Assessment Tools. for the Alaskan Core Competencies. Version 1.0 January 2011. A Project of Alaska s Committee on Workforce Competency

Assessment Tools for the Alaskan Core Competencies A Project of Alaska s Committee on Workforce Competency Version 1.0 January 2011 Developed through a Collaboration of The Alaska Mental Health Trust Authority The State of Alaska Department of Health and Social Services The University of Alaska The Western Interstate Commission for Higher Education The Annapolis Coalition on the Behavioral Health Workforce

Electronic copies: Available for download at www.mhtrust.org (select Focus Areas and Workforce Development ) or at www.annapoliscoalition.org (select Alaskan Core Competencies ). For additional information contact: Michael Hoge at michael.hoge@yale.edu (203-785-5629) or Mimi McFaul at mmcfaul@wiche.edu (303-541-0288). To submit feedback: Go to www.annapoliscoalition.org and click on the link to the Alaskan Core Competencies. Your comments, questions, and recommendations for future revisions are encouraged. Recommended citation: M.A. Hoge and M. McFaul. Assessment Tools for the Alaskan Core Competencies. Anchorage, AK: The Alaska Mental Health Trust Authority, 2011. 2011, The Alaska Mental Health Trust Authority, The Western Interstate Commission for Higher Education, and The Annapolis Coalition on the Behavioral Health Workforce Cover photos from bigstock 2

Table of Contents Introduction... 5 Quick Reference Guide Alaskan Core Competencies...9 Collaborative Competency Building...11 Employee Self-Assessment... 13 Skill Building Plan... 17 Logbook... 21 360 Degree Feedback... 41 Performance Review... 45 Portfolio Guide.....49 3

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Introduction Overview There has been growing concern about the knowledge, skills, and abilities of direct care workers who deliver a large portion of all health and social services, yet often receive relatively little training, supervision, or support. A group of Alaskans focused on this issue have been working together to strengthen this sector of the workforce by building a range of tools that can be used to help train, supervise, mentor, and evaluate direct care workers. The first step in this process was to develop the Alaskan Core Competencies for Direct Care Workers in Health and Human Services. Released in 2010, the report identifies 10 broad competency categories that contain a total of 42 individual competencies. Each competency is defined by clear behavioral descriptors. This document contains a set of newly developed tools for assessing the competencies of direct care workers. A Collaborative Competency Building approach is described, emphasizing cooperation between direct care workers and their supervisors in using these tools to strengthen the workers skills. Six assessment tools are provided to support this collaborative approach. These include: an Employee Self-Assessment; Skill Building Plan; Logbook; 360 Degree Feedback form; a Performance Review; and a Portfolio Guide. The following paragraphs provide background on this competency initiative and an introduction to the assessment approach and assessment tools. The sections that follow the introduction contain the Collaborative Competency Building summary and each of the six assessment tools. This document, as well as the individual assessment tools, is available for download at www.annapoliscoalition.org (click on Core Competencies). The Direct Care Workforce The direct care workforce is the face of health and human service systems for millions of Americans and families dealing with mental health problems, substance use conditions, medical illnesses, developmental delays and disabilities, and social stressors. Direct care workers are known by many names, including direct service worker, direct support worker, direct support professional, and paraprofessional, to name just a few. In terms of educational background they may have a high school diploma, GED, or a college certificate. With relatively little formal preparation and often without much supervision and support, they are routinely asked to provide care to individuals and families facing complex and serious problems. Strengthening the Workforce through Competencies There is increasing recognition of the critical role of direct care workers in health and human service systems. With this recognition has come greater understanding of the need to improve the training and preparation that individuals receive for these demanding jobs. The traditional approach to training has been to provide information, largely through didactic lectures. Research has shown that this has little effect on what workers actually do. A much stronger approach involves identifying the competencies that workers must have to do their jobs effectively, helping workers build specific skills, and assessing their work to ensure that they truly have the capacity to perform the skills competently. Project Partners and the Committee on Workforce Competency (CWC) The Alaska Mental Health Trust Authority, in collaboration with the University of Alaska and the State of Alaska Department of Health and Social Services, sponsored this effort by creating the Committee on Workforce Competency (CWC). Known formerly as the Credentialing and Quality Standards Subcommittee, the membership of the CWC is a group of approximately 30 individuals who, as a whole, have expertise regarding the diverse health and social service sectors encompassed in this project. The CWC is responsible for guiding the work process and products, ensuring that the needs of direct care workforce, employers, Trust beneficiaries, and the state are addressed. The CWC, with broad stakeholder input, has been engaged in a multi-phased project to 5

build a set of core competencies tailored to Alaska s direct care workforce and to create a set of assessment tools for use by educators and employers in evaluating worker competency. The Trust engaged two organizations to provide technical assistance and staffing to this initiative. The Western Interstate Commission for Higher Education, through its Mental Health Program, brings expertise on rural healthcare delivery and workforce development (www.wiche.edu/mentalhealth). The Annapolis Coalition on the Behavioral Health Workforce is recognized nationally for its role in workforce planning, policy development, and implementation of workforce best practices (www.annapoliscoalition.org). A Cross-Sector Approach Efforts to strengthen the workforce are almost always centered on a narrow service sector that is identified by its focus on persons with a specific illness, disability, or problem. However, the Alaskans who crafted the vision for this initiative believed that there was a common or core set of competencies shared by workers across multiple sectors. This assumption was tested and supported by assembling and comparing existing competency sets from diverse health and social service fields. The workforce sectors included in the development process were: long term care; developmental disabilities; addictions; adult mental health; infant and child mental health; peer support (in behavioral health); child development; traumatic brain injury; and community-based juvenile justice. The competencies are most relevant to work in office, community-based, home, and residential environments, with less relevance to hospital and locked correctional settings. How the Competencies were Developed The Alaskan Core Competencies were developed over a period of two years through a multi-step process. In essence, the Alaskan Core Competencies were created by distilling and integrating the shared competencies from nationally recognized competency sets developed for specific population or disability groups. These were further informed and modified by competencies crafted for practice in Alaska and by the expert opinion of Alaskans who served as project raters. To view and download the Alaskan Core Competencies, please visit www.annapoliscoalition.org. Understanding the Competencies The Alaskan Core Competencies include a total of 10 broad competency categories; the categories are broken down into 42 individual competencies; and then each competency is defined by behavioral descriptors. In general, the Alaskan Core Competencies are basic competencies. Advanced competencies and/or specialty competencies that are unique to only one workforce sector are not covered by these competencies. The competencies and their descriptors focus exclusively on the skills that workers need to be able to perform. While skills may require underlying knowledge and might be enhanced by the attitudes of the worker, the Alaskan Core Competencies are intentionally skill oriented in order force a sharp focus on the ultimate worker behaviors that are desired. The behavioral descriptors in the competency model have three levels. Satisfactory Performance represents the minimum expected level of skill for an employed direct care worker. The Excellent Performance level describes exceptional performance in behavioral terms. The Unsatisfactory Performance level captures some of the most common sub-par, unacceptable, and even harmful behaviors that are often a focus of concern in performance reviews. The majority of the Alaskan Core Competencies are relevant to places and settings outside of Alaska. There are, however, competencies that have special significance for providing care in Alaska and other rural and frontier sections of the country. How to Use the Competencies The Alaskan Core Competencies can be used in multiple ways to strengthen the direct care workforce, as outlined below: f f Continuing education - Service organizations, training providers, and state agencies can review the competencies to identify essential skills that 6

need further development with specific workers or the workforce as a whole. Continuing education can be tailored to address those learning needs. ffa Guide for On-the-Job Learning The Alaskan Core Competencies can serve as a resource for crafting learning activities for direct care workers in order to build their skills. The behavioral descriptors can be used to instruct workers in desirable and undesirable behaviors for a specific task. ffupdating existing training curricula Existing training materials and curricula can be reviewed to determine the extent to which they adequately cover the core competencies. The CWC released a simple tool in 2010 that can be used to crosswalk the Alaskan Core Competencies with the content of a specific curriculum. ffbuilding new curricula Efforts to build any new training course or program can use the competencies as a foundation for curriculum planning. ffperformance evaluations The competencies can be used as the basis of performance reviews for direct care workers. See the performance evaluation template in the assessment tools described in this document. Background on the Assessment Tool Development Phase The assessment tools included in this package were developed specifically for use with the Alaskan Core Competencies. The capacity to assess individual trainees and employees on these competencies is essential for professional development and personnel evaluations. Without practical methods of assessment, it is difficult to determine the capacity of employees to perform their duties. With oversight from the CWC, project staff identified best practices used nationally in evaluating individual competence. Based on this information, the assessment tools were tailored to the Alaskan Core Competencies. To the extent to which these tools are adopted by employers and educators, there is the potential for: ffincreased capacity among employers and educators to evaluate employee and trainee knowledge, skills, and abilities; ffincreased ability to identify employee knowledge, skills, and abilities that require remediation; ffincreased use of multiple methods to assess employee competence; and ffincreased collaboration between supervisors and workers in strengthening workers skills. What is included in the Assessment Tools Package? The CWC Assessment Tools Package utilizes a Collaborative Competency Building approach that advocates the use of specific assessment tools to improve the evaluation and professional development of the direct care worker. The foundation of this approach is that the competency of a worker can best be assessed and strengthened through a strong collaboration between the supervisor and the direct care worker. The seven elements of a collaborative approach to building competencies include: 1. Education of the supervisor and worker about the Alaskan Core Competencies. 2. Self-assessment by the worker of his or her strengths and skill building needs. 3. Learning plan created by the worker and supervisor. 4. Observation of strengths and skill development needs by the supervisor and worker. 5. Feedback from others about the competency of the worker. 6. Performance appraisal conducted by the supervisor in collaboration with the worker. 7. Portfolio of learning activities assembled by the worker. (continued on page 8) 7

Each of these elements has a corresponding tool that can be utilized to guide the collaborative competency building and assessment process. 1. Education: Tool = Alaskan Core Competencies 2. Self-assessment: Tool = Employee Self- Assessment 3. Learning plan: Tool = Skill Building Plan 4. Observation: Tool = Logbook 5. Feedback: Tool = 360 Degree Feedback Form 6. Performance Tool = Performance appraisal: Review Form 7. Portfolio: Tool = Portfolio Guide The following section of this report contains an overview of the Collaborative Competency Building approach followed by the six assessment tools. The educational tool, which is the Alaskan Core Competencies, is available in a previously released document, which can be downloaded at: www. annapoliscoalition.org. Questions about, or feedback on, these tools can be submitted via that website. 8

Quick Reference Guide Alaskan Core Competencies Category 1: Working with Others A. Listens effectively B. Communicates effectively C. Builds positive relationships D. Collaborates E. Maintains appropriate boundaries Category 2: Assessing Strengths and Needs A. Gathers and summarizes information B. Assists in identifying personal values, goals, and priorities C. Identifies strengths and resources D. Identifies problems, deficits, and stressors E. Detects warning signs F. Communicates results clearly G. Reassesses routinely Category 3: Planning Services A. Identifies recommended goals and services B. Supports individual and family member decisionmaking in developing a plan of care C. Assists individuals in developing personal plans Category 4: Providing Services A. Implements and coordinates the plan of care B. Conducts outreach and engagement C. Maintains safety D. Creates a therapeutic learning environment E. Provides emotional support F. Provides physical support G. Teaches and trains H. Supports problem solving and conflict resolution I. Prevents and intervenes in crises J. Organizes and conducts group activities K. Promotes health and wellness Category 5: Linking to Resources A. Identifies recommended resources B. Supports individual and family decision-making in selecting resources C. Connects individuals and families to community resources Category 6: Advocating A. Advocates on behalf of the individual and family B. Supports self-advocacy Category 7: Individualizing Care A. Assesses the influence of key individual, family, and community characteristics B. Tailors services to unique individual, family, and community characteristics C. Modifies plans and services based on individual and family experience Category 8: Documenting A. Completes required documentation B. Balances privacy with documentation requirements Category 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments B. Complies with laws, regulations, policies, and ethical codes C. Seeks supervision and consultation D. Manages stress and maintains personal health Category 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills, and abilities B. Uses performance evaluations and feedback to improve performance 9

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Alaskan Core Competencies Collaborative Competency Building Version 1.0 January 2011 The Alaskan Core Competencies involve a set of skills shared by all types of direct care workers providing health and social services. The skills of each worker can best be assessed and improved through a strong collaboration between a supervisor and worker. The following steps describe how the supervisor and worker can work together in a process called Collaborative Competency Building. Agencies can incorporate some or all of these steps in their efforts to build a stronger workforce. 1. Education of the supervisor and worker about the Alaskan Core Competencies. (Tool: Alaskan Core Competencies) Assessing and building competencies requires a good understanding of the competencies. The supervisor and worker can acquire this knowledge by: reviewing the published document that contains the competencies; participating in trainings where the competencies are taught; or participating in continuing education events about the competencies. 2. Self-Assessment by the worker of his or her strengths and learning needs. (Tool: Employee Self Assessment) The worker has a unique and valuable view of his or her strengths and weaknesses and is often best able to identify learning needs. A simple Self-Assessment tool helps the worker clarify areas of strength as well as the areas in which an effort to build new skills or improve existing skills would be helpful. This can be completed during the initial orientation period and immediately before performance reviews are completed. 3. Learning Plan created by the worker and supervisor. (Tool: Skill Building Plan) Competencies are most likely to improve when there is a specific plan to help the worker develop his or her skills. A supervisor and worker should share their views on the worker s learning needs, agree on some learning objectives, and select specific steps to accomplish those objectives. The objectives and the steps are documented in the Skill Building Plan. 4. Continuous Observation of strengths and learning needs by the supervisor and worker. (Tool: Competency Logbook) The process of assessing and improving competencies should not be limited to a single point in time during the year. The supervisor and worker should constantly be observing and noting strengths and skills in need of improvement. These observations can be easily documented in the Competency Logbook, which is a recording tool. This tool can be used by the worker to identify skills that need further development. The supervisor can use the information in the Logbook to help complete Skill Building Plans and Performance Reviews. 11

5. Feedback from others about the competency of the worker. (Tool: 360 Degree Feedback Form) The strongest assessments are those that are informed by individuals who interact with the worker in different roles. In addition to the supervisor, these roles can include: co-worker, client, family member, or trainer. The 360 Degree Feedback form can be used gather constructive feedback from these individuals about the strengths and weaknesses of the worker. 6. Periodic Performance Appraisal conducted by the supervisor in collaboration with the worker. (Tool: Performance Review Form) Performance reviews or appraisals are conducted routinely, most often on an annual basis. The Performance Review form is a tool for pulling together information from the Employee Self-Assessment, Skill Building Plan, Competency Logbook, and 360 Degree Feedback forms. Prior to being finalized, a draft of the Performance Review should be discussed with the worker in order to obtain the worker s perspective on the evaluation. The objective is to build a shared or common understanding between the supervisor and worker about the worker s strengths and the skills in need of improvement. 7. Portfolio of learning activities assembled by the worker. (Tool: Portfolio Guide) A worker will likely have numerous learning opportunities, including mandatory orientation and training, workbased continuing education, and off-site or on-line workshops, seminars, conferences, and classes. Recording these experiences in a Portfolio helps the learner track personal skill development activities, show progress on a learning plan, and create a new or updated Skill Building Plan. The Portfolio Guide provides instructions for assembling a portfolio. In summary, the seven elements of a collaborative approach to building competencies are: 1. Education 2. Self-assessment 3. Learning plan 4. Observation 5. Feedback 6. Performance appraisal 7. Portfolio 12

Alaskan Core Competencies Employee Self-Assessment Agency Name Employee Name Job Title Program or Department Supervisor Date Completed: / / Instructions Version 1.0 January 2011 Direct care workers providing health and social services should have the basic skills that have been identified as the Alaskan Core Competencies. Each worker has valuable and unique opinions about his or her strengths, weaknesses, and learning needs. This Self-Assessment form asks the employee to share those opinions and discuss them with his or her supervisor. It may be most useful for an employee to fill out this form when first hired and immediately before his or her supervisor completes the employee s Performance Review. The employee and supervisor each play a role in completing and reviewing this form. Step 1: The supervisor should check NA Not Applicable for any competencies or skills that are not expected of the employee. Step 2: The employee should then use a checkmark to indicate, for each remaining competency, an opinion as to whether his or her skill level is Exceptional, Satisfactory, or Needs Improvement. The employee has the option of adding comments at the end of the form about strengths or skills that need improvement. A copy of the full Alaskan Core Competencies may be a good resource for the employee to have while completing this task. Step 3: The supervisor should review the completed Self-Assessment and discuss it with the employee. During this discussion, the employee can ask for an explanation of any competencies that he or she does not understand. Step 4: Both the supervisor and employee should sign the form and keep a copy, placing the original in the employee s personnel file. Self-Assessment Ratings Competency Category 1: Working with Others A. Listens effectively B. Communicates effectively C. Builds positive relationships D. Collaborates E. Maintains appropriate boundaries Needs Not Exceptional Satisfactory Improvement Applicable 13

Competency Category 2: Assessing Strengths and Needs A. Gathers and summarizes information B. Assists in identifying personal values, goals, and priorities C. Identifies strengths and resources D. Identifies problems, deficits, and stressors E. Detects warning signs F. Communicates results clearly G. Reassesses routinely Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 3: Planning Services A. Identifies recommended goals and services B. Supports individual and family member decision-making in developing a plan of care C. Assists individuals in developing personal plans Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 4: Providing Services A. Implements and coordinates the plan of care B. Conducts outreach and engagement C. Maintains safety D. Creates a therapeutic learning environment E. Provides emotional support F. Provides physical support G. Teaches and trains H. Supports problem solving and conflict resolution I. Prevents and intervenes in crises J. Organizes and conducts group activities K. Promotes health and wellness Needs Not Exceptional Satisfactory Improvement Applicable 14

Competency Category 5: Linking to Resources A. Identifies recommended resources B. Supports individual and family decision-making in selecting resources C. Connects individuals and families to community resources Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 6: Advocating A. Advocates on behalf of the individual and family B. Supports self-advocacy Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 7: Individualizing Care A. Assesses the influence of key individual, family, and community characteristics B. Tailors services to unique individual, family, and community characteristics C. Modifies plans and services based on individual and family experience Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 8: Documenting A. Completes required documentation B. Balances privacy with documentation requirements Needs Not Exceptional Satisfactory Improvement Applicable Competency Category 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments B. Complies with laws, regulations, policies, and ethical codes C. Seeks supervision and consultation D. Manages stress and maintains personal health Needs Not Exceptional Satisfactory Improvement Applicable 15

Competency Category 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills and abilities B. Uses performance evaluations and feedback to improve performance Needs Not Exceptional Satisfactory Improvement Applicable Employee Comments (Optional comments about how you view your strengths and/or skills that need improvement): Signatures: Signature Date Employee Supervisor: I have reviewed this form and discussed it with the employee. 16

Alaskan Core Competencies Skill Building Plan Agency Name Employee Name Job Title Program or Department Supervisor Plan Period: From / / To / / Version 1.0 January 2011 Instructions Direct care workers providing health and social services should have the basic skills that have been identified as the Alaskan Core Competencies. Working together with their supervisors, direct care workers can select skills that they need to improve and create a plan to strengthen those skills. This form, which is called the Skill Building Plan, is to be used to document the steps that will be taken to improve the worker s competencies. If possible, such a plan would be developed for every worker each year. Here are the specific steps for completing this form: Step 1: The worker and supervisor should agree on the specific Alaskan Core Competencies or other skills to be developed. These will be called the Learning Needs. There will likely be more than one. (The competencies are listed on the last page of this form for easy reference). Step 2: The supervisor and the worker should create a specific Learning Plan to improve the worker s skill on the selected competencies. The plan might include training, additional supervision, mentoring, or observing another employee. Other activities are also possible. Key dates, such as when the plan will start and be completed, should be determined. Step 3: The supervisor and worker write the Learning Needs, Learning Plans, and Key Dates on this form. It is then signed and placed in the worker s personnel file. Step 4: The supervisor and worker share responsibility for implementing this Skill Building Plan and reviewing progress on the plan a number of times each year. Once it is completed they discuss whether the plan was successful, document the outcomes in the last section of the form, sign below that section, and return the form to the worker s personnel file. Step 5: The supervisor and worker can then use what they learned from this experience to help create a new Skill Building Plan. 17

Learning Needs, Plans, and Key Dates Learning Need #1 (What Alaskan Core Competency or other skill needs to be developed or improved?): Learning Plan #1 (What activity will occur to help the worker develop or improve this skill?): Key Dates #1 (What is the start date, expected completion date, actual completion date?): Start date: / / Expected completion date: / / Actual completion date / / Learning Need #2 (What Alaskan Core Competency or other skill needs to be developed or improved?): Learning Plan #2 (What activity will occur to help the worker develop or improve this skill?): Key Dates #2 (What is the start date, expected completion date, actual completion date?): Start date: / / Expected completion date: / / Actual completion date / / Learning Need #3 (What Alaskan Core Competency or other skill needs to be developed or improved?): Learning Plan #3 (What activity will occur to help the worker develop or improve this skill?): Key Dates #3 (What is the start date, expected completion date, actual completion date?): Start date: / / Expected completion date: / / Actual completion date / / Signatures (after developing the initial plan): Signature Date Employee Supervisor 18

Final Outcomes After the Skill Building Plan is implemented and completed, describe the outcomes (e.g., activities completed, progress in developing or improving competencies, learning needs that remain): Learning Need #1 Learning Need #2 Learning Need #3 Signatures (after implementation and completion of the plan): Signature Date Employee Supervisor 19

The Alaskan Core Competencies 1: Working with Others A. Listens effectively B. Communicates effectively C. Builds positive relationships D. Collaborates E. Maintains appropriate boundaries 5: Linking to Resources A. Identifies recommended resources B. Supports individual and family decision-making in selecting resources C. Connects individuals and families to community resources 2: Assessing Strengths and Needs A. Gathers and summarizes information B. Assists in identifying personal values, goals and priorities C. Identifies strengths and resources D. Identifies problems, deficits, and stressors E. Detects warning signs F. Communicates results clearly G. Reassesses routinely 3: Planning Services A. Identifies recommended goals and services B. Supports individual and family member decisionmaking in developing a plan of care C. Assists individuals in developing personal plans 4: Providing Services A. Implements and coordinates the plan of care B. Conducts outreach and engagement C. Maintains safety D. Creates a therapeutic learning environment E. Provides emotional support F. Provides physical support G. Teaches and trains H. Supports problem solving and conflict resolution I. Prevents and intervenes in crises J. Organizes and conducts group activities K. Promotes health and wellness 6: Advocating A. Advocates on half of the individual and family B. Supports self-advocacy 7: Individualizing Care A. Assesses the influence of key individual, family, and community characteristics B. Tailors services to unique individual, family, and community characteristics C. Modifies plans and services based on individual and family experience 8: Documenting A. Completes required documentation B. Balances privacy with documentation requirements 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments B. Complies with laws, regulations, policies, and ethical codes C. Seeks supervision and consultation D. Manages stress and maintains personal health 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills, and abilities B. Uses performance evaluations and feedback to improve performance 20

Alaskan Core Competencies Logbook Supervisor Logbook Employee Logbook Performance Period From To Agency Employee Job Title Supervisor Instructions Version 1.0 January 2011 The Alaskan Core Competencies contain the basic skills that direct care workers should have in order to provide health and social services. This Logbook is designed to help the supervisor and the worker identify both the strengths and the learning needs of the worker. It is a place in which examples of the worker demonstrating a skill or demonstrating the need to improve a skill can be recorded. These examples can be placed in the Logbook over a long period, such as the time between yearly performance reviews. f f Both the supervisor and worker should receive separate copies of this Logbook. f f The supervisor should record behavioral examples of the worker performing at satisfactory, unsatisfactory, or excellent levels. The observations can be used by the supervisor to: help the worker better understand what the supervisor expects; create a Skill Building Plan; provide the worker with feedback and coaching; and complete periodic performance reviews. This Logbook is a companion document to the competency-based Performance Review form and, if used regularly, will generate the information needed to complete that form. At the conclusion of the performance period, the supervisor can either select behavioral examples from the Logbook and place them into the Performance Review form or attach the completed Logbook to the Performance Review. f f The worker should also record examples of situations in which his or her skills were strong and examples of skills that need to be improved. The worker can use the Logbook as a guide to: better understanding the skills and behaviors that are expected; identifying personal strengths and learning needs; and seeking supervision and training that will help improve skills. f f Every so often, the supervisor and worker should share their observations and examples with each other; especially when a unique strength or learning need is first noticed. There are 42 individual competencies, organized into 10 competency categories. A Quick Reference Guide on the next page lists the competencies and the page numbers on which the categories can be found. The subsequent pages contain the competencies in the left column, along with behavioral descriptors of three levels of performance. There is space in the right column for your examples of strengths and learning needs. The descriptors are listed as prompts or reminders of the behaviors that make up a competency, but there is no need to write observations about each descriptor. 21

Quick Reference Guide Competency Category 1: Working with Others A. Listens effectively B. Communicates effectively C. Builds positive relationships D. Collaborates E. Maintains appropriate boundaries Competency Category 2: Assessing Strengths and Needs A. Gathers and summarizes information B. Assists in identifying personal values, goals, and priorities C. Identifies strengths and resources D. Identifies problems, deficits, and stressors E. Detects warning signs F. Communicates results clearly G. Reassesses routinely Competency Category 5: Linking to Resources A. Identifies recommended resources B. Supports individual and family decision-making in selecting resources C. Connects individuals and families to community resources Competency Category 6: Advocating A. Advocates on behalf of the individual and family B. Supports self-advocacy Competency Category 7: Individualizing Care A. Assesses the influence of key individual, family, and community characteristics B. Tailors services to unique individual, family, and community characteristics C. Modifies plans and services based on individual and family experience Competency Category 3: Planning Services A. Identifies recommended goals and services B. Supports individual and family member decision-making in developing a plan of care C. Assists individuals in developing personal plans Competency Category 4: Providing Services A. Implements and coordinates the plan of care B. Conducts outreach and engagement C. Maintains safety D. Creates a therapeutic learning environment E. Provides emotional support F. Provides physical support G. Teaches and trains H. Supports problem solving and conflict resolution I. Prevents and intervenes in crises J. Organizes and conducts group activities K. Promotes health and wellness Competency Category 8: Documenting A. Completes required documentation B. Balances privacy with documentation requirements Competency Category 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments B. Complies with laws, regulations, policies, and ethical codes C. Seeks supervision and consultation D. Manages stress and maintains personal health Competency Category 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills, and abilities B. Uses performance evaluations and feedback to improve performance 22

Competency Categories Competency Category 1: Working with Others A. Listens effectively Examples of how the worker has demonstrated a strength or learning need in this area 1 Uses verbal or non-verbal Attends to verbal and non-verbal Ignores communications from responses to indicate that he or communications from others others; walks away as others she is paying attention (individuals, families, co-workers, are talking and other service providers) 2 Paraphrases what has been Asks questions to clarify Asks no questions; ends the heard to ensure that he or she communications or requests interaction quickly or abruptly understands correctly 3 Pauses from other activities or Shows interest or concern about Dismisses communications and sits down to give full attention others through facial expressions requests or tone of voice B. Communicates effectively 1 Seeks additional information about Through interaction, determines Uses his or her own preferred communication abilities and an individual s ability to methods for communicating preferences (from family, caregivers, communicate and their preferred without considering the abilities records, or formal assessments) method of communication and preferences of others 2 Adapts communications to the Uses multiple communication Uses only verbal methods of person and situation methods (e.g., verbal and non- communicating verbal) 3 Communicates with individuals Communicates clearly and slowly Mumbles or communicates too whom others have a difficult time enough to be understood fast or softly to be understood relating to 4 Asks an individual to repeat a Checks whether an individual Communicates without any communication to ensure that understands, if they look puzzled effort to make sure that the they fully understand or confused individual understands 5 Remembers and refers to Uses person first language (e.g. Refers to people by their individuals by their preferred name an individual with a disability ) disability or diagnosis 6 Stays current with new technical Uses technical language correctly Uses technical terms incorrectly terms and changes in usage of or not at all terms 7 Develops a basic ability to Provides language and sign Ignores unique communication communicate in a second language language interpreters or assistive needs including sign language communication technology if needed 23

Competency Category 1: Working with Others (continued) C. Builds positive relationships 1 Warmly greets and expresses Shows respect for others Uses critical, judgmental, interest in other individuals (individuals, families, co-workers, demeaning, or insulting and other service providers) language or gestures through words and actions 2 Recognizes and shows respect Identifies and refrains from Openly expresses dislike of for the unique characteristics of expressing personal biases certain types of people and diverse groups and individuals; behaviors; uses ethnic slurs demonstrates an ease with differences 3 Rallies others to support Provides support and Creates conflict and ignores individuals in need encouragement to others pleas for help 4 Calms others who are upset by the Monitors and manages personal Responds negatively and behavior of an individual reactions to the behavior of other emotionally to the behavior individuals of others D. Collaborates 1 Takes the initiative in organizing Works with others to complete tasks Works alone or leaves others meetings to accomplish a group and solve problems (individuals, to complete tasks and solve task or resolve an issue families, co-workers, and other problems service providers) 2 Leads a service team or team- Participates actively as a member Refuses to participate in or building activities of a service team frequently misses team meetings 3 Supports individuals and families Creates a partnership with Makes decisions without in directing their own care individuals and families receiving participation or agreement of services and shares decision-making individuals and families with them 4 Frequently provides information Communicates with family Excludes or ignores family and occasionally meets with family members occasionally (with client members members, engaging them actively consent) in many aspects of care 5 Meets in a location most Schedules meetings and Schedules meetings and convenient to others appointments at times convenient appointments without to others considering others 6 Actively seeks and appropriately Accepts constructive feedback from Rejects feedback from others uses feedback from others others 7 Leads by example, through positive Gives constructive feedback to Criticizes others harshly behaviors others Examples of how the worker has demonstrated a strength or learning need in this area 24

Competency Category 1: Working with Others (continued) E. Maintains appropriate boundaries 1 Uses personal touch occasionally Maintains a reasonable physical Touches individuals and appropriately to reassure an distance, showing respect for the inappropriately individual personal space of others 2 Shares sensitive personal Shares some personal information Refuses to provide any personal information occasionally and with others in an effort to build a or professional information to appropriately in an effort to working relationship with them individuals or families or educate or provide encouragement overwhelms others with and hope to others personal information 3 Discourages questionable sexual Reports inappropriate sexual Harasses individuals sexually humor and bantering in the behavior; discusses sexual issues through comments or gestures; workplace only as they relate to health or has sex with clients or family functioning members; uses relationships for personal gain 4 Uses strategies to manage potential Avoids dual relationships such as Engages in dual relationships conflicts when a dual relationship providing services to family without any effort to manage is unavoidable members the potential conflicts that this creates Competency Category 2: Assessing Strengths and Needs A. Gathers and summarizes information 1 Seeks new or updated information; Uses multiple sources of Ignores available information; encourages individuals and families information (e.g., self and family relies mainly on one or two to share their personal stories report, records, unobtrusive sources of information, such as observation, testing) self-report or records 2 Attempts to understand and resolve Identifies discrepancies or Ignores and does not report discrepancies differences between sources discrepancies of information 3 Creates a comprehensive written Summarizes the information Places information in client file assessment or formulation based collected verbally or in writing or record, without creating any on all available information type of summary Examples of how the worker has demonstrated a strength or learning need in this area 25

Competency Category 2: Assessing Strengths and Needs (continued) B. Assists in identifying personal values, goals, and priorities 1 Helps individuals and families Asks individuals and families to Applies his or her own personal to clarify their personal values describe personal values values to the lives of individuals and families 2 Uses goal setting exercises with Asks individuals and families to Ignores the goals and priorities individuals and families; identifies identify short and long-term goals of individuals and families; hopes and dreams and priorities Imposes own personal or professional goals C. Identifies strengths and resources 1 Assists individuals and families in Asks individuals and families to Focuses exclusively on problems identifying personal strengths they describe personal strengths and or needs were unaware of interests 2 Assesses an individual s level or Discusses with individuals their Makes snap judgments about stage of motivation using commonly readiness or motivation to receive others level of motivation accepted categories services or to change without discussion 3 Seeks information to understand Identifies family members and Focuses only on the individual the nature of family and social friends who are considered relationships supportive 4 Seeks to understand the meaning Identifies vocational, community, Focuses only on the individual of vocational, community, and and spiritual activities and supports spiritual activities to the individual D. Identifies problems, deficits, and stressors 1 Identifies potential causes or Identifies immediate, pressing, or Focuses on more stable precipitants of immediate presenting problems and needs problems and misses the reason problems (related to symptoms, behaviors, that the individual seeks functioning, development, etc.) assistance at this time 2 Gathers information on changes in Identifies longer-term or more Focuses on an immediate health and functioning over time stable problems problem or crisis and misses more longer-term or more stable problems 3 Performs formal functional Identifies functional abilities and Focuses on symptoms or assessments limitations problems and ignores functional abilities Examples of how the worker has demonstrated a strength or learning need in this area 26

Competency Category 2: Assessing Strengths and Needs (continued) D. Identifies problems, deficits, and stressors (continued) 4 Explores the potential relationship Identifies health status and medical Ignores or dismisses physical of physical health to the presenting problems health issues problems 5 Explores the potential relationship Identifies stressors including: Focuses on presenting problems of stressors to the presenting family, friends, financial, work, without considering the impact problems school, housing, environment, etc. of stressors 6 Identifies other individuals that Identifies those things that tend to Blames individual for his or her enable or make a clients make problems get worse problems problems worse E. Detects warning signs 1 Uses standardized questions or Identifies signs of substance use/ Encourages substance use as a techniques to assess for substance abuse (alcohol, illicit drugs, and means of coping use/abuse prescription medications) 2 Educates individuals, family, Identifies signs of abuse (self-abuse, Chooses not to report community members, and neglect, physical, psychological, suspected abuse for fear of co-workers about subtle signs exploitation, and misuse of physical angering family members or of potential abuse and chemical restraints) co-workers 3 Assists individual and family Identifies signs of worsening health Dismisses health concerns as members in identifying early or functioning, including suicidal irrelevant to his/her warning signs thoughts and behavior responsibilities 4 Teaches clients about potential Identifies medication side effects Tells individuals that side effects side effects and drug interactions and brings them to the attention are unavoidable; does not bring of the prescriber to the attention of the prescriber F. Communicates results clearly 1 Meets with individual and family Conveys assessment findings to Shares assessment results only members in person to present and individual and family members with other staff members discuss the findings; invites them to correct or challenge information or conclusions 2 Follows-up at a later time to check Asks individual and family Shows disinterest in the impact whether the information provided members to share their reaction of the information on the was understood and what impact to the information received individual or family it has had Examples of how the worker has demonstrated a strength or learning need in this area 27

Competency Category 2: Assessing Strengths and Needs (continued) G. Reassesses routinely 1 Periodically conducts a complete Periodically reviews: goals and Treats the initial assessment as and thorough review of: goals and priorities; strengths and resources; the permanent assessment priorities; strengths and resources; problems, deficits, and stressors and problems, deficits, and stressors 2 Periodically creates a new, Updates assessment findings and Puts a new date on an old comprehensive written assessment summaries assessment 3 Schedules a meeting with individual Shares significant changes with Files the findings without and family to review and discuss individuals and family members discussing with individual and updated assessment family members Competency Category 3: Planning Services A. Identifies recommended goals and services 1 Reviews what has worked and Recommends goals based on the Recommends services without failed in the past assessment or can identify the identifying the goals goals set by the treatment team 2 Builds a comprehensive plan of Identifies recommended services, Recommends the same services recommended care based on the considering the goals, availability for all individuals (a cookie unique needs and interests of the of services, eligibility, and cutter plan) individual affordability B. Supports individual and family member decision-making in developing a plan of care 1 Highlights the specific advantages Discusses the recommended goals Presents the service plan as and disadvantages of the and services with the individual final, without discussion recommended goals and services and family 2 Highlights the specific advantages Presents alternative options to the Refuses or refrains from and disadvantages of the recommendations discussing alternatives alternative goals and services 3 Supports individuals and families Seeks individual and family Indicates that input into the in making their own choices about preferences and input into the plan is not welcome the plan of care plan of care and negotiates a plan they find acceptable Examples of how the worker has demonstrated a strength or learning need in this area 28

Competency Category 3: Planning Services (continued) C. Assists individuals in developing personal plans 1 Connects individuals to persons Encourages individuals to develop Responds to crises without who can help them develop contingency plans for future crises considering individual written plans or directives or episodes of illness preferences or wishes about how crises are to be handled 2 Assists individuals in developing Supports individual efforts to Focuses on formal service goals formal wellness and recovery plans pursue wellness and recovery and ignores personal wellness goals and recovery goals Competency Category 4: Providing Services A. Implements and coordinates the plan of care 1 Educates co-workers about Reviews the plan of care Provides care without reviewing the plan occasionally the plan 2 Identifies creative ways he or she Delivers services directly that Acts in ways that undermine or can support the plan of care support the plan of care conflict with the plan of care 3 Updates other care providers about Coordinates activities among care Fails to notify other care significant events or changes that providers and agencies in providers of critical information impact on the plan of care implementing the plan of care or events 4 Proactively identifies and addresses Delivers services at a pace Routinely presses services upon individual and family concerns comfortable for individuals and individuals and family members about services family members at a pace that they cannot tolerate 5 Models the use of technology to Uses technology to deliver services Repeatedly uses distance as deliver services and educates and increase access (e.g., phone, an excuse for not meeting the others about these tools video-conferencing) needs of an individual or family 6 Adapts to local resource Acts independently when working Unable to act without direction constraints; identifies creative in situations that offer limited while employed in a position strategies for delivering services supervision or support from that requires working with when working alone with limited co-workers limited supervision resources Examples of how the worker has demonstrated a strength or learning need in this area 29

Competency Category 4: Providing Services (continued) B. Conducts outreach and engagement 1 Creates engagement activities or Encourages individuals and family Avoids the work of providing groups members to participate in planned care services 2 Helps address basic needs (e.g., Makes phone calls or home and Places full burden on individuals food, shelter) as an engagement community visits to individuals to for engaging in care and strategy develop a relationship and criticizes them for lack of encourage participation in services motivation and followthrough with care C. Maintains safety 1 Routinely assesses risk Recognizes individual risk to self Misses clear signs of risk or others 2 Anticipates risk and takes action Takes action to address immediate Detects risks but fails to take to avoid it risk; adjusts the type and level of action care to the level of risk 3 Works with the employer or Addresses hazards to safety in the Violates rules regarding family to decrease physical risks physical environment hazardous objects or in the environment substances in the environment of care 4 Supports a reasonable level of Allows individuals to take risks that Denys individuals rights or risk as part of growth and are authorized by the agency privileges in an effort to avoid development or team all risk D. Creates a therapeutic learning environment 1 Takes action to create a Intervenes quickly when the Contributes to noises, comfortable, calm, and safe environment of care becomes distractions, and conflict environment loud, chaotic, or unsafe 2 Organizes and provides learning Provides educational aids Leaves individuals without opportunities structure or direction Examples of how the worker has demonstrated a strength or learning need in this area 30

Competency Category 4: Providing Services (continued) E. Provides emotional support 1 Instills hope through techniques Offers reassurance to individuals Creates fear among individuals such as story telling or having and family members and family members individuals tell their story 2 Constantly conveys realistic Educates individuals and family Tells individuals and family optimism about the future members about resilience and members that improvement is recovery not possible 3 Uses motivational enhancement Provides encouragement Belittles the efforts of interviewing techniques individuals and family members F. Provides physical support 1 Assists individuals to improve Provides physical assistance with Watches individuals as they physical abilities movement struggle physically, but provides no support 2 Structures and encourages Assists individuals with ADLs, Makes minimal efforts to opportunities to increase including personal hygiene, cooking support ADLs, compromising independence with activities of and eating, shopping, cleaning, individuals quality of life daily living (ADLs) budgeting, etc. 3 Identifies and obtains adaptive Teaches the use of adaptive Creates obstacles to individuals equipment for individual equipment obtaining and using adaptive equipment G. Teaches and trains 1 Provides educational materials; Educates individuals and family Treats individuals as incapable runs educational groups and members about illnesses, services, of learning to manage their activities resilience, and recovery problems 2 Uses systematic skill building Assists individuals and family Tells individuals what to do and approaches and organizes members in building skills, such discourages the learning of new instructional activities as self-care, activities of daily skills living, stress management, and assertiveness Examples of how the worker has demonstrated a strength or learning need in this area 31

Competency Category 4: Providing Services (continued) H. Supports problem solving and conflict resolution 1 Teaches and models problem Assists individuals and family Makes decisions for individuals solving for individual and family members in solving problems and family members without members consulting them (when no immediate risk is present) 2 Anticipates and helps to resolve Mediates conflicts among clients, Engages frequently in conflict emerging tensions between family members, and other care with others individuals and groups; teaches providers conflict resolution skills 3 Remains calm and constructive Discusses openly with others the Displays strong anger and when confronted with individuals conflicts he or she is having with defensiveness when in conflict who are angry, critical, or them (including with individuals with others threatening and family members receiving services) I. Prevents and intervenes in crises 1 Educates others about early Detects early signs of potential Notices but does not report warning signs for specific problems early signs of trouble individuals and families 2 Leads an organized group Deescalates problems in their Provokes, challenges, or response to a person in crisis early phase threatens individuals who are experiencing problems 3 Contributes to efforts to reduce As a last resort to ensure safety, Uses seclusion or restraint as the use of physical holds, uses physical holds, restraint, punishment; violates rules and restraint, and seclusion and/or seclusion, while following procedures regarding their use all applicable policies and regulations 4 Collaborates with and educates Accesses emergency assistance Uses police involvement to law enforcement to improve the when needed punish or inappropriately community response to individuals control individuals and family in crisis members 5 Organizes and leads a review of Participates in debriefing Constantly engages in behaviors what happened and what can be discussions, offering opinions on known to provoke or trigger done to prevent similar problems what happened and what could problems; fails to engage in in the future be done to prevent similar behaviors identified as essential problems in the future for avoiding problems Examples of how the worker has demonstrated a strength or learning need in this area 32

Competency Category 4: Providing Services (continued) J. Organizes and conducts group activities 1 Designs new groups to address Selects and orients new activity Refuses to participate in or refer unmet need group members individuals to groups 2 Co-leads groups with other staff Runs activity groups effectively Loses control of groups; allows in order to teach them how to (e.g., providing adequate structure, destructive member interaction run activity groups encouraging member interaction, maintaining safety) K. Promotes health and wellness 1 Provides educational materials Teaches individuals to recognize Detects health problems but on health and wellness the signs and impact of stress takes no action and poor health 2 Offers or arranges organized health Teaches individual stress Rewards clients with unhealthy and wellness activities such as management and other self-care incentives (e.g., cigarettes) smoking cessation and exercise techniques groups; models healthy behaviors Competency Category 5: Linking to Resources A. Identifies recommended resources 1 Creates information files of Maintains information on available Focuses only on the agency at resources available to individuals resources, including: treatment, which he or she is employed, and families medical, housing/residential, remaining uninformed about vocational, community/civic, and other available resources spiritual 2 Creates and updates a written Identifies resources that may be Focuses only on the services he summary of recommended of interest and value to an or she is providing, ignoring resources; assembles a packet of individual and family needs or interests that might be information about those resources met by other resources Examples of how the worker has demonstrated a strength or learning need in this area 33

Competency Category 5: Linking to Resources (continued) B. Supports individual and family decision-making in selecting resources 1 Highlights the specific advantages Discusses the recommended Without considering their and disadvantages of the resources with the individual preferences, tells an individual recommended resources and family members or family that they will be using a specific resource 2 Supports individuals and families Seeks individual and family Indicates that input into in making their own choices about preferences and input regarding decisions to use specific use of the recommended resources the recommended resources resources is not welcome 3 Teaches individuals and family Encourages individuals and family Discourages activities and members the value of tackling members to maximize activities, independence of individuals challenges and taking reasonable community engagement, and served risks independence C. Connects individuals and families to community resources 1 Supports individual and family Makes a referral of the individual Suggests that individuals or efforts to take the lead in or family to selected resources families try and access accessing selected resources resources, while providing no guidance or support 2 Develops and maintains working Follows-up personally to ensure Ends involvement once a relationships with employees at that a connection with the resource referral has been suggested or other organizations and uses these has been made; actively addresses made contacts to gain access to resources any barriers to access 3 Mobilizes a coordinated plan of Draws on individual members of Leaves individuals in need support from community members, the community to provide support without support of any kind for especially in geographic areas that extended periods of time lack significant services Examples of how the worker has demonstrated a strength or learning need in this area 34

Competency Category 6: Advocating A. Advocates on behalf of the individual and family 1 Asks individuals and family Provides verbal and written Fails to explain or provide members to explain their rights information to the individual and information on rights; violates in order to ensure that they family members about their rights the rights of individuals and understand them and responsibilities (personal, family members for personal interpersonal, legal, and civic) gain or convenience 2 Speaks out against or appeals Represents and supports individual Imposes inappropriately the decisions that appear to violate and family member goals and wishes goals and decisions of the individual and family rights with colleagues, the treatment team, service organization or team on other service providers, benefit individuals and families without providers, patient rights officers, and consideration of their wishes ombudsmen 3 Supports individual and family Identifies potential risks related to Presses for individuals and member decisions to exercise exercising individual and family family members to exercise their rights when the risks are member rights their rights no matter what the not serious risk B. Supports self-advocacy 1 Coaches individuals and family Arranges individual and family Excludes individuals and family members on how to participate member access to planning members from planning in planning meetings and to ask meetings and to key decision meetings for what they want makers about their benefits and services 2 Links individual and family Refers individual and family Discourages participation in members to peer and family members to peer and family peer and family support support training programs support activities (to receive activities or provide peer support) 3 Connects individual and family Connects individual and family Discourages participation in members with leadership and members with advocates and organized advocacy activities advocacy training programs advocacy organizations Examples of how the worker has demonstrated a strength or learning need in this area 35

Competency Category 7: Individualizing Care A. Assesses the influence of key individual, family, and community characteristics 1 In the assessment, applies personal Identifies important individual and Treats individuals as if they are knowledge of the influence of race, family characteristics, such as: race, their diagnosis and ignores ethnicity, culture, religion, gender, ethnicity, culture, religion, gender, their other characteristics sexual orientation, disability, sexual orientation, disability, occupation, and financial status occupation, and financial status 2 In the assessment, applies personal Identifies important characteristics Routinely ignores the impact of knowledge of the potential of the individual s community and community and geography in influence of community its geography the assessment process characteristics and geography on individuals, illnesses, and services 3 Educates individual and family Asks individual and family members Acts towards clients as if all members about the potential to explain the impact of these individuals who share a impact of key personal and personal and community character- common characteristic or community characteristics on ristics on their lives, goals, strengths, community are the same their lives problems, needs, illnesses, treatment, (applies stereotypes) and service preferences B. Tailors services to unique individual, family, and community characteristics 1 Assists in building or modifying Adapts the services provided to the Provides the same services to services and programs to address unique characteristics and preferences all individuals and family the needs and preferences of of the individual and family members members despite their unique groups in the local differences community 2 Builds working relationships and Connects individual and family Discourages or ignores the collaborates with other members to services and resources individual and family member organizations that address the tailored to their unique character- participation in services tailored needs and preferences of unique istics or preferences to the needs of unique groups groups in the local community C. Modifies plans and services based on individual and family experience 1 Uses available tools for measuring Periodically assesses individual and Dismisses individual and family individual satisfaction and progress family member satisfaction with member feedback and concerns plans, services, and progress 2 Assists treatment team and Adjusts plans and services being Refuses to change plans or employer agency to improve provided based on the feedback services despite individual and services based, in part, on received and the progress made family member concerns and feedback from individuals and on achieving goals requests family members Examples of how the worker has demonstrated a strength or learning need in this area 36

Competency Category 8: Documenting A. Completes required documentation 1 Serves as a resource and mentor Completes all required Misses deadlines for preparing to other staff on documentation documentation correctly, efficiently documents on a frequent basis guidelines and procedures and in a timely manner, including: assessments, service records, incident reports, billing forms, and human resources forms 2 Produces documentation that Produces documentation that is Documents subjective conveys a comprehensive and objective, accurate, and legible impressions rather than descriptive view of the individual objective facts; creates illegible and family, service plan, and documents services provided 3 Uses technical language in Uses clear and appropriate Routinely creates documentation, improving the language, grammar, and spelling documentation that is unclear, quality of the information being in documentation contains poor grammar, and is conveyed riddled with inaccurate spellings B. Balances privacy with documentation requirements 1 Discusses with individual and family Identifies sensitive information that Treats all information obtained members the advantages and could be harmful or uncomfortable as appropriate for disadvantages of documenting for an individual or family members documentation sensitive information if shared 2 Consults with supervisor on Includes essential information in Includes non-essential highly whether to include sensitive documentation, while excluding personal information in information in documentation non-essential, sensitive information documentation 3 Reviews records with individuals Provides individual and family Refuses individual and family and discusses their reaction to members with access to their access to records when the information it contains records required consent has been given Examples of how the worker has demonstrated a strength or learning need in this area 37

Competency Category 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments 1 Serves as a model for others in Minimizes absences from work, Absent, late, or leaves early on terms of attendance and timeliness arrives on time, and completes a full a frequent basis work day 2 Volunteers for additional duties, Manages his or her time effectively Acts without planning how all beyond assigned responsibilities necessary work will be accomplished 3 Helps the organization find ways Completes assigned duties in a Misses deadlines routinely, to improve the quality and timely way and follows through on leaves assigned work efficiency with which services are reasonable requests or promises unfinished, and fails to followdelivered made to others through on commitments made to others 4 Goes above and beyond required Provides employer-approved Violates employer rules and duties, without violating employer services and approaches to care, policies about the delivery of rules and policies working within the limits of services assigned job duties and role 5 Provider leadership in meetings, Participates routinely and actively Misses meetings frequently or in either a formal or informal role in staff, team, and agency-wide attends without contributing meetings B. Complies with laws, regulations, policies, and ethical codes 1 Educates colleagues about Maintains confidentiality of Violates confidentiality through confidentiality rules and procedures protected health information; actions such as releasing informs individuals and family protected information without members of the limits of permission confidentiality 2 Searches for information on Adheres to all laws, regulations, Violates laws, regulations, changes to laws, regulations, policies and ethical codes of policies, and codes of conduct policies, and codes of conduct conduct that apply to the worker routinely and the job 3 Follows up after submitting Submits mandated reports Detects but does not report mandated reports to ensure that regarding abuse or risk of harm abuse or risk of harm information was received and appropriate action was taken Examples of how the worker has demonstrated a strength or learning need in this area 38

Competency Category 9: Behaving Professionally and Ethically (continued) C. Seeks supervision and consultation 1 Partners in delivering care with Recognizes the personal limits of his Delivers services for which he or others who complement his or her or her knowledge and skills she is unqualified knowledge and skills 2 Provides supervision to others Participates routinely and Misses supervision sessions when authorized by the employer constructively in formal supervision frequently; rejects suggestions or direction offered during supervision 3 Offers consultation to others in Seeks additional supervision or In non-urgent situations, takes areas of his or her expertise consultation when uncertain about action when uncertain without the best course of action or requesting guidance from a concerned about performance of supervisor co-workers or other service providers D. Manages stress and maintains personal health 1 Recognizes signs of burnout or Recognizes signs of personal stress Ignores personal signs of stress distress 2 Teaches or shares stress Uses self-care strategies to manage Becomes irritable and angry management techniques with and reduce stress and prevent with others when stressed others burnout 3 Engages in prevention and health Ensures adequate work Impaired work performance promotion behaviors performance by maintaining because of failure to seek personal health medical care 4 Volunteers to assist co-workers Uses proper body mechanics Uses unsafe practices for lifting, with physical support tasks to when physically assisting others creating a risk of injury minimize their risk of injury Examples of how the worker has demonstrated a strength or learning need in this area 39

Competency Category 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills, and abilities 1 Creates a written professional Sets personal goals for professional Sets no goals for professional development plan development development or takes no action to achieve goals 2 Enrolls in continuing education Participates routinely in employer Misses employer organized programs and/or certification and organized inservice training and inservice trainings; passes on degree granting programs other competency building activities other opportunities for continuing education 3 Seeks experiential opportunities to Learns about local cultures and Practices without knowledge or learn about local cultures and norms norms awareness of local cultures and norms B. Uses performance evaluations and feedback to improve performance 1 Identifies strengths and Participates in the performance Refuses to participate in the weaknesses; uses competencies in evaluation process and accepts performance evaluation performance evaluation documents constructive feedback process; rejects constructive to shape professional development feedback goals 2 Uses feedback from performance Uses evaluation feedback to Repeats problematic behaviors reviews to set new professional improve work performance despite feedback about them development goals Examples of how the worker has demonstrated a strength or learning need in this area 40

assessment tools for the alaskan core competencies v e r s i o n 1.0 Alaskan Core Competencies 360 Degree Feedback Agency Name Employee Name Job Title Program or Department Person Completing Form Relationship to Employee: Client Co-worker Family member Secondary supervisor Other (specify) Date Completed: / / Instructions Version 1.0 January 2011 Direct care workers providing health and social services should have the basic skills that have been identified as the Alaskan Core Competencies. Many individuals observe employees working and can offer valuable opinions about (a) how well employees are doing their jobs and (b) how they could do their jobs better. This 360 Degree Feedback form asks for those opinions. The name 360 Degree refers to getting feedback from those all around employees, including clients, family members, co-workers, and those supervisors who do not complete the employee s Performance Review. The feedback obtained using this form should be helpful and constructive. Good feedback allows employees to better understand how others view their work, helps supervisors identify skills on which employees needs additional training, and can be considered by supervisors as they complete Performance Reviews. Here are the steps for using this form: Step 1: An employee s supervisor should draw a line through any of the competencies listed below that are not expected of the employee. Step 2: The supervisor selects a number of people who have worked with or observed the employee, provides them with the form, and reviews it with them to make sure they understand the questions being asked and how to answer. Step 3: The person completing the form rates the employee on each of the 10 categories that have not been crossed out, should provide comments and examples about the employee s skills, and can add general comments and other examples at the end of the document. Check Not observed if the person completing the form doesn t have information about the employee s ability on a specific competency. Step 4: The person filling out this form checks whether they are willing to have the supervisor share the completed form with the employee. Step 5: The supervisor reviews all 360 Degree forms completed and gives general feedback to the worker, without sharing specific ratings and comments from individuals unless those individuals gave permission for their form to be shared. Step 6: The forms should be placed in the employee s personnel file and used to help complete Skill Building Plans and Performance Reviews. If the individuals asked to complete this form find the competencies or rating system too confusing, they can simply write all of their feedback and examples in the Other Comments section. 41

Feedback Competency Category 1: Working with Others Examples: listens and communicates effectively; collaborates; builds positive relationships. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 2: Assessing Strengths and Needs Examples: gathers information; assists individuals and families in identifying their values, goals, strengths, and problems; communicates the results of assessments clearly; detects warning signs of worsening problems. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 3: Planning Services Examples: identifies recommended goals and services; supports individuals and families in making decisions about their care. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 4: Providing Services Examples: provides emotional or physical support; problem solving; helps maintain safety; teaches or trains; provides crisis intervention; conducts group. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed 42

Competency Category 5: Linking to Resources Examples: identifies resources that may help individuals and families; supports their decision-making about which resources to use and helps connect them to those resources. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 6: Advocating Examples: advocates for individuals and families; helps them advocate for themselves. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 7: Individualizing Care Examples: understands the unique characteristics of individuals and families and adjusts services to meet their needs; changes services based on individual and family feedback. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 8: Documenting Example: completes required documentation accurately. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed 43

Competency Category 9: Behaving Professionally and Ethically Examples: fulfills responsibilities; complies with laws, regulations, policies, and ethical codes; seeks supervision. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Competency Category 10: Developing Professionally Examples: improves his or her knowledge, skills, and abilities; uses feedback to improve his or her performance. Comments & Examples: Needs Not Exceptional Satisfactory Improvement Observed Other Comments & Examples (provide additional feedback here): This completed form can be shared directly with the employee. Yes No Signatures: Signature Date Person completing the form Supervisor: I have reviewed this form 44

Alaskan Core Competencies Performance Review Agency Name Employee Name Job Title Program or Department Supervisor Review type (e.g. initial, annual) Performance Period: From / / To / / Instructions Direct care workers providing health and social services should have the basic skills that have been identified as the Alaskan Core Competencies. This Performance Review form is designed to assist supervisors in evaluating the employees on these skills. For each of the 10 Competency Categories below, rate the employee s skills as Exceptional, Satisfactory, or Unsatisfactory and add brief comments about strengths or weaknesses in each category. The individual competencies (lettered A, B, C, etc.) explain the skills within each category, but the supervisor is not expected to rate or comment on each of these. Comments on the Competency Categories are not necessary if the supervisor has completed and attached the Alaskan Core Competencies Logbook. Once each Category is rated, provide an Overall Rating of the employee s performance for this Performance Period. In the Comments section, briefly summarize the overall performance and justification for the Overall Rating. Most agencies require this form to be reviewed and approved by a senior manager and/or a personnel manager prior to being discussed and reviewed with the employee, who then has the option of making written comments about the evaluation. The employee should receive a copy and the original should be placed in the employee s personnel file. Ratings by Competency Category Are behavioral examples documented by the supervisor in an attached Logbook? Yes No Competency Category 1: Working with Others A. Listens effectively B. Communicates effectively C. Builds positive relationships D. Collaborates E. Maintains appropriate boundaries 45 Comments Version 1.0 January 2011 Rating: Exceptional Satisfactory Unsatisfactory

Competency Category 2: Assessing Strengths and Needs A. Gathers and summarizes information B. Assists in identifying personal values, goals, and priorities C. Identifies strengths and resources D. Identifies problems, deficits, and stressors E. Detects warning signs F. Communicates results clearly G. Reassesses routinely Competency Category 3: Planning Services A. Identifies recommended goals and services B. Supports individual and family member decision-making in developing a plan of care C. Assists individuals in developing personal plans Competency Category 4: Providing Services A. Implements and coordinates the plan of care B. Conducts outreach and engagement C. Maintains safety D. Creates a therapeutic learning environment E. Provides emotional support F. Provides physical support G. Teaches and trains H. Supports problem solving and conflict resolution I. Prevents and intervenes in crises J. Organizes and conducts group activities K. Promotes health and wellness Competency Category 5: Linking to Resources A. Identifies recommended resources B. Supports individual and family decision-making in selecting resources C. Connects individuals and families to community resources 46 Comments Rating: Exceptional Satisfactory Unsatisfactory Comments Rating: Exceptional Satisfactory Unsatisfactory Comments Rating: Exceptional Satisfactory Unsatisfactory Comments Rating: Exceptional Satisfactory Unsatisfactory

Competency Category 6: Advocating A. Advocates on behalf of the individual and family B. Supports self-advocacy Comments Competency Category 7: Individualizing Care Rating: Exceptional Satisfactory Unsatisfactory Comments A. Assesses the influence of key individual, family, and community characteristics B. Tailors services to unique individual, family, and community characteristics C. Modifies plans and services based on individual and family experience Rating: Exceptional Satisfactory Unsatisfactory Competency Category 8: Documenting A. Completes required documentation B. Balances privacy with documentation requirements Comments Rating: Exceptional Satisfactory Unsatisfactory Competency Category 9: Behaving Professionally and Ethically A. Fulfills responsibilities and commitments B. Complies with laws, regulations, policies, and ethical codes C. Seeks supervision and consultation D. Manages stress and maintains personal health Comments Rating: Exceptional Satisfactory Unsatisfactory Competency Category 10: Developing Professionally A. Seeks opportunities to improve knowledge, skills and abilities B. Uses performance evaluations and feedback to improve performance Comments Rating: Exceptional Satisfactory Unsatisfactory 47

Overall Rating: Rating: Exceptional Satisfactory Unsatisfactory Comments (Summarize the overall performance and justification for the Overall Rating. Highlight strengths and areas in need of improvement): Signatures: Rated by: Reviewed by: Approved by: Employee I have been given a copy of this report and it has been discussed with me. Signature Title Date Optional Employee Comments (e.g., agreement or disagreement with the review or any additional comments): 48

Alaskan Core Competencies Portfolio Guide Introduction Direct care workers providing health and social services should have the basic skills that have been identified in the Alaskan Core Competencies. Each worker has a valuable and unique perspective on his or her strengths, weaknesses, and learning needs. This Portfolio Guide provides information on what a portfolio is, its purpose, and cover pages to get you started on creating your own portfolio to record your unique learning experiences that demonstrate your skills, knowledge, and experience. This tool provides the opportunity to shape and direct your own learning and assessment experience by creating samples of their real work that demonstrates proficiency in competencies required by your job. What is a Portfolio? ffportfolios are defined as a purposeful collection of work that tells the story of your effort, progress, and/or achievement. ffportfolio documents are generally held together in a three-ring binder with tabs to organize the different work samples. Additional materials that are not paper-based can be collected in a separate tote kept with the portfolio binder. ffa portfolio is a unique expression of you as a direct care worker and your professional journey. ffa portfolio is a living document that you will expand and change over time depending on the job requirements or expectations of a particular job or place of employment. What are the purposes of a Portfolio? ffa portfolio is a concrete way of demonstrating your skills and competencies to potential employers on the 10 Alaskan Core Competency categories. ffa portfolio showcases your works in progress, tracks your learning over time, and can be used to assess your work products over time. ffportfolios are an active way to participate in learning and to allow you to increase your ability to self-evaluate. ffportfolios promote professional identity by organizing thinking regarding accomplishments on the job. ffportfolios can be used to demonstrate your skills needed for a specific job or can be used as evidence of workrelated skills for future employment in the direct care worker field. Instructions: Your portfolio may be developed as a component of your current job or you can choose to chronicle your learning experiences on your own. 49 Version 1.0 January 2011

To get started, purchase a three-ring binder, paper, and index tabs to identify different work samples. The index tabs allow easy access to each section and will help you present your portfolio as an organized and professional document. Consider placing documents you have three-hole punched in each section, rather than placing documents in clear, slide-in sheets. If work samples are not paper-based, use the cover page to identify the entry and identify where the work sample (e.g., video, etc.) is located. There is not one way to create a portfolio. To determine the organization of your portfolio consider who you are, your professional goals, and what you want to communicate about your professional self. Next, create a general portfolio cover page that contains information specific to you such as your contact information, your employer, your position, and any other information that you believe is important about you as a direct care worker. It may be helpful to write one or two sentences on your professional goals in the direct care field. In addition, it would be useful to include a copy of your resume at the beginning of your binder. Now begin to start building your portfolio by creating entries or work samples to showcase your work, skills, attitudes, etc. Work samples are compiled over a period of time and illustrate learning or competency in actual work situations. You can use the portfolio entry cover page (see page 4 for cover page template) to reference the Alaskan Core Competencies and identify which one or more competencies your work examples pertain to. Work samples should include a summary statement which describes the activity/work sample. Work samples come in many formats and are not limited to written products. Work sample formats may include (but are not limited to the following list): ffwritten journal entries ffrecords of training activities completed on the job or in the community ffexamples of learning exercises and what knowledge you gained by participating in them ffexamples of interactions with persons in your care or co-workers that you believe demonstrate a specific and valuable skill ffexamples to demonstrate cultural attunement to Alaska Native and/or rural and indigenous issues ffresume fforal presentations ffslide presentations ffcareer goal essays ffpersonal belief statements ffphotos ffvideo clips ffartwork Ideally, select portfolio work samples that illustrate your proficiency in the ten competency categories identified in the Alaskan Core Competency Model. Use creativity when providing work samples to demonstrate your skills and knowledge of your job. Work samples should show authentic evidence of your growth as a direct care worker. Remember that the confidentiality of the individuals receiving care, family members, and other supports must be protected. Names and identifying information must be changed, deleted or blanked out if specific permission is not granted. On the following page is a template to get you started on your professional portfolio 1. You are not bound to this format, this is just a guide. Print off a portfolio entry cover page to use before each work sample or entry. A checklist of the core competencies is available on each cover page sheet to help you connect the content of your entries to specific competencies. Please refer to an example of a portfolio entry after the blank template 1 You may want to consider creating an online E-Portfolio to track your learning experiences and credit through the Trust Training Cooperative Learning Management System (TTC LMS). Any trainings you take through the TTC will automatically be added to your E-Portfolio and you can also self-report other trainings for a complete record of trainings. Please visit www.ttclms.org and sign up for free. Once you have signed up and logged in visit the User Home to get started with your E-Portfolio. 50

Portfolio Work Sample Cover Page Date: Summary Statement about Work Sample/Activity/Experience: Type of Work Sample/Activity/Experience (see list of some possibilities above): Competencies that are addressed by this example: Category 1: Working with Others Listens effectively Communicates effectively Builds positive relationships Collaborates Maintains appropriate boundaries Category 2: Assessing Strengths and Needs Gathers and summarizes information Assists in identifying personal values, goals, and priorities Identifies strengths and resources Identifies problems, deficits, and stressors Detects warning signs Communicates results clearly Reassesses routinely Category 3: Planning Services Identifies recommended goals and services Supports individual and family member decision-making in developing a plan of care Assists individuals in developing personal plans Category 4: Providing Services Implements and coordinates the plan of care Conducts outreach and engagement Maintains safety Creates a therapeutic learning environment Provides emotional support Provides physical support Teaches and trains Supports problem solving and conflict resolution Prevents and intervenes in crises Organizes and conducts group activities Promotes health and wellness Category 5: Linking to Resources Identifies recommended resources Supports individual and family decisionmaking in selecting resources Connects individuals and families to community resources Category 6: Advocating Advocates on behalf of the individual and family Supports self-advocacy Category 7: Individualizing Care Assesses the influence of key individual, family, and community characteristics Tailors services to unique individual, family, and community characteristics Modifies plans and services based on individual and family experience Category 8: Documenting Completes required documentation Balances privacy with documentation requirements Category 9: Behaving Professionally and Ethically Fulfills responsibilities and commitments Complies with laws, regulations, policies, and ethical codes Seeks supervision and consultation Manages stress and maintains personal health Category 10: Developing Professionally Seeks opportunities to improve knowledge, skills, and abilities Uses performance evaluations and feedback to improve performance Reflection: Any other information that is relevant to understanding how this entry demonstrates your skills, attitudes, values, or competence in a given area of the direct care worker field. 51

(Example) Portfolio Work Sample Date: 12/1/10 Summary Statement about Work Sample/Activity/Experience: This is an example of an interaction with a person that I provide care for at the Cherry Hill long-term care center. Type of Work Sample/Activity/Experience (see list of some possibilities above): Journal Entry Competencies that are addressed by this example: Category 1: Working with Others Listens effectively Communicates effectively Builds positive relationships Collaborates Maintains appropriate boundaries Category 2: Assessing Strengths and Needs Gathers and summarizes information Assists in identifying personal values, goals, and priorities Identifies strengths and resources Identifies problems, deficits, and stressors Detects warning signs Communicates results clearly Reassesses routinely Category 3: Planning Services Identifies recommended goals and services Supports individual and family member decision-making in developing a plan of care Assists individuals in developing personal plans Category 4: Providing Services Implements and coordinates the plan of care Conducts outreach and engagement Maintains safety Creates a therapeutic learning environment Provides emotional support Provides physical support Teaches and trains Supports problem solving and conflict resolution Prevents and intervenes in crises Organizes and conducts group activities Promotes health and wellness Category 5: Linking to Resources Identifies recommended resources Supports individual and family decisionmaking in selecting resources Connects individuals and families to community resources Category 6: Advocating Advocates on behalf of the individual and family Supports self-advocacy Category 7: Individualizing Care Assesses the influence of key individual, family, and community characteristics Tailors services to unique individual, family, and community characteristics Modifies plans and services based on individual and family experience Category 8: Documenting Completes required documentation Balances privacy with documentation requirements Category 9: Behaving Professionally and Ethically Fulfills responsibilities and commitments Complies with laws, regulations, policies, and ethical codes Seeks supervision and consultation Manages stress and maintains personal health Category 10: Developing Professionally Seeks opportunities to improve knowledge, skills, and abilities Uses performance evaluations and feedback to improve performance Work Sample: I was doing my morning rounds to say hello to my patients when a particular patient stopped me and in an angry tone, asked me to stay in his room for a few minutes. He said that he was wondering when he was getting out of here. I sat down on the chair next to his bed and asked him to sit down as well. I said, Good morning, Mr. Blackwell (fictional name), I understand you are wondering when you can leave this place, is that right? So, I started with greeting him in a friendly way and then repeated what he said so that I showed him I understood him. I went on to ask him some questions about why he wanted to leave and told him I would check with his other providers, his caseworker, and his family to give him more information. This seemed to be helpful for Mr. Blackwell because he smiled and said, thanks for your help at least you are listening to me. Reflection: Any other information that is relevant to understanding how this entry demonstrates your skills, attitudes, values, or competence in a given area of the direct care worker field. 52

Ask yourself these questions to facilitate your reflection process: 1. How does this learning experience relate to my role as a direct care worker? This experience happened on the job so it is directly related to my work and role as a direct care worker. 2. What did this experience teach me? I learned that slowing down and showing the person I am listening (by sitting down, repeating what the person says) that it can go a long way in making a person feel heard. I also think that having us both sit down was a way to avoid the patient from getting more angry and showed that I was willing to sit down with him for a few minutes and focus on his concerns. 3. How am I a better direct care worker as a result of this experience? This was a positive experience for me because I usually want to rush through my morning duties. I need to continue to push myself to be patient and really take time to listen and show that I am listening. 2010, The Alaska Mental Health Trust Authority, The Western Interstate Commission for Higher Education, and The Annapolis Coalition on the Behavioral Health Workforce 53

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