish to address.

o Plan to take notes during the phone conversation.

o Place the notes in the agency file or case record to document the phone call

2. Begin all phone communication by identifying yourself and your organization.

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 o Enunciate clearly

o Give your complete attention to the person with whom you are speaking.

o Do not multitask while on the phone.

o If the person on the other end is talking at length, interject a brief comment at
intervals (“Yes, I see;” “I understand) – this lets the other person know that
you are listening.

o If your caller gets sidetracked, steer him/her to the point of the call.

o Before saying goodbye, it may be appropriate to summarize the information

you intended to convey and the information you received.

3. Social workers must be careful about where they use cell phones.

o Cell phone use, especially in public, can jeopardize client confidentiality.

o It is difficult for a social worker to give undivided attention to a cell phone

conversation while driving or walking down a busy street.

o Common courtesy requires that cell phones be turned off during client
interviews and agency meetings.

4. If you must leave a message for a person you did not reach by phone, keep that
message short (e.g., your name, phone number, and reason for calling).

o Repeat the phone number two times, and speak slowly while doing so.

o Suggest for a time for the person to return your call.

o You will save time by calling back rather than waiting for your call to be
returned

5. Master the skills of using your agency’s phone system such as transferring calls,
using voice mail, etc.

o When transferring calls to another line, let callers know what you are doing.

o Tell them the name and title of the person to whom they will be speaking and
why you are transferring their call.

o If you must leave the phone for a minute, say something like “Please hold on
while I get that file.”

o Unless you are sure you will be away for only a few moments, tell your caller
that you will call back.

6. The automated answering machine and voice mail systems used in many agencies
can be confusing to callers.

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 Example: A caller may be upset after having to listen to a recorded, select from a
menu of options, and perform numerous dialing maneuvers.

o Instruct your clients and other frequent callers how to use the system.

Unit Two. Nonverbal Communication

Sheafor, Bradford W. and Charles R. Horejsi (2015). Techniques and Guidelines for Social Work Practice, 10th ed. Boston: Allyn
and Bacon
https://www.verywellmind.com/types-of-nonverbal-communication-2795397

• Clients’ nonverbal behavior provides a valuable source of information.

• Social workers must give greater attention to and become more competent in identifying
and interpreting nonverbal cues as they are invaluable in identifying what clients are
actually thinking and feeling.

• Nonverbal cues include gestures, posture, breathing patterns, tension in facial and neck
muscles, facial color, eye movements, choice of clothes, physical appearance, eye contact
and tone of voice.

• These cues give information about stress levels, kinds of feelings being experienced, and
whether the client is telling the truth.

• Nonverbal communication plays an important role in how we convey meaning and

information to others, as well as how we interpret the actions of those around us.

• The important thing to remember when looking at such nonverbal behaviors is to consider
the actions in groups.

o What a person actually says along with his or her expressions, appearance, and tone
of voice might tell you a great deal about what that person is really trying to say.

• Much of nonverbal activity is habitual and beyond our awareness; consequently, we

sometimes say one thing with our words and without knowing it communicate something
quite different in our nonverbal behavior.

A. Eye contact/Gaze

• The eyes play an important role in nonverbal communication and such things as
looking, staring and blinking are important nonverbal behaviors.

• When people encounter people or things that they like, the rate of blinking increases
and pupils dilate.

• Our eyes reveal much about our emotional state and our reactions to other people.

o Looking at another person can indicate a range of emotions including hostility,

interest, and attraction.

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 • People also utilize eye gaze as a means to determine if someone is being honest.

o Normal, steady eye contact is often taken as a sign that a person is telling the
truth and is trustworthy.

o Shifty eyes and an inability to maintain eye contact, on the other hand, are
frequently seen as an indicator that someone is lying or being deceptive.

• In Western culture, making eye contact indicates openness and a willingness to

engage in communication, whereas avoiding eye contact is viewed as being closed to
communication and sometimes suggesting dishonest intention.

• In Eastern culture, making direct eye contact is considered to be intimidating,

disrespectful, and/or even sexually aggressive.

o In other culture, a private conversation between unmarried men and women may
be judged as inappropriate.

B. Gestures of Greeting

• Deliberate movement and signals are an important ways to communicate meaning

without words.

• Common gestures include waving, pointing, and using fingers to indicate numeric
amounts. Other gestures are arbitrary and related to culture.

• Gestures are important in relationship building.

o In Western culture (as in North America), a firm handshake is the expected

gesture among males and females.

o For many people in Asia and the Middle East, a strong and firm handshake
suggests aggression.

o An embrace or hug is a common greeting among males in Russia, in the Middle

East, and Latin America.

o Bowing is the appropriate gesture among the people of Japan, Thailand, and
India; the lowest ranking person bows first, and the depth of the bow reflects the
status of the person for whom the bow is offered.

C. Personal Space or Proxemics

• People often refer to their need for “personal space,” which is also an important type
of nonverbal communication.

• The amount of distance we need and the amount of space we perceive as belonging
to us influenced by a number of factors including social norms, cultural expectations,
situational factors, personality characteristics, and level of familiarity.

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 o For example, the amount of personal space needed when having a casual
conversation with another person usually varies between 18 inches to four feet.
On the other hand, the personal distance needed when speaking to a crowd of
people is around 10 to 12 feet.

• In general, being close to someone communicates trust and interest, but keeping too
close is threatening.

o People from North America typically prefer to be about an arm’s length from one
another, whereas those from Asian cultures usually prefer a greater distance.

o People from the Middle East and Latin America are often toe-to-toe during their
conversations.

o Researches have found that high-status individuals tend to invade other people’s
personal space with greater frequency and intensity than lower-status individuals.

o The worker can avoid invading a client’s personal space by reading the client’s
body language and adjusting accordingly.

D. Body Positioning

• This conveys various attitudes and intentions.

• It is usually best to face the client at a 90-degree angle, since this suggests both
safety and openness,
• Facing the client directly may communicate aggressiveness.

• Leaning slightly toward the client communicates attention and interest.

• A desk separating the client and social worker restricts closeness, encourages
formality, and suggests the worker is in a superior position.

E. Facial Expressions

• Facial expressions are responsible for a huge proportion of nonverbal communication.

o The face is the most expressive part of our body and makes us most vividly
present to others.

o Smiling, frowning, nodding and shaking the head, lip quivering and blushing
register our thoughts and emotions.

o Consider how much information can be conveyed with a smile or a frown. The
look on a person's face is often the first thing we see, even before we hear what
they have to say.

• While nonverbal communication and behavior can vary dramatically between cultures,
the facial expressions for happiness, sadness, anger, and fear are similar throughout
the world.

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 • Facial expressions may reveal a worker’s disapproval of a client, even when the
worker is trying to be nonjudgmental.

F. Touch or Haptics

• Communicating through touch is a powerful communication.

o Harry Harlow’s classic monkey study demonstrated how deprived touch and
contact impedes development.

o Baby monkeys raised by wire mothers experienced permanent deficits in

behavior and social interaction.

• Touch can be used to communicate affection, familiarity, sympathy and other

emotions.

o By touching another’s hand, arm or shoulder or by offering a gentle hug, we can

convey reassurance, sympathy or understanding.

• Sex differences play a role in how people utilize touch to communicate meaning.

o Women tend to use touch to convey care, concern and nurturance.

o Men are more likely to use touch to assert power or control over others.

• A social worker must be cautious about touching a client, especially if the client is of
the opposite sex, or from an unfamiliar cultural background.

o A social worker’s innocent and well meaning touch can be misinterpreted as a

sexual advance or as intimidation by someone who has been physically or
sexually abused or by someone with an intense need for attention and affection.

G. Arm and Hand Movements

• These frequently communicate strong emotions.

• Crossed legs, arms folded across the chest, and a rigid posture suggest a
defensiveness and resistance, whereas arms and hands in an outreached position or
at the body’s side suggest openness to others.

• Clenched fists indicate anger or anxiety.

• Fidgety movements, finger tapping, and leg bouncing suggest impatience,

nervousness, or preoccupation.

H. Tone of Voice or Paralinguistics

• Often reveals the emotion we are feeling

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 • A loud and forceful tone suggests anger, aggressiveness, and control.

• A meek and scarcely audible voice suggests fear and submissiveness.

• A monotonous or flat voice suggests a lack of interest.

I. Dress and Appearance

• Our choice of color, clothing, hairstyles, and other factors affecting appearance are
also considered a means of nonverbal communication.

• Research on color psychology has demonstrated that different colors can evoke
different moods.

• Appearance can also alter physiological reactions, judgments, and interpretations.

Just think of all the subtle judgments you quickly make about someone based on his
or her appearance.

• Researchers have found that appearance can play a role in how people are perceived
and even how much they earn.

o One 1996 study found that attorneys who were rated as more attractive than their
peers earned nearly 15 percent more than those ranked as less attractive.

• Culture is an important influence on how appearances are judged.

o While thinness tends to be valued in Western cultures, some African cultures

relate full-figured bodies to better health, wealth, and social status.

• Our choices of clothing and accessories (e.g. jewelry) and our hairstyle send a
message about who we are or who we want to be and may display our membership in
a particular social group or subculture.

• A social worker must give careful thought to his/her appearance and avoid choices
that might distract clients or make them feel uncomfortable.

• Clothing that is highly unusual or sexually suggestive should always be avoided.

Unit Three. The Social Work Interview

Kadushin, Alfred (1983). The Social Work Interview
Zastrow, Charles (2007). The Practice of Social Work: A Comprehensive Worktext, 8th ed., Australia: Thomson Brooks/Cole

A. Interview: Definitions

1. Interview is a conversation with a deliberate purpose, a purpose mutually accepted by

the participants.

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 2. An interview is a conversation where questions are asked and answers are given. In
common parlance, the word ‘interview’ refers to a one-on-one conversation with one
person acting in the role of the interviewer and the other in the role of the interviewee.

3. Social work interviews are purposeful conversations between practitioners and clients
designed to facilitate cooperative working relationships by focusing on needs, wants,
problems, resources, and solutions.

B. The Place of the Interview – the physical setting where the interview takes place.

1. Office

• Office interviews permit the interviewer control of the physical setting, and usually
make the interviewer comfortable.

• These interviews can usually be arranged to assure privacy, and reduce the
worker’s travel time between interviews.

2. Client’s home

• Advantages:

(1) Home visits have an advantage in helping the interviewer better understand
the living conditions of the interviewee.

▪ Family interactions can be observed.

(2) Some clients, such as those with severe disabilities, find it difficult or
impossible to travel to an office.

(3) Home visits also offer more opportunities for the worker to enter the life of the
interviewee as a participant – opening a stuck door, moving furniture, holding
a crying baby, etc.

• Disadvantages:

(1) There is the chance that the interviewer may have to respond to conflict
between family members if it occurs, and some clients may feel that a home
visit suggests that the worker is spying on them.

(2) Distractions are more apt to occur – e.g., telephone calls, TV programs,
friends dropping by to visit, etc.

3. Street corners, restaurants, institutions

• The interviewer’s skills are almost always more important in determining the
productivity of an interview than the setting.

C. Characteristics of a Social Work Interview

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 1. Social work interviews tend to be longer and discursive.

• This is because the nature of the problems brought to the social worker is often
diffuse and ambiguously defined.

2. The concern is the unique entity – the unique individual, the unique group, the unique
community.

• The concern with the unique instance gives the social work interview a character
that distinguishes it from the public opinion interview, where the interest is not on
the response of a particular person per se, but in the particular person as a
member of an aggregate.

3. Effort is made to maximize client’s participation, to encourage the development of the

interview so that it follows the client’s preferences, but minimize standardization and
maximize individualization of context.

4. The social worker has no set interview schedule and attempts to keep his/her control
of the interview at the lowest possible level.

• Some social work interviews, however, do require the worker to cover some
uniform content, e.g., school history, marital history, symptoms of developmental
difficulties, psychosocial development, etc.

5. Social work interviews generally take place with troubled people or people in trouble.

• What is discussed is private and highly emotional

• There is great concern with personal interaction
• Considerable emphasis on feelings and attitudes
• Less concern for objective factual data.

6. Social work interviews are apt to be diffuse and concerned with wide segments of the
client’s life.

• Much of what the social worker has to do in an interview cannot be determined in

advance but must be a response to the situation as it develops.

D. Ways of Conducting an Interview

1. Dyad: interviewer-interviewee
2. Group interview: one interviewer-multiple interviewees
3. Board interview: multiple interviewers-one interviewee

E. Types and Purposes of Social Work Interviews

1. Informational or Social History Interviews

• Purpose/Objective: To obtain background or life history material related to the

client’s personal or social problem.

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 o Parameters for the selection of information:

a. Information relevant to understanding

▪ The purpose is not to learn all there is to know about the client, but
only what we need to know to understand so that we can:

(1) make decisions regarding the kind of services that could be

provided; and

(2) help effectively.

b. Information relevant to the kind of help the agency can provide

▪ The center of interest for the exploration is the socially stressful

situation for which social work intervention is or might be requested.

▪ The information we seek includes both objective facts and subjective

feelings and attitudes.

▪ In addition to the client, others interviewed or contacted may include

parents, friends, other relatives, employers, and other agencies
having contact with the client.

▪ The specific information desired in a social history varies somewhat

from agency to agency.

Examples:

• A social worker at a mental hospital seeks background

information to better understand the problems and social
functioning of an inpatient..

• A probation officer conducts a social investigation to guide the

court in dealing with someone charged with a felony.

• A worker from a community welfare council interviews people in a

multi-problem neighborhood to identify what they view as their
most urgent unmet needs.

2. Assessment/Diagnostic Decision-Making Interview

• These interviews are more focused in purpose than informational interviews.

• Purposes/Objectives:

a. To arrive at an appraisal and determine the eligibility of a client for a service.

b. To ask questions aimed at making specific decisions involving human

services.

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 Examples

o A protective service worker investigates a child abuse complaint to

determine whether abuse is occurring.

o A public assistance worker interviews an unmarried woman who is

pregnant to determine eligibility for financial assistance

o A social worker at a residential facility for persons with developmental

disabilities interviews the parents of a child with a severe cognitive
disability to obtain information that will be used by the admissions
committee to determine whether the child should be admitted.

3. Therapeutic/Intervention Interviews

• Purposes/Objectives:

a. To help clients make changes, or to change the social environment to help

clients function better, or both.

b. To help the client develop a more effective social functioning.

Examples:

o A shy person is counseled on how to be more assertive

o A depressed, lonely or suicidal client is counseled on how to handle such

problems better.

o A client on probation is counseled on how to apply for and find a job.

o A couple having marital problems is counseled on how to communicate

and handle their problems better.
o A couple with problems disciplining their children might be given
instructional sessions in Parent Effectiveness Training techniques.

c. To change the social environment to facilitate a client’s social functioning

Example: The spouse of a client with drinking problem is counseled on how

to help the spouse stop drinking and develop a meaningful life
separate from alcohol.

• The therapeutic interview is the instrument through which change is effected.

o The interviewer employs psychological principles and procedures in an effort

to exercise a deliberate, controlled influence on the psychic functioning of the
interviewee.

o The interviewee’s consent for the purpose of effecting changes in his/her

feelings, attitudes and behavior must be obtained.

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 o The purpose is helping and healing through communication in a therapeutic
relationship.

• Intervention interviews may have an intervention goal without the presence of the
person for whom the change is being sought.

o These include interviews with persons important in the client’s life, where the
social worker acts as a broker or advocate in the client’s behalf.

o The social worker engaged in brokerage or advocacy may interview people in

strategic positions in an attempt to influence them on behalf of the client.

o The purpose of the interview is to change the balance of forces in the social
environment in the client’s favor, e.g.:

▪ The school social worker may interview a teacher in order to influence

her to show more accepting understanding of a client.

▪ A social worker may accompany an inarticulate client to an employment

interview in an effort to influence the decision in the client’s favor.

F. Characteristics of a Competent Interviewer

1. Manifests personal qualities associated with establishing a good relationship –

warmth, patience, compassion, tolerance, and sincerity.

2. A reserved, controlled low-level social orientation and retains a certain amount of

objective, detached sensitivity to the interviewee.

3. Serious, persistent, reflective and interested in observing and understanding their own
behavior as well as the behavior of others.

4. Tolerant and understanding of other people and human weaknesses

5. Interest in people that is scientific and objective rather than highly emotional or
personal.

6. Less controlling, less active, and less inclined to offer advice and suggestion.

7. Says only what needs to be said at the moment it needs to be said.

Unit Four. Skills in Interviewing

Kadushin, Alfred (1983). The Social Work Interview
Sheafor, Bradford W. and Charles R. Horejsi (2015). Techniques and Guidelines for Social Work Practice, 10th ed. Boston: Allyn
and Bacon
Zastrow, Charles (2007). The Practice of Social Work: A Comprehensive Worktext, 8th ed., Australia: Thomson Brooks/Cole

A. Skill: Definitions

• The ability to use one’s knowledge effectively and readily in execution of performance.

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 • A learned power of doing something competently.
Merriam-Webster Dictionary

• A type of work or activity, which requires special training and knowledge.

• The knowledge and ability that enables you to do something well.

Collins Dictionary

B. Interviewing Skills in Facilitating Interpersonal Helping

• Helping skill refers to a message that the practitioner deliberately sends to the client
because the worker believes it will have a beneficial effect.

• The moment to moment decisions concerning what message to send is guided by the
purpose of the interview and by what the social worker knows about the client and
his/her situation

• All helping skills have nonverbal component.

1. Getting Ready

o Prior to meeting the client face-to-face the worker should imagine and
consider what the client might be thinking and feeling as s/he enters the
agency expecting to discuss some personal and possibly a very painful
matter.

o Develop empathy for the client and prepare to address the client’s initial
reactions and feelings (e.g., anger, fear, confusion).

o Plan to ease the client into the helping relationship.

2. Getting Started

o During the intake and engagement phase of the change process and also at
the beginning of each session with a client, the social worker must clarify the
purpose of the meeting and the worker’s role.

o Skills in Getting Started

a. The skill of explaining purpose

▪ Refers to a simple, non-jargonized statement by the worker that

describes the general purpose of the meeting.

▪ It serves to define expectations and reduce client confusion and

anxiety.

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 ▪ When the client initiates the first contact, the worker should
encourage the client to begin by describing his/her reason for
requesting the interview.

• If the client has a hard time doing this, the worker might ask
some general questions about the circumstances that led up to
the request for the interview and what the client hopes will come
from the meeting.

▪ When the social worker initiates the first contact, s/he should begin
by explaining its purpose in a manner that is clear and direct.

b. Skill in encouraging the client’s feedback on the purpose of the interview.

▪ Refers to statements that encourage the client to respond to the

worker’s explanation.

▪ This gives the client an opportunity to ask questions or perhaps

voice disagreement.

c. Skill in describing the worker’s role and method

▪ Refers to statements intended to give the client a beginning idea of

how the worker might be able to help and the methods to be used.

▪ Each session with the client has three phases:

(1) Getting started: Worker’s skills:

(a) Sessional contracting – clarify with the client how the

session will be used and check for the client’s agreement.

(b) Reaching for between data – this form of checking in

involves asking the client to bring the worker up to date
and to identify the key topics to be discussed.

• This adheres to the principle of starting where the client

is.

(2) The central work of the session

(3) Drawing the session to a close

C. Skills in Questioning

1. Purpose of asking questions:

a. To obtain information
b. To help build a relationship
c. To help a client tell his/her story
d. To assist the client in expressing his/her thoughts and feelings

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 e. To help a client look at alternative solutions
f. To help a client select an alternative

• The tone in which a question is asked is often as important as the question itself.

o For a depressed client, appropriate tone should indicate caring and

understanding;

o For someone who is angry, the tone should imply recognition of the anger
and a willingness to examine the anger;

o For an anxious client, the tone should convey reassurance.

2. Types of Questions

a. Exploratory questions

• In exploring both problems of clients and alternative solutions, usually a series

of questions having an increasingly specific focus is advisable.

o Successive questions should act as a funnel, moving from general to

more specific aspects of the content being discussed, e.g.:

“Could you tell me what it is like for you to . . . . “ (general aspects,

open ended question)

“What did you do to make ends meet the last time . . . . ” (specific
aspects, focused question)

Other questions may include:

“How do you feel about that?” (question to elicit the client’s

perceptions)

“Could you describe what kind of person (name of person) is?” (this
question facilitates getting a rapid impression of the client’s thoughts
and feelings about a person involved with the client.)

o As discussion in one area is completed, the new content area introduced

for discussion should start with another general, open-ended question.

b. Probing questions

• These questions are used to help clients elaborate on specific details of their
concerns and to help clients look in greater detail at the merits, shortcomings,
and consequences of possible resolution strategies.

Example (In a situation with a client who feels her husband drinks too much)

“How much does he drink?”

“How often does he drink?”

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 “How does he act when intoxicated?”
“What concerns you most about his drinking?”
“Given his drinking, how do you feel about him?”

3. How to Phrase Questions

Errors in Phrasing Questions Most Desirable Neutral Formulation

a. Loaded question: This question
assumes an unknown action is
occurring.

“When did you last hit your wife?” “Have you ever hit your wife?”

“What are you going to do when John “Do you think John is considering
breaks up with you?” breaking up with you?”
b. Suggestive/Leading question: The
interviewer suggests a “desired answer.”

“Don’t you think it’s high time you stop “Do you think you have a drinking
drinking and shape up?” problem?”

“You’re really making good progress, aren’t “What progress do you think you’re
you?” making?”
c. Yes-No question: Such questions do
not encourage elaboration.

“Do you ever do anything with your “What kinds of things do you and your
husband?” husband do together?”

“You really don’t like Mary, do you?” “How do you feel towards Mary?”
d. Either-Or question. The interviewee
might prefer both or neither or a third.

“Would you like to talk about your marriage “What would you like to talk about this
or your job this morning?” morning?”

“Have you and Tim decided to get married “What alternatives have you and Tim
or have an abortion?” talked about?”
e. Bombarding: The interviewer asks two
or more questions at the same time.

“How are you feeling today, and did you and Such questions should be asked
your husband get a chance to further separately.
discuss what we talked about last week?”

“What were your parents reactions when

you told them you were pregnant? Did they
suggest getting an abortion? How do you
feel about having an abortion?”

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 “Since graduating from high school have
you found a job, a place to live and are you
still dating the same person?”
f. Garbled question. Such questions
usually occur when the interviewer is
unclear about what s/he wants to ask.

“You’ve been considering uh, what was it, The interviewer needs to be clear about
oh yeah, something about what we talked what s/he wants to ask before
about last time. Now, how do you feel about speaking. Silence is better than asking
that?” garbled questions.

“Have you thought about – no, that wouldn’t

work, another possible thing you could do is
– I don’t know. What were we talking
about?”
g. Why questions. Essentially, “why”
questions ask the client to justify his/her
behavior and this tends to produce
defensiveness.

Most people do not know or cannot Instead of asking why, use questions
articulate the “whys” of their behavior, so that focus on the what, where, when,
when asked “why” they simply guess or and how of the client’s behavior and
give socially acceptable answers. situation.

“Why do you get so angry when Maria spills “What happens when Maria spills
food?” food?”

D. Skill in Active Listening

• In order to listen, we must set aside our self-centeredness and make another person
the center of our attention.

• Factors In active listening:

1. Attending to both the client’s verbal and nonverbal messages

2. Reflecting back to the client what has been heard so that the client will know that
his/her message has been received and understood.

• Skills in active listening:

1. Encouraging/Prompting – refers to word, short phrase or nonverbal gesture that

encourages the client to continue talking or expand on what s/he has said.

Example:

o “Uh-huh”

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 o “Tell me more”
o “Please go on”
o Repetition of key word
o Nodding
o Hand gestures or signals to continue and say more

2. Clarifying – asking a question intended to encourage a client to become more

explicit or to verify the worker’s understanding of what the client has said.

Example:

“Are you saying that . . .”

“Do you mean that . . .”

o When confused by what a client is saying, it is best to acknowledge the

confusion and seek clarification.

3. Paraphrasing – rephrasing the literal meaning of the client’s statement.

4. Reflecting feeling – an expression of the feeling or emotional component of the

message.

5. Summarizing – pulling together both the content and affective components of

several client messages.

6. Exploring the client’s silence – efforts to gently probe the silence.

o Silence is behavior that has meaning; it is important to uncover that meaning.

o Beginning social workers often commit the error of responding to silence

with a change of topic.

o A brief silence is best responded to with patience and polite quietness.

o If the silence is a long one, the worker should explore the silence, e.g., “You
appear to be puzzling about something. Can you tell me what you are
thinking about?”

E. Skills in Displaying Empathy, Genuineness and Warmth

1. Displaying understanding – verbal and nonverbal communication intended to

demonstrate that the social worker comprehends and can identify with the client’s
thoughts and feelings.

2. Putting the client’s feelings into words – the articulation of what the client appears to
be feeling but has stopped just shot of expressing it in words.

• Encouraging a client to express feelings is appropriate only when those feelings

are related to the overall goals of the professional relationship and intervention.

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 3. Self-disclosure – refers to a worker’s statements that reveal some of his/her own
thoughts, feelings, or life experiences.

• When properly used, self-disclosure can make it easier for the client to talk about
a sensitive topic and feel more comfortable with the worker.

• The use of self-disclosure should be avoided in the early stages of relationship

building and used sparingly at other times.

• The personal information revealed by the worker should always have a clear
connection to the client’s concern.

• It is inappropriate for the worker to talk about personal experiences that are
unrelated to the client’s concerns.

4. Answering personal questions

• When asked a personal question, the worker may offer a simple, straightforward
answer if doing so will establish some common ground for mutual understanding.

• Sidestep the question if it will underscore or highlight differences with the client in
values, beliefs, etc.

• Worker should also sidestep questions that seem to be a client’s attempt to

manipulate the worker or divert the discussion away from the purpose of the
meeting.

F. Guidelines in Responding to Defensive Communication

1. View defensiveness as an attempt to protect oneself from some real or imagined

danger.

• Threats perceived by clients might be embarrassment, loss of privacy, loss of

control over one’s life, or the failure to receive a desired service or benefit.

o Acknowledge the awkwardness of the situation (“I know that it can be

embarrassing to ask for financial assistance.”)

o To the extent possible, give your client opportunities to make choices and
thereby maintain some control over what is happening.

o When appropriate, use some phrases like “we,” “together,” “It will be your
decision”

o Do not label or categorize your client, e.g., “All charity patients have
to fill out this form.”

2. Understand that the client’s defensiveness may have served a useful purpose in the
past.

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 • Guardedness, defensiveness, and resistance, are long-time pattern rather than
situational behavior. Consider how this may have protected the client from pain
associated with some prior experience.

• Your own gut reactions may provide clues as to the psychological function of the
client, the client’s defensiveness may serve as a protection against interference
by outsiders.

• If the client’s apparent helplessness makes you want to rescue the client, this
behavior may help the client avoid responsibility.

3. Look for ways to reinforce any indications of openness exhibited by the client.

• Use the technique of mirroring – responding to client’s positive messages in a

manner that matches the client’s nonverbal behavior.

Examples

o If the client lets down his/her guard, ever so slightly, follow up with a tone
of voice, cadence, posture, and gestures that are similar to or mirror those
displayed by the client.

o If your client’s conversation speeds up because of anxiety or anger,

respond with a slower pace and nurturing message for this will often calm
the client.

o If your client assumes a defensive tone and closed posture, respond with
a comforting tone of voice, gestures of openness, and an unguarded
posture.

4. Use words and phrases that match your client’s primary or dominant mode of
receiving information.

• Basic modes of receiving information

a. Visual: “I see what you mean.”

“Do you have a clear picture of what I am suggesting?”

b. Auditory: “I hear what you are saying.”

“Does this plan sound OK to you?”

c. Tactual: “That goal is beyond my reach.”

“I think the plan you have suggested is one we could both grab
hold of.”

5. Display empathy and understanding by using the technique of joining the resistance.

• This involves aligning yourself with the client’s feelings.

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 • Alignment or joining tends to remove the client’s need to keep up his/her
defenses and it gives the client permission to vent feelings.

Example: “After such a long wait you deserve to be angry. I would be angry
also.”

6. If your client uses obscene or abusive language, remain calm and do not respond with
anger.

• Say something like: “I know that you are upset but it is important that we have a
respectful conversation.”

• If the client persists in making verbal attacks, consider using the technique
termed fogging.

o This term comes from the notion that rocks thrown into a fog bank have no
effect.

o If the person under verbal attack can become like the fog, the verbal “rocks”
have no impact and, hopefully, the attacker will soon abandon efforts to inflict
discomfort.

o This technique works because the person under attack does not retaliate in
kind and calmly acknowledges that the angry person may indeed have a
point and is possibly justified in his/her criticism.

7. In situations where it is critically important to engage the defensive and resistive client
(e.g., cases of child abuse), you may need to adopt an assertive and direct approach.

Example

o If your client refuses to talk:

“I can see that you do not want to talk to me about how your child was
injured, but I must stay here with you until we have discussed this serious
matter.”

o If the client behaves in, a threatening manner:

“I have no intention of harming you. I will not argue with you and I cannot
continue to interview under these threatening conditions. If you are too
angry to talk now I will return this afternoon with a police officer. Would you
rather talk now or later?”

o If your client attempts to avoid the central issue by talking about tangential
concerns:

“I can understand that you have other concerns and other problems but for
right now we must discuss how Joey got those bruises.”

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 o If client defend themselves by trying to make the worker feel guilty and
intrusive:

“I know you are upset and I don’t like to see people cry, but your child has
been injured. Take a few minutes to compose yourself. Then we must
discuss what happened to Joey.”

G. Skills in Sustaining Client Motivation

• Clients must feel hopeful about the possibility of change and in addition, feel some
discomfort or dissatisfaction with their current situation.

• Skills in sustaining client motivation:

1. Displaying belief in the potential of work – refers to statements intended to

convey the worker’s belief that professional intervention can be helpful.

2. Recognizing client’s strength – expressions of confidence in the client’s capacity

to accomplish some specific task or to cope with a difficult situation.

3. Pointing out negative consequences – statements that remind the client that
change is needed in order to avoid undesirable consequences.

H. Skills in Maintaining Progress Toward Change

• Effective helping involves encouraging and assisting the client to make decisions,
take action and move ahead.

• From time to time, the worker must make realistic, gentle, and supportive demands
that the client face his/her problems and take the steps necessary to make a needed
change.

• Real change requires having to try out new behaviors and perform unfamiliar tasks

• A degree of fear, ambivalence and resistance is a normal part of the change process.

• Skills in maintaining progress toward change:

1. Demand for work – generally experienced by the client as the worker saying: “I
mean business.”

o It is a critical skill because it conveys to the client the worker’s willingness to

deal with even the toughest problems and feelings faced by the client.

o It is precisely this additional pull that clients need at that moment to mobilize
their strength and to take their next steps.

o The demand for work needs to be linked with empathic skills

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 ▪ A worker who is demanding but not empathic will be seen by the client
as rejecting

▪ The worker who is empathic but makes no demands will appear to the
client as easy to put off.

2. Providing encouragement – to give courage or to help another overcome fear.

o Often take the form of statements that express confidence in the client’s
ability to overcome an obstacle or deal with a difficult situation.

o Worker’s words must be genuine and individualized to the client’s situation.

o Statements of reassurance are used when the client is experiencing doubt

and uncertainty about his/her decisions and actions when they are in fact,
reasonable and realistic.

o Worker’s statements must be based in reality.

3. Skill in partialization – the activity of breaking down a large problem or action into
several smaller and more manageable components, steps, or phases so that the
client can more effectively focus his/her attention an energy.

4. Staying on track – worker statements intended to keep the client focused on a

particular concern or objective.

o This skill is especially important when a client tends to ramble, go off

tangents, or wants to avoid facing a pertinent issue

5. Building communication link – worker’s efforts to establish a connection or link

between the client and those individuals with whom s/he needs to communicate.

6. Checking for acquiescence – used to flush out client’s hesitation, ambivalence or

disagreement.

o Sometimes the client will display the outward appearance of having agreed
to a certain action but inwardly lack a real commitment to the plan.

o It is also common among clients to decide on an action without fully

considering the challenges s/he will encounter.

7. Challenging the client’s avoidance of change – pointing out the client’s resistance
to taking on the hard work of personal change.

o Facing up to a personal problem and trying to make a change is inherently

difficult.

o Client’s strong feelings (anger, frustration, discouragement, etc.) and

emotionally charged exchanges between the client and worker are to be
expected during the helping process.

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 o If over a period of several sessions the client displays little or no emotion and
little frustration with self and the slowness of change, it is likely that the client
is not really engaged or invested in the change process.

8. Identifying emotional blocks – refers to messages aimed at increasing the client’s

awareness of how these feelings are getting in the way of progress.

o A client’s progress is sometimes blocked because s/he does not want to

grapple with especially painful feelings.

9. Supporting the client in taboo areas – refers to worker communication intended to

support or assist the client in discussing a sensitive or awkward topic.

o In some cases, change process is blocked when a client has unusual

difficulty talking about a pertinent but embarrassing or perhaps disgraceful
situation such as crime, irresponsible sexual behavior or damaging habits.

10. Addressing the authority issue – refers to the worker’s message that invites the
client to express concerns or complaints about the worker’s real or perceived
authority and power in the helping process.

o Some clients view the social worker as one more authority wanting to boss
them around and exert control.

I. Skills in Bringing the Interview to a Close

• Oftentimes, clients will wait until the last few minutes of the session before bringing up
an important issue.

• Motives behind this doorknob communication include fear of the topic, wanting to
inform the worker of a concern but not wanting to discuss it.

• Ideally, both the interviewer and interviewee should accept the fact that the interview
is ending, and the subjects being discussed should not be left hanging.

• Abrupt endings are apt to be perceived by the interviewee as being discourteous and
uncaring.

• Closing is especially important because what occurs during the last stage is likely to
determine the interviewee’s impression of the interview as a whole.

o We must make certain that we have given the client full opportunity to express
him/herself, or, alternatively, we must set a mutually convenient time for this
purpose.

o We should leave enough time for closing so that we are not rushed, since this
might create the impression that we are evicting the interviewee.

• Skills in bringing the session to a close

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 a. Setting time limits and giving 10-minute warning – encourage the client to bring
up and remain focused on high-priority concerns.

“Before we begin I want to remind you that we can talk until 4:00 PM. I say that
because I want to make sure that we use our time to discuss issues that are of
greatest importance to you.”

“I just noticed that we have about 15 minutes left until we need to end this
session. Have we gotten to all the topics you wanted to discuss or is there
something else that you wanted to talk about today?”

b. Skill in looking ahead to the end – designed to remind the client of a planned
ending for the intervention so that the best possible use can be made of the
remaining sessions.

“When we began meeting a month ago, we agreed to meet for eight times. We
have three sessions left. Let’s discuss what remains to be done so we will use
those three sessions to focus on your high-priority concerns.”

• Guidelines on how to terminate an interview (by Alfred Kadushin)

a. Preparation for termination begins with the very beginning of the interview.

b. The interviewee should be informed explicitly at the beginning that a definite

period of time has been allotted for the interview, that she is free to use some, or
all, of this time but that going beyond the time limit is clearly discouraged.

c. Unless an unusual situation develops it is understood that the interview will

terminate at the end of the allotted time.

o When the allotted time is nearly up, the interviewer may inform the
interviewee by saying something like: “Well, our time is just about up. Is
there anything you’d like to add before we look at where we have arrived,
and where we now go from here?”

d. It is often helpful to summarize what was discussed at the end of the interview.

o If the interview focused only on exploring the client’s problems, another

interview should be set up for fuller exploration and to begin looking at
alternatives.

e. Give clients “homework” assignments between interviews.

o Example: A couple who is having trouble communicating with each other

might be encouraged to set aside a certain amount of time each evening to
discuss their personal thoughts with each other. At the next interview, this
“homework” assignment is then reviewed.

f. Ideally, the interviewee should be emotionally at ease when the interview ends;
therefore, the interviewee should not introduce emotionally charged content at the
end but should seek a reduction in intensity of emotion.

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 g. If an interviewee displays a reluctance to end the interview, it is sometimes
helpful to confront this directly by saying, “It appears to me that you wish we had
more time.”

o The reasons for the interviewee’s reluctance can then be discussed, and
perhaps another appointment made.

h. A short social conversation at the end can be useful because it provides a

transition out of the interview.

i. Styles of closing an interview

(1) Close the interview with a restatement of the way both the interviewer and
interviewee agreed to proceed, e.g., “I am glad you have decided to have the
pregnancy test. If it’s positive, give me a call so we can arrange another time
to further discuss the options we briefly talked about here.”

(2) Make a more explicit summation of what was discussed, what decisions were
arrived at, what questions remain to be resolved, and what actions will be
taken.

(3) Ask the interviewee to summarize the decisions s/he arrived at during the
interview and what actions s/he now intends to take.

(4) Concerns that were alluded to but not fully discussed, might be mentioned as
topics that will be discussed at the next interview.

J. Skills in Terminating/Ending the Client-Worker Relationship

• Reasons for ending the client worker relationship:

1. Their work together is finished.

2. The social worker must transfer the client to another professional
3. The client decides to terminate for various reasons.

• Skills in termination

a. Sharing ending feelings – voicing feelings about termination.

“I have been thinking about our relationship. Since you came to this agency
in September, we have gotten to know each other very well. I am glad you
are finally able to go home, but I want you to know that I will miss our
discussions and miss your positive, upbeat attitude.”

b. Reaching for ending feelings – refers to worker communication that

encourages the client to express his/her feelings about termination.

▪ These could be negative, positive or a mix of both.

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 c. Reviewing progress – review of what the client and worker have done to
address the client’s concerns.

“Altogether we have been meeting for about four months. A lot has
happened since you were reported for child abuse. You have made some
positive changes in how you deal with your son, Michael. As you think back
over the post four months, what specific changes do you see in your
behavior and attitude?”

K. Note Taking

• This is an integral part of counseling, the purpose of which are:

a. To refresh worker’s memory of past interviews.

b. To record the contracts made with clients.
c. To record information for social histories
d. To share important facts with colleagues
e. To record what has been done or left undone.

• Things to avoid when note taking:

a. Worker must not let note taking interfere with the flow of the interview. Avoid
saying: “I wish you would talk slower, I can’t write that fast.”

b. Do not turn note taking into a cross-examination. e.g., “Let’s see if I got it right, you
state you sometimes think about getting a divorce because you find marriage
confining.”

• How to take notes:

a. Convey to the client that you are relaxed and comfortable with note taking.

b. Do not be secretive about taking notes; this may cause clients to become
suspicious or anxious.

c. Take notes unobtrusively without seeming to shift your attention from the client to
what is being written.

▪ Note taking presents a possible distraction to interview interaction. When a

worker breaks eye contact to make notes, the focus may shift from what is
being said to what has been said.

d. At times, it is important for a worker to record certain kinds of information to

demonstrate an interest in the client.

▪ Such expected information includes certain addresses, names, telephone

numbers, contract goals, and tasks.

e. Do not emphasize the importance of note taking by sitting with a pen and paper
between you and the client, or by recording most of what the clients say.

35
 f. Most experienced interviewers find they often don’t need to make notes during the
interview. Writing down a few key phrases and points after the interview enables
the worker to recall important points.

g. Be honest in taking notes.

▪ If notes taken are to be used for the purpose of research, the worker should
state this at the outset.

▪ In the event that the information gathered cannot be kept confidential, we should
frankly indicate this too.

▪ Do not promise confidentiality if you are not certain that you can provide it.

L. Applying Cultural Competence to Helping

• Culture – a set of shared ideals, values, and standards that make the actions of
individuals intelligible and understandable to the other members of their society.

o Culture shapes the way people make sense out of their experiences, cope with
life’s problems, and negotiate power relationships, both within their own group and
with outsiders.

o One’s culture is the source for what one expects of self and others and one’s ideas
about the way things should be.

o Culture does not create reality but it influences what people believe to be reality.

o A person’s culture is often internalized and so habitual that s/he does not even
recognize its existence and its power in shaping thoughts and behavior

o All people tend to be ethnocentric – they assume that their own way of life is a
reasonable and appropriate standard for judging others.

• Culture, ethnicity and religion influence, child rearing practices, definition of one’s roles
in given situations/circumstances, people’s evaluation of their behavior and those of
others, etc.

• It is important for social workers to also to be aware of their own cultural perspectives,
values and belief systems that may sometimes affect their services to clients.

• Cultural competence consists of a set of congruent behaviors, attitudes and policies

that enable professionals and agencies to work effectively in cross-cultural situations.

• Elements that contribute to culturally competent practice:

1. Value and respect for human diversity.

2. Diligent self-assessment in regard to one’s own or one’s agency cultural

perspectives, values and beliefs.

36
 3. Awareness of the special dynamics that are in play whenever people of different
cultures interact.

4. Develop programs and services that reflect an appreciation and understanding of

the diversity.

• Guidelines for Culturally Sensitive Social Work Practice

1. Strive to learn about the cultural backgrounds of the clients you serve while
recognizing that we can seldom acquire much more than a superficial knowledge
of another culture, especially when language differences are involved.

o A beginning level of understanding can be achieved by:

▪ Interacting frequently with people from that ethnic and cultural group.

▪ Consulting with the leaders of the group.

▪ Attending cultural festivals and religious events

▪ Reading ethnic newspapers and literature

2. Never assume that a client’s cultural background or race will predict his/her values,
beliefs or behavior; always individualize the client.

3. All people struggle to balance and reconcile two sets of beliefs, values, and social
expectations.

o One set consists of the impersonal influences of the dominant culture that are
embedded within a society’s economic, commercial, political, legal and
educational systems;

o The second set is very personal and exists within one’s family and social
network

▪ When these two sets of beliefs, values, and expectations are quite
different for an individual, s/he may be confused or uncertain about his/her
place in society and about what to expect of self and others.

Example: members of an ethnic or religious minority, new immigrants

4. Show an interest in your client’s name, place of birth and home community – these
topics are usually good icebreakers and lead naturally to a discussion of the
client’s cultural and ethnic background.

o Early in the professional relationship, acknowledge the existence of obvious

differences of culture or race as a way of giving the client permission to talk
about these matters and perhaps express concerns about not being
understood.

37
 o Encourage the client to identify important cultural values, beliefs, or customs
that may need to be considered or accommodated in the professional
relationship and service delivery.

o A major obstacle in working cross culturally is that the professional helper and
the client may have quite different notions of what constitutes genuine help
and how a person can be helpful, e.g.:

▪ To some clients, techniques like reaching for feelings or putting the client’s
feelings into words may appear intrusive.

▪ In Asian culture, it is shameful to discuss a personal problem with

someone from outside the family.

▪ Some people expect a helper to offer advice and tangible forms of

assistance and may feel confused by a professional using nondirective
counseling and the techniques of active listening.

▪ Discussing a personal problem with a professional who is from the

dominant group may be particularly difficult for a person who is from a
minority and oppressed group

▪ Behaviors motivated by religion, family obligation, and sex roles are

frequently misunderstood or misinterpreted by professional helpers

▪ The worker should be cautious about using techniques such as reaching

for feelings, confrontation, and supporting the client in taboo areas.

o Most common errors made in cross-cultural helping:

▪ Overlooking client strengths,

▪ Misreading nonverbal communication,
▪ Misunderstanding family dynamics.

5. Because members of many ethnic minority groups have experienced

discrimination, it is to be expected that they will be somewhat distrustful of
professionals and the agencies that represent and reflect the beliefs and values of
the dominant groups in society.

o They will enter the helping relationship with caution as they size up the worker.

o They may evaluate the worker’s trustworthiness by asking, directly or

indirectly, about her/his life experiences, family, children and opinions

o Worker must respond to these probes with honest, non-evasive answers.

o Home visits may help the worker build trust.

6. Be aware that an extended family structure is common to many cultures and ethnic
groups.

38
 o Members feel a strong obligation to assist and support other family members.

o The misbehavior of a member brings shame to the whole family

o Typically, elders are held in high esteem, command deference and respect,
and exert much influence on the decisions and actions of other family
members.

7. Adapt social work practice to client’s religious beliefs and spirituality.

o A client’s ethnicity, culture and religion are interwoven.

o Ignoring a client’s spirituality, religious beliefs and moral code may result in:

▪ Failure to accurately assess the client’s situation,

▪ Overlooking resources that could prove helpful to the client.

8. Clients who experience difficulty with society’s common language should be asked
if an interpreter would be helpful.

o If you will be working with many people who speak another language, strive to
learn as much of that language as possible.

o Make an effort to speak some of the client’s language; doing so will be viewed
as courtesy and respect for the client’s native language and culture.

9. Societal or systemic problems (poverty, unemployment, poor housing, lack of

access to health care, etc.) bring ethnic minorities to agencies more often than do
psychological problems.

o The provision of concrete services and the practitioner roles of broker and
advocate are of special importance.

Unit Five: Social Work Documentation

https://www.naswpress.org/publications/clinical/inside/social-work-documentation-chapter.html
http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.680.7771&rep=rep1&type=pdf
Documentation in Social Work: Evolving Ethical and Risk-Management Standards by Frederic G. Reamer, Rhode Island College
http://www.freepatentsonline.com/article/Journal-Social-Work-Education/54868329.html
Sidell, Nancy L. (2011). Social work documentation: a guide to strengthening your case recording. USA: NASW Press.
U.S. NASW Code of Ethics guidelines 1996

A. Documentation

• The accumulation, classification, and dissemination of information

Oxford English Dictionary

• Information used to support an effective and efficient organizational operation.

o A document consists of any information you use to run your company.

39
 o Documents originate in the planning phase of the Plan, Do, Check, Act, cycle of
the process approach.

o Since documents are planning material, they are subject to change (under the Act
phase); as we obtain more information (Do phase); and compare those
informational or data records (Check phase) to our original plan.

• Documentation in social work is:

o A communication tool with which social workers record their work;

o The means by which cases are managed; and

o The manner in which services are evaluated, assessed, and often reimbursed.

o A required professional social work function, a permanent record of client service

provision.
NASW, USA

• Difference between documents, records and reports:

o Documents are created by planning what needs to be done; documents can

change

o Record is an item of information; a document stating results achieved or providing

evidence of activities performed. Records don’t (must not) change.

o Report is a piece of information describing, or an account of certain events given

or presented to someone; to relate details of an event or incident; to recount,
describe something.

B. Contemporary Functions of Documentation

• The profession has come to recognize the usefulness of documentation for risk
management purposes in supervision, management, and administration.

• Documentation in social work—whether it concerns clinical, supervisory,

management, or administrative duties—now serves six primary functions:

1. Assessment and planning

o Careful and thoughtful information collection ensures that social workers have an
adequate foundation for their clinical reasoning and intervention plans.

o The data provide a reliable source of measuring performance and outcomes.

o Incomplete records may lead to inadequate planning and intervention, critical

judgment errors, and poor outcomes for clients.

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2. Service delivery

o Necessary for competent delivery of clinical, community-based, and agency-

based services and interventions.

o Thorough documentation provides a solid foundation for practitioners' efforts to

design and deliver high-quality services.

3. Continuity and coordination of services

o Facilitates professional and interdisciplinary collaboration and coordination of

services, e.g.:

▪ Social workers employed in hospital, school, and correctional settings often

need to share their observations and coordinate services with professionals
in other disciplines, such as doctors, nurses, counselors, teachers, and
administrators.

▪ In clinical settings, documentation ensures that staff members have up-to-

date details concerning clients' needs.

▪ Administrative records facilitate coordination among supervisors, managers,

and administrators in programs and agencies.

4. Supervision

o Supervisors, as well as administrators and agencies, can be held liable for the
errors and omissions of their staff if there is evidence of flawed supervision.

o Thus, it behooves social work supervisors to carefully document the supervision

they provide.

5. Service evaluation

o In addition to facilitating clinical evaluation in individual cases (so-called single-

case or N = 1 designs), records also provide essential data for broader program
evaluations

o Measured outcomes and program effectiveness are central to social work. At

their core lie data and information recorded throughout the case management
process.

o Social workers must strive to continually strengthen their record-keeping

practices to maintain the integrity of their programs.

6. Accountability to clients, insurers, agencies, other providers, courts, and utilization

review

o Accountability client requests, insurance contracts, interagency collaboration,

litigation, licensing board and ethics committee oversight, and utilization review
bodies periodically require social workers to include fine-grained details about the

41
 services they provide, the meetings they attend, the supervision they offer, and
the consultation they obtain.

o These new demands clearly illustrate the fit of documentation for accountability
purposes.

C. Ethics in Documentation

1. Client Records:

a. Social workers should take reasonable steps to ensure that documentation in

records is accurate and reflects the services provided.

b. Social workers should include sufficient and timely documentation in records to

facilitate the delivery of services and to ensure continuity of services provided to
clients in the future.

c. Social workers' documentation should protect clients' privacy to the extent that is
possible and appropriate and should include only information that is directly
relevant to the delivery of services.

2. Access to Records

a. Social workers should provide clients with reasonable access to records

concerning the clients.

o Social workers who are concerned that clients' access to their records could
cause serious misunderstanding or harm to the client should provide
assistance in interpreting the records and consultation with the client
regarding the records.

o Social workers should limit clients' access to their records, or portions of their
records, only in exceptional circumstances when there is compelling
evidence that such access would cause serious harm to the client.

o Both clients' requests and the rationale for withholding some or all of the
record should be documented in clients' files.

b. When providing clients with access to their records, social workers should take
steps to protect the confidentiality of other individuals identified or discussed in
such records.

2. Privacy and Confidentiality

a. Social workers should protect the confidentiality of clients' written and electronic
records and other sensitive information.

b. Social workers should take reasonable steps to ensure that clients' records are
stored in a secure location and that clients' records are not available to others
who are not authorized to have access.

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 c. Social workers should store records following the termination of services to
ensure reasonable future access.

d. Records should be maintained for the number of years required by state statutes
or relevant contracts.

D. When to document

• Documentation should occur in a timely way, to ensure appropriate delivery of

services.

• The shorter the time between service provision and documentation, the better.
Workers should strive to keep as current in documentation as possible.

E. What to document

• Records should be concise to save resources and to protect the client’s privacy.

• They must be inclusive enough to facilitate service delivery, meet accountability

standards, and afford legal protection to the practitioner and the agency.

o Often, new social workers err on the side of recording everything that transpires
during an interview – sometimes referred to as overdocumentation.

▪ The ability to summarize the significant information and leave out extraneous
detail is important.

▪ Record adequately yet with an eye toward others who may need to examine
the record, such as the client or the court system.

1. Understand the purpose for which services are provided.

o Items should be selected for documentation on the basis of whether they are
directly related to that purpose.

2. The therapeutic interventions used in the interaction will also provide guidance in
choosing items to record.

o The modality used guides the social worker to focus on particular areas in the
client’s treatment.

o This is also a basis for selection of appropriate documentation content.

3. Social workers are encouraged to take care to:

o Report only essential and relevant details

o Refrain from using emotive or derogatory language
o Acknowledge the basis of professional opinions
o Protect clients’ privacy and that of others involved.

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F. What NOT to document

• The following materials should not be included in case records:

1. Information that could be embarrassing to the client or worker.

2. Extraneous material that has no impact on services.

3. Information that could be misinterpreted by other readers such as relatives,

attorneys, and other professionals.

o This includes discussion of others not pertinent to services,

o Sensitive information (such as sexual fantasies)

o Past behaviors that have no present bearing on services.

o The social worker’s personal opinions and feelings about the client or the
topic under discussion should not be noted (the records focus on the client,
not the worker).

• When to write more:

1. When something unusual or complex occurs.

2. New plans or decision about treatment are made.

3. Important or new information is obtained.

4. Situations that are potentially dangerous (either to the client, social worker, or
another) are discussed.

5. An emergency exists.

6. Difficulties in providing optimal treatment occur (e.g., failed appointments).

Unit Six. Record and Recording

Alle-Corliess, Lupe and Randy (1998). Human Service Agencies
Suanna J. Wilson (1986). Field Instruction: Techniques for Supervision
Suanna J. Wilson (1980). Guidelines for Social Workers

A. Definition of Terms

1. Record – an account in written or other permanent form serving as a memorial or

authentic evidence of a fact or event.

• Records are the basis for reports.

2. Recording – the act of making a record

44
 • Recording is integrally related to social work practice. It is a task that consumes a
significant proportion of social workers' time.

• In the simplest terms, case records document who did what and why they did it.

• A written accurate record may be achieved through careful observation, the

worker’s perception based on his/her knowledge relating to the problems, and
skill in interviewing.

• Every worker has a responsibility for record keeping.

B. Purposes of Recording

1. For agency administration

• Case records have become increasingly important measures of accountability

and organizational and professional effectiveness.

• Records ensure that clients receive adequate and appropriate services, assure
case continuity, and provide a means for administrative monitoring.

• Case records provide agency administrators with information necessary for

management and resource planning.

• The record provides clinical, legal, and ethical accountability to the client, the
organization, and the profession. It documents that the agency and the worker
met expected standards of care.

• Records are used to plan, implement, and evaluate services to clients and may
provide part of a practitioner's legal defense.

2. For social work practice

• Recording is integrally related to social work practice. It is a task that consumes a

significant proportion of social workers' time. Few social workers regard recording
with enthusiasm. Indeed, many view writing as their most difficult task.

• Purposes of Recording in Practice

a. They are tools for diagnosis, assessment, treatment planning, ongoing

monitoring of services to clients, and could be considered legal documents.

b. They may be used for teaching and supervision, for interprofessional

communication, and to improve practice skills.

c. Decisions about granting or withholding benefits are based on case records.

Courts and social service agencies use case records to determine eligibility
for benefits and for such crucial decisions as removing children from parental
custody.

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C. Characteristics of Social Work Records

1. Focus on service delivery

2. Include assessments that are objective, comprehensive and fair.
3. Focus on information needed to provide services.
4. Include the client’s role in the process.
5. Identify cultural factors that may influence outcomes.
6. Be written as if the client and others involved in the case have access to it.
7. Be organized, current, and well written.

D. Content of Recording

• Although social workers may differ about the specifics of good recording, there
appears to be agreement that the information in case records should be:

o factual,
o objective,
o relevant,
o well-written, and
o accurate.

• The content of case records has changed over time.

o Today's record concentrates more narrowly on "the definition and remediation of

a specific problem or need.”

o It focuses primarily on four components:

▪ need for service/diagnosis;

▪ service goals and plans;
▪ service activities/treatment; and
▪ service impact/ outcome

E. Types/Styles of Recording

1. Process Recording

• An effective way of monitoring student interviews

o Used as a teaching devise, but not as part of a formal case record

o When a student process records, s/he will also need to prepare an appropriate
summary entry for the case record.

• It requires that the student write down, as best as s/he can remember, everything
that took place in an interview, including everything said by both the worker and the
client.

• Nonverbal actions should also be described

46
 o Some students attempt to summarize or paraphrase what each person said.

▪ This is not effective, as the recording will not show how the student
communicated her/his ideas or exactly what the client said in response.

▪ The student may be omitting things s/he considers insignificant.

• It is not a mere verbatim account of the interview

o Students need to be aware of the feelings they experience as they interact

with clients.

o Students must record their gut level feelings parallel to the interview they are
reporting.

• It helps deepen the awareness of students – helps students identify judgmental

attitudes, counter-transference, over identification, and loss of objectivity, normal
human feelings, etc.

• It gives the field instructor an opportunity to comment on each remark made by the
student and the client.

• Process recording can also be done in conjunction with taping to help students
recall the interview.

• Information that should go into process recording:

a. Identifying information

o Name of worker/student
o Date of interview
o Client’s name and case number
o Number of interview (1st, 2nd, 3rd, etc.)

b. Word by word description of what happened

I told Mr. Garcia: “In order to find out what kind of work you might be able
to do, you will be seen by the psychiatrist as well as the physician.”

Mr. Garcia said: “Psychiatrist? What do you mean?”

c. A description of any action or nonverbal activity that occurred

I invited Mr. Garcia into my office and asked him to sit down. He did sop
slowly and just sat there staring at the floor.

W: “How are you feeling today, Mr. Garcia?”

It took him a long time to answer but he finally raised his head and looked
at me and said:

47
 C: “I feel terrible.”

Before I had time to say or do anything, he rose up out of his chair, started
pacing around the room and shouted:

C: “There is nothing wrong with me mentally. I don’t need to see a

psychiatrist!”

d. A description of the student’s feelings and reactions to the client and to the
interview as it takes place.

o This requires that the student put into writing his/her unspoken thoughts
and reactions as the interview is going on.

e. The worker’s observations and analytical thoughts regarding what has been
happening during the interview.

I was a little puzzled and wondered what to do next. I didn’t know whether I
should let him shout and get it out of his system or whether I should try and
calm him down. I was curious why he was getting so upset but I didn’t dare
ask him any questions because I was afraid of getting him even more
upset.

f. A diagnostic summary or paragraph on the “Worker’s Impressions” at the end

of the process recording.

o Worker should summarize his/her analytical thinking about the entire

interview s/he has just recorded.

g. “Social Service Plan,” “Casework Plan,” or “Treatment Plan” immediately

following the diagnostic summary statement.

o This should indicate the worker’s and client’s goals for further social
service contacts.

Process Recording Format

Supervisor’s Interview Content Student’s Gut Analysis
Comment Feeling
The student records word for word The recorder puts This column
what happened during the interview, down feelings s/he encourages the
including both verbal and nonverbal was aware of as the student’s
communication. dialogue was taking diagnostic skills
place by providing a
Be certain to include 3rd person place for
participants, interruptions, and other e.g., “I feel anxious.” recording her/his
occurrences that were not part of the interpretations
planned interview. Do not use this while also forcing
column to analyze the student to
the client’s separate her/his
reactions – use it to own feelings from
identify and look at professional

48
 your own feelings. assessment.

Be open and honest

as you can and don’t
worry about having
to use any
professional
language – tell it as
you feel it.
Worker’s Impressions

Casework Plan

2. Summary Recording

• A brief statement or account covering the substance or main points of a case.

• The substance or general idea is presented in a brief, concise and condensed

form.

a. Occasions when summary recordings are required

(1) When a new case is opened.

(2) A case is transferred from one social worker to another or from a member of
one profession to another in an interdisciplinary setting.

(3) New information is learned that needs to be entered into the record.

(4) Something happens that changes the worker’s diagnostic assessment of the
situation and/or results in a revised treatment plan.

(5) A case is transferred from one social worker to another or from a member of
one profession to another in an interdisciplinary setting.

(6) New information is learned that needs to be entered into the record.

(7) Something happens that changes the worker’s diagnostic assessment of the
situation and/or results in a revised treatment plan.

o The following data should be recorded whenever disclosures are made

from case records:

▪ Date the disclosure was made

▪ Person/Agency receiving the information
▪ Description/Copy of the information that was released
▪ Exact purpose of the disclosure (i.e., how the receiving agency will
use it)

49
 ▪ Limitations placed upon the receiving agency specifying what they
can and cannot do with the material.
▪ Copy of the “Permission for Release of Information” signed by the
client.

(8) At the time a case is closed.

b. Comparison between Summary and Process Recording:

(1) Interview content is summarized in summary recording.

o It leaves out “I said,” “He said,” and does not repeat word for word what
the worker and client said during the interview.

(2) The main focus in summary recording is on the client.

o There is not much reference to what the worker says and does.

o Worker includes her/his observations, feelings, and analytical thoughts

under a special heading such as “Diagnostic Summary,” “Worker’s
Impression,” or Assessment.

(3) Irrelevant details are omitted and even pertinent material is recorded in a much
briefer style.

(4) The summary recording describes the outcome but usually not all the steps
the worker went through to accomplish the results.

(5) Summary recorded interviews are not presented in chronological order.

o The content of the interview or series of interviews is described under

various subject headings.

c. Content of Summary Recording Entries

(1)The full name of the client, including any known aliases

(2)Identifying number of the client
(3)Date of interview
(4)Date recording was written
(5)Name of worker
(6)Purpose of the interview
(7)Content – what occurred during the interview
(8)A description of any problem area identified by the social worker and/or client
(9)Description of any services provided by the worker
(10) The worker’s professional, analytical assessment of the meaning of what has
occurred during the interview, usually under a heading such as “Worker’s
Impressions,” or “Diagnostic Summary.”
(11) Plans (goals of intervention) for future contacts or follow-up – these are often
described under the heading “Service Plan,” “Treatment Plan,” or “Goals.”

d. Techniques of Summary Recording

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 (1) Keep in mind the purpose of all recorded entries (Why am I writing this?
Who will read it?)

o Keep entries focused and to the point.

o Answer the presenting problem or record the key elements of a situation

by including significant, relevant information.

(2) Make certain the name of the recorder is legible.

(3) Record exact dates (e.g., August 10, 2018) rather than time periods (e.g., in
about ten days).

(4) Be as brief as possible and as long as necessary to include everything

required to achieve the main purpose of the recording – concentrate on
achieving quality.

(5) Do not repeat what had been said previously.

(6) Make subheadings for paragraphs whenever possible to make it easier for
the reader to get the information s/he needs quickly.

(7) Avoid paragraphs that run a full page or more.

(8) Avoid uncommon abbreviations, symbols, or social jargons, especially when

making entries in a record that is read by members of other disciplines.

(9) Always give the source of information when recording such materials as
diagnostic labels applied by members of other discipline, highly significant
social or factual data, etc.

o Distinguish among the social worker’s impressions, the assessment of

other professionals, and information obtained from the client or
significant others.

(10) Avoid highly subjective words such as large, overweight or poor housing
when describing persons or situations.

o Instead, estimate the client’s weight or write descriptive data about the
situation.

(11) Be very careful in the use of diagnostic labels such as alcoholic or mentally
challenged.

o Instead, say: “The client appears to drink heavily, consuming 8 to 10

cans of beer nightly.”

(12) Do not be afraid to say “I do not know” in writing – many workers tend to
avoid mention of an area in their recording when they feel uncertain as to the
meaning of what was said or observed.

51
 (13) Make certain that subsequent entries explain the outcome of all recorded
plans or goals – avoid leaving the reader hanging with incomplete recording.

(14) Use summary recording to describe more than one contact with the client.

(15) Avoid recording too much “process.”

(16) Recording must be kept current and complete enough for the worker’s
supervisor or another staff member to pick up where the recorder left off
should s/he be absent unexpectedly.

e. Types of Summary Recording

(1) Intake Summary – this is prepared following an agency’s first contact with a
client or person seeking services in a client’s behalf.

o Purposes

a. To permit the voluntary client to express his/her needs as s/he sees

them and to state what s/he wants from the agency/worker.

b. To enable the worker to explain the services the agency has to offer
and to discuss the reason for contact with a client who did not seek
the agency’s services but was referred by someone else.

▪ Basic identifying data and social history information, especially as

it pertains to the presenting problem are gathered.

▪ Both worker and client determine if the agency can meet the
client’s needs.

▪ Decision is made as to whether there is a need for further contact

and by whom.

▪ Roles are defined – this could include discussing fees, scheduling

appointments, and other basic terms.

▪ The intake worker may pass the case on to a social worker or

member of another discipline who will provide ongoing services.

▪ Following the intake interview, the worker does a diagnostic

assessment of what was learned and observed and makes
recommendation for further treatment and/or services.

o Format of Intake Summary

▪ Client’s name, address, phone number, identifying number

▪ Other persons the worker may have talked with as part of the intake
process; their names and relationship to the client

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 ▪ Presenting problem
▪ Summarized description of background and social history
information related to the presenting problem
▪ Nature and/or pattern of previous contacts with the agency, if any
▪ Diagnostic summary statement
▪ Treatment Plan
▪ Disposition indicating the specific outcome, e.g., “The case is being
transferred to Maria Cruz for continuing casework services . . .” or
“Case is closed because . . .”

(2) Transfer Summary – prepared when the case must be transferred from one
worker to another.

o The transferring social worker should always explain to the client that a
change in workers will be occurring and prepare the client for this process.

o The departing social worker should introduce the new worker to the client.

o The departing social worker should review what s/he and the client have
been working on and involve the new worker in setting goals for continued
services.

o The new social worker must be able to move in quickly and establish
rapport with the client.

o Format of Transfer Summary

▪ Client’s name and identifying number

▪ Worker’s name and date the transfer is being written
▪ Reason for and date of the initial involvement with the client by the
worker/agency
▪ If case has been opened and closed several times in the past, a
brief summary of the dates and reasons for the openings and
closings should be given
▪ Presenting problem at the time the case became active
▪ Description of the services provided
▪ Description of the client’s current situation
▪ Diagnostic summary
▪ Discussion of any pending treatment plan
▪ Reason for the case transfer, name of the person to whom the case
is being transferred and effective date of the transfer
▪ Indicate whether the client is aware of the transfer

(3) Closing Summary – prepared when an active case is being closed.

o This document is important when the client contacts the agency at a later
date and the case is reopened.

o The official closing summary often forms the basis for summaries to other
agencies and a starting point for intake workers in the same agency that
may have contact with the client at a later date.

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 o Closing Summary Format

▪ Clients name and identifying number

▪ Worker’s name and date the closing summary is being written
▪ Reason for and date of the initial involvement with the client

• If a case has been opened and closed several times, a brief

summary of the dates and reasons for these openings and
closings should be given

▪ Presenting Problem at the time the case was being opened

▪ Case activity or Services Provided
▪ Description of the client’s situation at the time of the case closing
▪ Diagnostic Summary Statement

• It is important to mention any unresolved problems remaining at

the time of the case closing and give the indication of why these
problems persist.

▪ Reason for and date of the case closing

(4) Diagnostic Summary – an analysis of what the worker knows about the client
and his/her situation.

o A good diagnostic summary analyzes why things are the way they are
with the client and focuses on feelings and attitudes of the client,
significant others in his/her life and the views of the worker regarding the
case situation.

o All professionally trained persons engaged in a helping capacity with

clients should learn to put into writing their professional opinions about
and analyses of the facts and information gathered.

▪ What the social worker thinks about a client and his/her situation
determines what treatment plans are made.

o Occasions when diagnostic summaries are made:

▪ A case is opened,
▪ Reopened,
▪ Transferred,
▪ Closed
▪ When a significant change occurs in the client’s situation and/or the
worker’s or client’s perceptions of needs and problems.

o Occasions when diagnostic summaries are omitted:

a. Information is being released to a setting that does not need in-depth

diagnostic material to provide a service and/or does not employ staff
trained to interpret diagnostic statements.

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 b. If it is known or suspected that a given case is of legal interest and
stands a greater than average risk of being subpoenaed by the
courts, highly sensitive diagnostic material should be withheld unless
the worker feels it would be essential to his/her own defense (if s/he is
the defendant) or for serving the client’s best interest.

c. If the client has access to the record and his/her viewing certain
diagnostic material would have a negative effect.

o Contents of a Diagnostic Summary

(a) The problems and needs as seen by the client

• No matter how unrealistic or incomplete they may sound to the

worker, the needs as seen by the client must be recorded.

• If the client states that s/he has no need or problem, this should
also be recorded.

(b) The needs/problems as seen by the worker

▪ This may not always be the same as what the client says.

▪ The social worker should point out any differences between

worker’s feelings and those of the client and indicate what the
worker feels are the real needs of the client.

▪ The social worker’s understanding of the psychodynamics of

human behavior is crucial to achieving depth in analysis of
meanings hidden behind the client’s statements and nonverbal
actions.

(c) The client’s feelings about his/her situation

▪ Use adjectives that best describe how the client is responding to

her/his needs and situation, e.g., depressed, unmotivated,
ambivalent, worried, accepting, striving, confused, etc.

Feelings Adjectives
Anger Furious, outraged, resentful, wrathful, exasperated,
indignant, vexed, acrimonious, annoyed, irate,
hostile, angry
Sadness Grievous, sorrowful, gloomy, melancholy, lonely,
dejected, despairing, sad
Fear Anxious, apprehensive, nervous, concerned,
dismayed, confused, wary, edgy, dreadful,
frightened, panicky, afraid
Enjoyment Happy, hopeful, relieved, contented, blissful,
delighted, amused, proud, thrilled, rapturous,

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 satisfied, euphoric, ecstatic, enjoyable
Love Accepting, friendly, trusting, kind, attracted, devoted,
delighted, loveable
Surprise Shocking, astonishing, amazing, wonderful,
marvelous, surprising
Disgust Contemptuous, disdainful, scornful, abhorrent,
averse, distasteful, repulsive, loathsome
Shame Guilty, embarrassing, chagrined, remorseful,
humiliated, regretful, mortified
Sexual feelings Attractive, stimulating, exciting, orgasmic

▪ Why do you use these adjectives?

▪ Does your client say one thing but you think s/he really feels
differently? If so, say so and why.

▪ If for some reason you do not know or are unable to determine your
client’s feelings and attitudes about her/his situation, indicate this.

• It is perfectly acceptable for a social worker to say “I do not know”

as part of a diagnostic summary.

• The fact that we cannot pinpoint what is happening is often as

important to record as would be a specific explanation or analysis
of a situation

(d) The appropriateness of the client’s feelings and behaviors.

▪ Are they appropriate or inappropriate in view of the crisis or

situation the client is facing?

▪ Are the feelings exaggerated or unexpectedly absent?

(e) Efforts the client has made to solve her/his problem.

▪ Has the client done anything to try to resolve the problems or

needs s/he has presented to you?

▪ What do you think about these efforts – are they realistic or not?

▪ Have they been effective?

▪ What else might the client do to solve or alleviate the problem?

o What the diagnostic summary is NOT:

▪ It is not a statement of facts – it is reserved for analytical statements,

not a description of facts.

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 ▪ It is not a repetition of information about the client and his/her
situation that has already been stated under other headings in the
recording.

▪ It is not a catchall place to write things the worker forgot to include in

the earlier parts of the recording.

• If necessary, provide a special “Miscellaneous” heading at the

end of the recording and describe whatever factual information
was omitted; do not clutter up the recording with this material.

F. The Treatment Plan

• The treatment plan describes the ideal manner of meeting each of the needs described
in the diagnostic summary

o Do not develop a treatment plan that is impossible to accomplish because of

limitations on the part of the client, the resources, the worker or other essential
participants.

o The worker must train him/herself to think consciously of the differences between
the ideal treatment plan and the one that can probably be accomplished.

o Treatment plans must include reality factors that may or may not make the plan
workable.

o The review of the idealistic plan will force the worker to come up with new ideas
and resources that s/he would not otherwise have discovered.

o If we do not keep in mind the ideal approaches, we will not have a standard or a
goal to strive for in our professional practice and the quality of services will suffer.

• Describe specifically what you, as the worker, plan to do to help the client meet the
needs and problems you and s/he have identified under the diagnostic summary.

• Briefly describe the client’s willingness and ability to carry out the treatment plan.

• Describe any progress (or lack of it) since the last treatment plan was written.

• Conclude with a statement of what is going to happen to the case (if anything) as a
result of the analysis of the current problems and needs and the proposed treatment
plan.

G. The Changing Focus of Recording

• The focus and methodology of recording are changing as a result of technology,

perceived threats of malpractice, and a practice environment in which the needs of
practitioners, administrators, funding sources, and clients often conflict.

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 • At the same time, a number of issues, including concerns about privacy, style, and
content, remain unresolved.

• The focus of social work records has changed from analyzing the intervention process
to documenting the results of specific actions.

• The growing emphasis on accountability and effectiveness may be undermining the

case record's most important historical function – documenting clients' treatment.

• Many agencies are currently attempting to simplify the structure of case records by
using brief recording outlines in cases involving only information and referral or
uncomplicated discharge planning.

o For cases that require extensive documentation, agencies are developing outlines,
checklists, or brief forms to shorten or replace lengthy, detailed narratives.

o These formats limit space and specify what is to be recorded.

o What they may not take into account, however, is the client as a source of
important information or the interrelatedness of problems.

• Technology and Recordkeeping

o Social service agencies began using computer technology for administrative

purposes in the mid-1960s. Computer use grew with increased demands for
accountability in the 1970s.

o Social service agencies now use computers for many business and management
functions, client tracking, support for decision-making, caseload management, and
case records.

▪ Technology has the potential to simplify recordkeeping and improve efficiency.

The computer's capacity to handle data and oversee professional activity can
aid in case management.

▪ Computerized recording systems can remind practitioners to collect required

information and enable social workers "to continuously log relevant
information.”

o The introduction of computer technology into social work does raise ethical
concerns about privacy and potential misuse and fears that it will dehumanize the
client-practitioner relationship.

EXERCISE: Introducing Yourself

Goal: To give the students the opportunity to practice the skill of introducing themselves.

Step: You are a social worker at a nursing home. A family member (who you have not yet
previously met) of a resident wants to discuss something with you.

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Write the words you would say to introduce yourself – with using some small talk, and also
inviting the family member to have a seat in your office.

EXERCISE: Introducing Yourself When the Interview is Interviewer-Initiated

Goal: To give the students the opportunity to practice the skill of introducing themselves while
starting the purpose of the interview.

Step: You are a probation office for XYZ Center. Joanna Reyes, age 15, has recently been
arrested by the police for shoplifting. Joanna has not yet appeared in juvenile court. This is
your first meeting with Joanna.

The purpose of your meeting is to begin to get information from Joanna regarding her views of
what happened and background information about her and her family. This information is
needed so you can begin to compile your recommendation to the juvenile court about whether
Joanna should be placed on juvenile probation or should be offered an opportunity to attend a
juvenile diversion program (which consists of one-hour group meeting each week for 10 weeks
with other first-time juvenile offenders)

Write the words you would say to introduce yourself, to invite Joanna to have a set in your
office, and to state the purpose of this first meeting.

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