Guidance for Performance Evaluation of School Occupational Therapists

Preface

Guidance for Performance Evaluation of School Occupational Therapists was developed by

the American Occupational Therapy Association (AOTA) in response to requests from states,

local school systems, and occupational therapy practitioners for assistance in light of new

educational accountability standards. The objectives are threefold: (1) to identify the unique and

essential contributions of occupational therapists (OTs)within their multiple school-based roles;

(2) to offer guidance for measuring performance in those roles; and (3) to offer an additional

sample process and rubric for evaluating school OTs. This guidance is not designed to address

performance evaluation of occupational therapy assistants working in public schools.

A combination of literature review, inquiry and feedback from school occupational therapists

and educator evaluation experts, and iterative team-based authoring were used to develop this

resource. It is intended solely as expert guidance; it is not an effort to prescribe, regulate, or

mandate the performance evaluation of occupational therapists working in public schools. The

information and samples are offered to support states and local school systems as they design

evidence-based occupational therapist performance evaluation processes and instruments specific

to their context and needs.

Members of the workgroup include: Lauren Holahan, MS, OTR/L, North Carolina

Department of Public Instruction OT Consultant; Sarah Burton, MS, OT/L, FAOTA, OT

Coordinator, Prince George’s County Public Schools, Maryland; Patricia Laverdure, OTD,

OTR/L, BCP, Manager, Physical and Occupational Therapy Services, Fairfax County Public

Schools, Virginia; Mary Muhlenhaupt, OTD, OTR/L, FAOTA, Assistant Professor, Thomas

1
Jefferson University Department of Occupational Therapy, Philadelphia; in consultation with

Sandra Schefkind, MS, OTR/L, AOTA Pediatric Coordinator.

 Introduction

With the appropriation and allocation of the U.S. Department of Education (ED) Race to the Top

(RttT) competitive grant program (2009b), state and local education agencies have entered a new

era of educational reform. This has taken place regardless of RttT awards. The message from

Washington is clear: student achievement, high school graduation, and preparation for success in

college and careers shape the mission of American public education. One of the central

components of this effort is teacher and principal effectiveness demonstrated through student

growth data. This process affects occupational therapists working in public schools.

Many states have recognized that student growth in learning, especially for students with

disabilities, depends on factors and influences other than teachers and principals. The

contribution to student growth by curriculum and pupil support personnel, including related

services providers or specialized instructional support personnel such as occupational therapists,

is often under identified and undocumented (ED, 2009b).In an effort to articulate the educational

impact of pupil support staff, states and local school systems are exploring ways to include

related services providers in newly designed staff evaluation systems.

RttT assessment systems require approaches that:

∙ demonstrate students’ growth between two or more points in time,

∙ are comparable across classrooms (or, for occupational therapists, across workloads), ∙

are rigorous,

∙ derive from appropriate grade-level standards, and

demonstrate high expectations for student learning (Goe&Holdheide, 2010). In addition to the

RttT influences, since 2004 state and local education agencies are required to demonstrate

compliance and growth in the 20 indicators of the Individuals with Disabilities Education Act
(IDEA) Part B State Performance Plan (SPP) (ED, 2009a). These indicators guide states as they

implement IDEA and measure their performance when educating students with disabilities. SPP

indicators underscore data about graduation rates, dropout rates, and whether services prepare

students for further education, employment, and independent living (Goe&Holdheide, 2010).

Although it is generally accepted that related services providers, including occupational

therapists, supply valuable expertise in meeting the SPP growth goals for students, the

mechanisms of their contributions have not been well articulated.

Accountability is only one area emphasized in the new educational improvement models.

Reform is another central component. Professional development plans must be informed by

performance appraisal data, which may include supervisor ratings, self-assessment, peer and

team member review, as well as artifacts and evidence from practice that contribute to staff

evaluations. This type of systematic, data-based, multi-source feedback approach to identify

professional development needs is essential to meet reform mandates and build school personnel

capacity.

AOTA offers many resources that can assist in evaluating practitioner performance,

including official documents such as:

Occupational Therapy Code of Ethics and Ethics Standards (2010)(AOTA, 2010c)

3
Occupational Therapy Practice Framework: Domain and Process, 2ndedition (AOTA,

2008c)

Guidelines for Documentation of Occupational Therapy(AOTA, 2013)

Guidelines for Supervision, Roles, and Responsibilities During the Delivery of

Occupational Therapy Services (AOTA, 2009a)

Occupational Therapy Services in Early Childhood and School-Based Settings (AOTA,

 2011a)

Standards of Practice for Occupational Therapy (2010e)

Providing Occupational Therapy Using Sensory Integration Theory and Methods in

School-Based Practice (AOTA, 2009d)

Other AOTA resources include Fact Sheets on Occupational Therapy in School Settings (AOTA,

2010d), Occupational Therapy and School Mental Health (AOTA, 2009c), Occupational

Therapy’s Role With Autism(AOTA, 2011b), and Occupational Therapy and Universal Design

for Learning(AOTA, 2010b); Frequently Asked Questions (FAQs) on School Mental Health

(AOTA, 2008b), Autism Spectrum Disorders (AOTA, 2010f), and Response to Intervention (RtI)

(AOTA,2008a); Tip Sheets for teachers and consumers (AOTA, 2009b), and a downloadable

PowerPoint for in-services on school service (AOTA, n.d.b). The AOTA Commission on

Continuing Competence and Professional Development developed a Professional Development

Tool (PDT) (AOTA, 2003) for evaluating professional development needs and interests and for

developing a plan of action. AOTA has also developed voluntary specialty certification in School

Systems and Pediatric board certification (AOTA, n.d.a,c) that is available to its members.

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Several competencies and appraisal instruments are available at the state and local levels.

Many of these have been developed without occupational therapist involvement or reference to

the IDEA SPP indicators, and most were completed prior to the RttT requirements for

assessment systems (Goe&Holdheide, 2010).

∙ While existing performance systems may satisfy immediate local needs, debate continues

as to what data best determine occupational therapist effectiveness,

∙ who is best suited to conduct the performance appraisal, and

∙ how the results should shape future professional development.

 Evaluation of occupational therapists working in public schools can benefit from a more

reliable, broadly accepted, policy-conscious, and educationally relevant approach. With 21.6% of

occupational therapists working in schools, AOTA (2010a) recognizes the need to provide

informed support to both school-based occupational therapists and their employers during this

pivotal time. This document offers guidance for states and local education agencies as they seek

to evaluate the effectiveness of occupational therapists working in public schools. Content is

based on professional practice standards, current research, federal mandates, and expert

knowledge in school-based service.

Education Personnel Effectiveness and Student Achievement

Value-Added Models

Measures of teacher performance and student learning outcomes based on a value-added

model (VAM) of student achievement have become popular in research and are gaining

5
increasing acceptance among policymakers in the development of pay-for-performance

processes (Braun, 2005). Many states and local educational agencies are considering research

indicating that pay-for-performance incentives may contribute to improvement in teaching

practices and student/program outcomes (Coggshall, Ott,Behrstock, & Lasagna, 2009; Firestone

1991; Springer et al., 2010).The use of VAMs is supported in the RttT program as a means to

objectify teacher effects on student learning and achievement (ED, 2009b). VAMs employ

statistical methodology to estimate the effects of individual schools and/or teachers through

longitudinal test score data. VAMs that include hierarchical linear modeling, percentile growth

scores, and other statistical procedures have been developed to evaluate teacher effectiveness

while attempting to eliminate the influence of factors such as prior student achievement and

socioeconomic status (Goldhaber& Brewer, 1997; Palardy&Rumberger, 2008; Rowan, Chiang,

& Miller, 1997).

 6
Researchers, educators, and policy makers identify a number of challenges in using student

performance data to analyze teacher effectiveness (Harris, 2010; Holdheide, Goe,

Croft,&Reschly, 2010; Koedel& Betts, 2009; Kupermintz, 2003; McCaffrey, Lockwood, Koretz,

& Hamilton, 2004; Olson, 2004; Pearson Education, 2004; Popham, 2010; Rothstein, 2009,

2010; Toch& Rothman, 2008; Tucker & Stronge, 2005).These factors are even more salient for

itinerant instructional support staff like occupational therapists:

1. Existing measures of student performance tend to focus on high-stakes domains (English,

language arts, and math), and may not reflect the full range of growth and learning (e.g.,

social-emotional learning, higher order thinking skills, etc.).

2. Statistical methodologies, missing data, population size, testing accommodations, and

alternate test forms may inaccurately identify teacher effects on achievement. 3. It is difficult

to correlate achievement to an individual teacher because of the influence of multiple factors

on student achievement. These factors include student maturation, health status, motivation,

interest, mobility and attendance; family and peer influence; non random classroom

assignment, instruction provided by other teachers or service providers, and individualized

instruction provided by alternate teachers and alternate or remedial programs.

4. Achievement trajectories may vary considerably in children with disabilities, and

 annualized progress may be inconsistent.

5. Research is lacking on the use of VAMs with special educators and related services

providers.

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Occupational Therapy Models

Occupational therapy in schools encompasses a unique body of knowledge that changes

rapidly with local, state, and federal regulatory updates; the dissemination of scientific evidence;

and the development of best practices. Occupational therapists build on their initial preparation

and take ongoing steps to ensure performance effectiveness in the school setting (Brandenburger

Shasby, 2005; Case-Smith & Cable, 1996; Hollenbeck, 2010; Royeen&Furbush, 1996; Swinth,

Chandler, Hanft, Jackson, & Shepherd, 2003).The literature suggests, however, that many

occupational therapists enter school practice without a uniform method of preparation and

competency maintenance (Brandenburger-Shasby, 2005; Case-Smith & Cable, 1996;

Hollenbeck, 2010; Royeen&Furbush, 1996; Swinth et al., 2003).

Best practice is supported by a culture that values continuing competency, performance

assessment, and outcome measurement, coupled with explicit, systematic, and intentional

professional development opportunities (Banfield&Lackie, 2009; Gleeson, 2010; Hollenbeck,

2010; Lysaght, Altschuld, Grant, & Henderson, 2001; Peterson, McMahon, Farkas, & Howland,

2005; Royeen&Furbush, 1996). An explicit competency-based model for appraisal clearly

documents:

1. continuing competence and change in performance,

2. maintenance of licensure and school division requirements,

3. contribution to student achievement outcomes through analysis of the outcome

artifacts collected, and

 4. self-assessment of knowledge, clinical and ethical reasoning, communication skills

and performance.

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Environments that promote a culture of continuing competency through professional

competency-based performance assessment, workplace monitoring, and expectation for quality

practice are associated with positive outcomes for clients served (Jensen, Gwyer, Shepard

&Hack, 2000).

There is scant literature addressing the development of competency assessment and

maintenance in school occupational therapists. Competency-based performance evaluation may

inform professional development models and actions for therapists as they progress from novice

to expert competency. In addition, explicit performance assessment may support local, regional,

or statewide efforts to develop the capacity, capability, and sustainability of their occupational

therapy workforce in school settings. A four-pronged approach to competency development is

recommended:
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1. Federal and state agencies support accessible state and regional level trainings that

promote evidence-based practice and outcomes (Andersen, 2001; Craik&Rappolt, 2006;

Lowe, Rappolt, Jaglal, & Macdonald, 2007; O’Brien, 2001; Suarez-Balcazar, Hammel,

Helfrich, Wilson, & Head-Ball, 2005).

2. The state occupational therapy association collaborates with state education departments

and disability/advocacy organizations to support supervision and peer mentorship for

school-based occupational therapists (Swinth, et al., 2003).

3. Local school system occupational therapy services reflect policy, practice supports, and

guidelines developed by AOTA to promote highly qualified occupational therapists and

implementation of evidence-based practices in school settings (Clark, Jackson,

&Polichino, 2011).

4. Local school system supports quality professional development activities that promote

reflection, lifelong learning, and application of best practices in the schools (Andersen,

2001; Craik&Rappolt, 2006; Lowe et al., 2007; O’Brien, 2001; Suarez-Balcazar et al.,

2005).

To date, there is no literature that addresses the validity of using VAMs to evaluate the

effectiveness of school-based occupational therapists. Effectiveness is paramount, however, and

evaluation processes are necessary to determine an occupational therapist’s contribution to

student learning and school improvement. It is essential that the evaluation:

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∙ considers occupational therapy’s unique contribution to the educational process, ∙

 incorporates the roles and functions of an occupational therapist in meeting the diverse

needs of students, and

∙ measures occupational therapist effectiveness in contributing to student success.

A performance assessment system grounded in the context of student outcomes and continuing

professional development provides the strongest picture of an occupational therapist’s

effectiveness and value-added contribution to the school division he or she supports. The

competency based performance assessment process described above can serve as a cornerstone

for the development of a continuum of professional development opportunities for continuous

improvement of knowledge of, trends in, and changes in school system practice.

Unique Contribution of Occupational Therapy in Public Education

Occupational therapy engages clients in meaningful routines, roles, and occupations in a

manner that supports their health and participation (AOTA, 2008a). In school practice, clients

include students, teachers, families, classes, schools, and school districts. Occupational therapists

are experts at identifying ways to engage students in educational activities and supporting them

to develop competence in their roles as students. Occupational therapists’ expertise supports

system-wide initiatives by addressing ways to promote safe and accessible environments for

student participation. They work with other education personnel to develop curriculums and

design curricular accommodations. They help build capacity through instruction and support

provided to families and individual members of the school team through professional

development trainings.

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Contribution to Student Learning

Students attend U.S. public schools to acquire content knowledge, life skills, and social

capital in preparation for life roles such as college student, community member, and career

builder. To that end, occupational therapists contribute to students’ mastery of curricular

standards by identifying their learning styles, strengths, and needs; facilitating development of

learning, as well as study and test-taking habits and skills; and maximizing their ability to show

what they know. Occupational therapists have expertise in activity and environmental analysis

and modification. This expertise means that they are able to:

∙ Offer curricular modifications for Universal Design for Learning (UDL) to help

make learning accessible for all students

∙ Offer recommendations for differentiated instruction to accommodate a variety of

learning preferences

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∙ Offer strategies to promote literacy in reading and writing

∙ Help students meet State Common Core Standards or other measures of

 achievement

∙ Support physical and mental health of all students, with or without disabilities,

which is necessary for successful learning to occur

Many students with needs in the areas of personal care, materials and time management,

understanding disability, self-advocacy, or coping require an occupational therapist’s skills and

knowledge in prevention, promotion, and intervention strategies to successfully participate in

their school day and benefit from educational opportunities. Occupational therapists also help

students interpret and engage the social milieu of the educational environment in order to access

instruction, enjoy friendships, and serve the school community, and they support students’

transitions into and out of their school careers.

Contribution to School Improvement

The occupational therapy lens is valuable to help identify and improve the quality of both regular

and special education. Occupational therapists observe in the classroom, co-teach, coach

instructional personnel, and implement environmental modification to facilitate learner

instruction fit and learner-environment fit. Occupational therapists build teacher capacity through

in-service presentations at grade-level and faculty meetings. They provide direct training and

technical assistance, and they serve on problem-solving teams. In tiered and problem-solving

systems of support, they design strategies and interventions to foster student performance in the

classroom and train instructors in their use (see Domain section below for performance areas).

13
Occupational therapists are particularly skilled in applying principles of UDL(CAST, 2011),

sensory processing, and biomechanics to maximize students’ participation and learning during

instructional activities. They are highly skilled in addressing cognitive and executive functioning

that impacts learning and academic achievement.

 Occupational Therapy in Schools

The Occupational Therapy Practice Framework (AOTA, 2008c) outlines the domain and

process of occupational therapy. Federal and state education law and regulations, local education

agency goals and priorities, and requirements of the school’s curriculum frame the specific focus

of occupational therapy in each school setting.

Domain

Occupational therapists in school systems support children and youth to develop competence

in student roles and participate in school occupations (see Table 1).They are knowledgeable

about the skills and habits needed for success in expected student roles and occupations. They

understand human development, social-emotional functioning, sensory processing, and the

development of functional life skills. Occupational therapists are skilled in task analysis, the use

of technology and specialized equipment, as well as environmental modification to promote

function. They bring knowledge of how a range of health-related issues may impact student

performance in the classroom and in other naturally occurring activities within the school

setting.

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Table 1. Student Roles and Occupations
Roles (Chapparo& Lowe, 2012) Occupations (AOTA, 2008c)
∙ Learner (following demonstrations, ∙ Education (academics; non-academic
carrying out verbal and written contexts such as recess, the cafeteria;
directions, demonstrating extracurricular activities, such as
knowledge, attending to sports, band, clubs; pre-vocational
instruction, completing and
assignments) vocational participation, such as
volunteering, and after school
∙ Worker (using classroom tools, employment
producing written work, producing
artwork, using technology) ∙ Personal care (feeding/eating, toileting,
dressing, hygiene, managing personal
∙ Community member (following belongings, personal organization)

protocols and routines in the

∙ Play(turn-taking, imaginative play,
classroom, non-academic classes like
music, PE, and art ,on campus, on the sharing materials, exploring new play
bus, and in the cafeteria; exercising ideas/opportunities, extracurricular
safety activities)
awareness; contributing to group
projects; respecting the ∙ Community integration/Work

space/time/materials of others (fieldtrips, school-related vocational

interests and training, community
∙ Friend (negotiating relationships with mobility)
peers and staff)
∙ Social participation and interactions

∙ Player (participating in recess, physical (community and school, peer and

education, team activities, family engagement)

extracurricular activities including

sports and leisure)

∙ Self-carer(managing personal care

needs, items and materials)

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These roles and occupations provide units for analysis. Occupational therapists
understand that multiple other variables, including student attributes, the teaching-learning

process, staff attributes, family and peer attributes, the school context (temporal, physical,

sensory, cultural, virtual) and environment (physical and social), and activities and materials,

also influence a student’s school performance. It is often this comprehensive and holistic

perspective of dynamic relationships among the student, other persons, environment, and

educational activities that instructional teams find so valuable in the occupational therapist’s

contribution.

Process

The Occupational Therapy Practice Framework description of process guides the

occupational therapist’s decision-making and actions (AOTA, 2008c). This process is

occupation-centered and identifies strengths and needs affecting student performance and

participation. Occupational therapists address specific student issues, along with system elements

that support or limit the student’s ability to function and/or participate fully in school activities.

The process provides guidance for school occupational therapists to:

∙ Gather the occupation profile by identifying the client (student, teacher, team, family);

their occupational history and their priorities; why they are seeking occupational therapy

services; and what has been successful or problematic in various contexts and/or

environments

∙ Address referral concerns through a top-down evaluation approach (Coster, 1998) ∙

Collaborate with team members to make data-driven decisions regarding o eligibility

for special education

o individualized student goals

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o the need for specialized services

o the need for supports in the general education context

 ∙ Establish intervention plans based on individualized education program (IEP) goals to

promote students increased function and participation, or to prevent decline in function

and participation

∙ Provide intervention with students and consult with team members

∙ Use data to monitor student progress and outcomes

∙ Collaborate with school personnel to support training, environmental modifications and

curriculum implementation that enables participation and performance of all students

Occupational Therapist Roles

Occupational therapists’ roles in evaluation, planning, and service delivery in school

settings are discussed in this section. While these roles are common for most school occupational

therapists, the number and proportion of the roles exhibited will vary based on the occupational

therapist’s assignments, workload, experience level, skills, and preferences. Outcomes

anticipated from occupational therapy contributions are categorized according to their benefit to

students, school staff members, the school community, and families. Strategies and methods to

assess the occupational therapist’s performance are outlined, along with examples of relevant

artifacts and resulting work products that provide evidence for the appraisal, in Tables 3, 6, 7,

and 8.

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Evaluator

Occupational therapists participate in individual student evaluation in regular and special

education. Informed consent requirements may vary per state. Informed consent is needed for
evaluations and screenings if the purpose is to make a decision about the need for special

education or if the child is going to participate in testing that is not offered to the general

population. In some states, classroom observation of a specific student for the purposes of

differentiating instruction or tiered interventions requires parental consent. If state occupational

therapy regulations allow, activities prior to a referral for special education evaluation, such as

screening students or providing teachers with strategies, may be conducted by an occupational

therapist to facilitate student participation. Information gathered by an occupational therapist

prior to formal evaluation may help student support teams determine the need for more intense or

specialized interventions, or additional student performance data. The occupational therapist may

conduct observations, review work samples, and interview team members, including teachers,

parents, and the student, to gather information.

Occupational therapists may participate in the comprehensive evaluation of a student as part

of the initial referral for a special education evaluation, or complete an evaluation for a student

already identified with a disability that adversely impacts educational performance. The

occupational therapist collaborates with educational team members to determine which school

related activities challenge the student’s participation in the educational setting. The evaluation

process is based on an enablement model of practice, focusing on capability rather than

disability. Table 2 outlines common sources for occupational therapy evaluation data.

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Table 2. Common Occupational Therapy Evaluation Data Sources

∙ Educational file review, including classroom intervention data ∙

Interview with the student, teacher(s), parent(s), community providers ∙

Skilled observation of the student’s engagement in typical school

environments, routines, and activities
 ∙ Administration and interpretation of standardized and non-standardized
assessments of relevant skills or functional performance

∙ Review of student work samples

The evaluation data gathered and interpreted by an occupational therapist is not primarily

intended to answer the question, “Does the student need occupational therapy at school?”

Instead, along with the information gathered by other IEP team members, occupational therapy

evaluation data contributes to identify the student’s educational strengths, needs, and factors that

support or limit performance. For students initially referred to special education, the evaluation

data helps the team determine whether the student has a disability that adversely impacts

educational performance and requires special education. Occupational therapy evaluation data is

useful as the team establishes priorities and determines ways the student can access activities in

the classroom and across the school environment, participate in instruction, and make progress in

the curriculum. Once the team develops IEP goals based on evaluation data, a determination is

made regarding whether the student requires occupational therapy services to benefit from the

special education program.

See Table 3 for guidance to assess the occupational therapist in the evaluator role.

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Table 3. Evaluating Occupational Therapist Role as Evaluator
Occupation Anticipated outcomes on behalf of the… Strategies to Artifacts/Work
al evaluate OT Products for
Therapist performance performance
(OT) Role may include… evaluation may
include…
Evaluator Student:
∙ observe ∙ Occupational
∙ identify capabilities, strengths, and occupational Therapy
needs, patterns of performance and therapist Evaluation
habits for academics, and participation - conducting an Report
in school occupations evaluation
- interviewing
∙ identify any individualized learning ∙ team meeting
staff or family
goals, with recommended strategies to minutes
member
promote student access and
- participating in
participation in academics and school
an IEP meeting ∙ IEP documents
occupations

Staff: ∙ review ∙ peer review

∙ improved understanding of how assessment documentation

reports and IEP
the student’s medical,
documentation
developmental, ∙ observation reports
behavioral, and/or psychosocial status
impacts school participation and ∙ solicit feedback
∙ staff and family
from IEP team
learning ∙ improved knowledge of the
members surveys/feedback
student as a learner

∙ IEP team decisions are based on data

∙ review OT’s
about the student’s ability to access and
self
participate in the school community ∙ assessment

improved ability to differentiate

instruction ∙ review peer

∙ identified professional evaluation

development needs summary

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 School Community:

∙ identified assets of and barriers to

school environment

Families:

∙ increased knowledge of their child as

a student and learner

∙ increased ability to support their

child’s performance in student
learning
activities

∙ improved collaborative partnerships

with school teams

∙ increased capacity for parenting

∙ improved access to information to

assist them in planning family and
community activities

Service Provider

Occupational therapists provide services at a variety of levels throughout the educational

process (Table 4). They offer instruction, training, and support for school staff and parents and

assist in district planning. Occupational therapists serve students in the least restrictive

environment (LRE), which typically means they embed strategies within the student’s classroom

schedule or daily routine. Strategies to increase student participation in the LRE should be

implemented before isolated interventions are attempted and may include collaboration and

provision of team supports, and modifications to the environment, schedule, activities, materials,

or assignments. The occupational therapist develops an intervention plan (AOTA, 2008a) that

guides services according to the student’s strengths, needs, interests, goals, and the provisions

available in the situation (see Table 5).

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Table 4. Occupational Therapy Services in the School System
Focus Examples

System Level or
∙ Consult with Central Office teams in planning activities (e.g.,
Local Education
equipment acquisition for elementary school playgrounds or all
Agency
self contained classrooms for children with autism)

∙ Develop protocols (e.g., management of students with sensory

differences or mobility needs during fire drills)

∙ Design and select curriculum (e.g., analyze appropriateness of

handwriting or driver education curricula, prepare for transition
from middle school to high school)

∙ Address parenting issues (e.g., strategies for homework completion

and self-management)

∙ Enhance instructional methods (e.g., provide training on how to

engage students in the work of the classroom)

School Level
∙ Provide student and staff training (e.g., organize an assembly on

disability awareness or offer school-wide ergonomics checks) ∙

Contribute to school-wide tiered processes ( RtI or Positive Behavioral

Support

∙ Consult during building construction and renovation

∙ Participate in school health and safety committees

Grade Level
∙ Provide in-services at grade-level meetings (e.g., on how to use
physical activity to teach and reinforce grade-level math
concepts)

Classroom Level
∙ Co-teach or collaborate with teacher to design classroom

environments, schedules, and routines

Group of Students
∙ Lead or co-teach during center-based or station-based learning in a
classroom

∙ Organize before or after school groups to address social skills, study

skills, or fitness and personal care habits
Individual Student
∙ Develop, implement, and evaluate intervention services outlined in the
IEP or the Section 504 plan, as appropriate

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Table 5. School-Based Occupational Therapy Intervention Plan(AOTA,

2008c) ∙ Student goals for engagement in activities within the educational setting

∙ Frequency, duration, and location of service(s)

∙ Intervention approaches

o Create/promote (e.g., skill/performance enhancement/health promotion)

o Establish/restore (e.g., skill/performance acquisition or remediation)
o Maintain (e.g., sustain skill/performance that is likely to decrease)
o Modify/adapt (e.g., environment/activity/program adjustments such as changing
schedules, protocols, or rubrics to support student engagement, organization, and
performance in school tasks/activities, or enhancements to promote student access and
participation, including assistive technology)
o Prevent (e.g., for those at risk, such as providing early intervening support and avoiding
secondary complications)

∙ Intervention Types

o Therapeutic Use of Occupations and Activities (e.g., whole class, group, one-on-one with
student)
o Advocacy (e.g., class training of disability, playground equipment, funding for
equipment)
o Education of team members (e.g., training)
o Consultation with team members (e.g., problem solving)

∙ Whole class

∙ Group

∙ One-on-One Interaction

∙ Outcome Measures

o Increased participation in school routines and learning activities

o Student achieves IEP goals
o Increased team satisfaction with student performance
o Increased competence or autonomy in student role
 o Increased health and wellness as seen by active and positive choices for physical, mental,
and social participation
o Prevention of further difficulties
o Improved quality of life at school
o Increased team/team member competence

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∙ Recommendations for parents and teachers

∙ Team discussion about when the student may no longer require occupational therapy to support
participation in the curriculum

∙ Referral (e.g., community programs/resources, other disciplines)

Throughout service implementation, the occupational therapist considers the evidence in

selecting interventions and then collects and uses data to evaluate the effect of intervention and

determine factors that influence change. When tracking data on a specific intervention or

program, the occupational therapist:

∙ selects outcomes to document student progress toward goals,

∙ identifies meaningful and feasible data collection methods,

∙ determines frequency and duration of data collection, and

∙ collaborates with other team members to identify personnel required for data collection.

According to Swinth, Spencer, and Jackson (2007), when evaluating the efficacy of service,

occupational therapists aim for direct impact on the student’s performance of educational

activities and the student’s participation within the education context, with an end view of

students becoming career and college ready. Service recommendations and plans are modified,

as needed, according to data collected.

See Table 6 for guidance on how to assess the occupational therapist in the service provider role.

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Table 6. Evaluating Occupational Therapist Role as Service Provider
Occupation Anticipated outcomes on behalf Strategies to Artifacts/
al of the… assess OT may Work
Therapist include… Products
(OT) Role may
include…

Service Student:
∙ observe ∙
Provider
∙ improved performance patterns, occupational documentatio
skills, and habits for academics therapist: n of
- providing collaborative
interventions in planning
∙ increased competence in student
a variety of ∙ OT
roles and functional life skills
contexts with
intervention
student and/or
plan
∙ increased participation in school staff members
occupations, curriculum, and - collaborating
with staff or ∙ IEP
learning activities in the classroom
and across the campus family member documents,
- participating in intervention
an IEP meeting plans, student
∙ access to instruction/learning
work samples,
activities through assistive
service log
technology or ∙ review
data, progress
environmental modification progress
notes
monitoring
data
∙ increased self-advocacy ∙ videotapes/
and documentation
photographs

∙ solicit feedback
 from students,
teachers, parents
∙ feedback
Staff: and colleagues
from
∙ increased capacity for instruction of students,
all students ∙ review OT’s teachers,
self parents, and
assessment colleagues
∙ improved ability to
differentiate instruction
∙ records of
team
∙ improved understanding of how
communicati
the student’s medical,
on
developmental,

∙ mentorship

documentation

25
behavioral, and/or psychosocial status
∙ review peer ∙ peer review
impacts school participation and
learning
evaluation documentation
summary

School Community: ∙ student

∙ increased use of environmental assessments

and outcome
modification and/or
adaptations, measures

including assistive technology, leads

to participation by all students in
school occupations as well as
academic
performance and participation in
extra curricular activities

Families:

∙ increased strategies to engage

 their child in family and
community life activities

∙ increased ability to support

student learning

∙ enhanced collaborative
partnerships with school teams

Collaborative Consultant

Occupational therapists often consult with educators and other school staff members to

facilitate student performance. Through communication and cooperation, timely sharing of

perspectives and expertise, identification of mutual interests, service coordination, and

interagency coordination (Swinth et al., 2007), occupational therapists contribute to student

academic and functional outcomes. Consultation may focus on a specific student’s need to

achieve identified goals. Consultation may focus more broadly, helping teachers incorporate

pre-

26
referral classroom interventions in their classrooms. Building teachers’ capacity to integrate

functional skills—students’ use of tools in the classroom, time management, or personal care

independence—into their daily routines and instructional approach may decrease students’ need

for direct services from specialists, such as occupational therapists.

Occupational therapists rely on skill in collaboration and the interactive team process to

address key issues within children’s education (Hanft& Shepherd, 2008).Occupational therapy

consultation has application in a number of areas, including:

∙ professional development activities and materials (in-services, workshops, one-on-one

mentoring, coaching, brochures, Websites, career fairs),

 ∙ evidence-based practices including data collection, research-driven projects, and

development (time studies, grants, audit reviews, surveys),

∙ administrative procedures (school/district/state process guides, Medicaid billing, ethical

issues, scheduling),

∙ curriculum development (writing, adaptive skills, transitions, social skills), ∙

budgeting (specialized equipment, materials, professional development, hiring), ∙

outreach and partnership with community/public agencies, and

∙ recruitment and personnel management (job fairs, job postings, interviews, personnel

evaluations/observations, contractual agencies)

See Table 7 for guidance to assess the occupational therapist in the collaborative consultant role.

27
Table 7. Evaluating Occupational Therapist Role as Collaborative Consultant
Occupation Anticipated outcomes on behalf Strategies to Artifacts/
al of the… evaluate OT Work
Therapist may include… Products
(OT) Role may
include…
Collaborati Student:
∙ observe ∙ classroom
ve
∙ increased participation in school occupational intervention
Consultant
occupations and activities therapist: protocols
- collaborating, (positioning
coaching, and schedules,
∙ inclusion in positive and
problem-solving activity
consistent learning environments
with team modifications,
members mealtime
∙ participation in the least - participating in plans, etc.)

restrictive environment an IEP meeting

throughout the school career - providing staff

∙ progress
training or in
services
∙ improved access to services

notes ∙ data
∙ review OT
Staff:
service
∙ consistent and appropriate use of collection
documentation
adaptive equipment and
assistive
∙ student work
∙ solicit feedback
technology
samples
from students,
∙ improved ability to differentiate
teachers, parents
instruction and colleagues ∙
∙ increased capacity to instruct videotapes/p
students in the least restrictive ∙ review hot ographs
environment evaluations of
∙ improved understanding of how the in-services and/ ∙ feedback
or trainings
student’s medical, developmental, from
behavioral, and/or psychosocial provided by OT students,
status impacts school participation teachers,
and learning parents, and
colleagues

28
 ∙ enhanced knowledge and ∙ review OT’s ∙

strategies for transition planning self documentation

and implementation assessment of staff and/or
family trainings
School Community:
∙ review peer
∙ allows for robust pre-referral evaluation ∙ peer review

process and subsequent creative summary documentation

strategies

∙ examples of
∙ increased school safety (e.g., emergency
ergonomics, bus safety, response and
evacuation plans, and emergency safety plans
response plans)

∙ utilization of strategies to

improve and promote the health

and well-being of children and
families by addressing issues
such as obesity, ergonomics,
backpack awareness, bullying
prevention,
and playground safety

∙ utilization of environmental

modifications, adaptations, and

assistive technology to create
accessible classrooms and
playgrounds, leads to
participation by all students in
academics, school occupations
and extracurricular activities

29
 Families:

∙ increased use of strategies to

engage their child in family and

community life activities

∙ increased knowledge of school

and community resources

∙ enhanced knowledge and

strategies for transition planning

and implementation

∙ increased capacity for obtaining,

maintaining, repairing, and
financing adaptive equipment,
assistive technology, and
environmental adaptations

∙ increased ability to support their

child’s performance in student
learning activities

∙ enhanced collaborative

partnerships with school teams

Administrator/Manager

School occupational therapists manage their practice through scheduling and prioritizing work,

ensuring program integrity, procuring and maintaining therapy equipment and materials,

submitting administrative reports, developing effective procedures, making data-based decisions,

and communicating proactively. Occupational therapists are responsible for their competencies

30
and sustained knowledge concerning state and federal legislation, professional standards, best

practice guidelines, and local policy.

Occupational therapists may supervise occupational therapy assistants, pre-service

occupational therapy interns, and volunteers. As supervisors, occupational therapists provide

education/training and share best practice strategies to positively impact the work of others. They

may develop and implement fieldwork or mentoring programs, oversee relevant classroom

programming, and assist other staff to identify and pursue professional goals.

See Table 8 for guidance to assess the occupational therapist in the administrator and

manager role.

Leader and Scholar

Role Model

Schools are environments in which student character develops and commitment to

student outcomes is the highest priority. Part of character education is encouraging the

acquisition of positive habits by offering students effective role models. Occupational therapists

are role models and, in this capacity, are responsible for demonstrating positive conduct and

attitude. Further, occupational therapists are expert in the assessment and development of

productive habits and routines for daily life and activity. The habits students acquire in school

contribute to their character development and trajectory.

Advocate

Given their expertise in facilitating student participation in contexts that support optimal

performance, occupational therapists often serve as advocates to promote students’ participation

31
in the least restrictive environment. Further, teachers and families may need support in

identifying issues, implementing interventions, determining methods for monitoring progress,

and analyzing student performance data. Being well versed in the therapeutic model, which at its

core is a problem-solving and strengths-based model, occupational therapists help staff and

families obtain the resources, training, equipment, and support needed to ensure student growth.

Students benefit from opportunities to develop activity interests, build relationships with peers,

and establish a sense of belonging in the school community (Knesting, Hokanson, & Waldron,

2008). Active engagement and belonging enable them to experience positive feelings about

their capacities and contributions, understand and feel confident about the differences that exist

between themselves and other children, and develop productive roles (Nutbrown& Clough,

2009). A community that values contributions by all, expects participation by individuals with

and without disabilities, and encourages engagement in mutual and reciprocal relationships and

self-chosen activities, facilitates membership and participation (Milner & Kelly, 2009). An

inclusive community emphasizes these characteristics and provides students with opportunities

to build self-advocacy skills that generalize to other situations and last throughout their lives.

School-based occupational therapists support inclusion and facilitate opportunities for student

and family participation in school and neighborhood communities. They work to eliminate

structural barriers to student participation in the community and support community integration.

Caring and empowering school professionals who connect families to the school community

and to other families enable parents to achieve the supports they need to successfully negotiate

the challenging transitions of childhood and parenting (Giovacco-Johnson, 2009). Occupational

therapists are often instrumental in facilitating intentional school–family connections that

enable all children to identify their personal interests, recognize and exercise

32
their rights to make choices and decisions, engage actively in meaningful occupations, and

construct meaning in home and school contexts.

Researcher and Evidence Translator

The No Child Left Behind Act (NCLB) of 2001 and IDEA 2004 emphasize evidence
based practice to ensure high-quality practice in the school setting. Best practice in evidence

based decision making involves integrating relevant research and other data, clinical expertise,

the contextual task demands and expectations, and the client’s values and preferences (Haynes,

Devereaux, &Guyatt, 2002). As health care professionals in educational settings, occupational

therapists often investigate student health conditions, consult with community providers, and

survey relevant literature to inform team planning, instruction, and intervention.

To stay abreast of current methods, occupational therapists must actively seek out and

review current research in their area of practice. This research evidence is used to inform clinical

reasoning and decision making in the school setting. Occupational therapists have a professional

responsibility to read scholarly journals, pursue continuing education courses, and stay current

with the resources offered by national and state professional associations. Whenever possible,

occupational therapists must implement practices and interventions that draw on a strong

research base. By providing evidence-based services in schools, occupational therapists “…

integrate professional wisdom with the best available empirical evidence in making decisions

about how to deliver instruction” (Whitehurst, n.d., p.3) to improve academic and functional

outcomes for all students.

Data collection as part of service delivery demonstrates the effectiveness of intervention

for the individual student or a group of students, and provides evidence that guides the

33
occupational therapist’s clinical reasoning. This practice-based evidence may also be applied

when designing interventions for other students working toward similar goals.

Table 8. Evaluating Occupational Therapist Role as Administrator/Manager, Leader, and Scholar

Occupational Anticipated outcomes on behalf Strategies to Artifacts/
Therapist of the… evaluate OT Work
(OT) Role may include… Products
may
include…
Administrat Student: agendas,
∙ observe
or/ Manager outcomes, and
∙ access to evidence-based services occupational
notes from
therapist:
Leader and committee
- collaborating
Scholar ∙ participation in positive and meetings
and consulting
consistent learning environments
with school,
Role Model feedback from
district, and/or
Advocate students,
∙ participation in the least restrictive state personnel
parents, and/or
environment throughout their -problem
Researcher colleagues in
school career solving with
and the form of e
team members
Evidence mails, letters,
Staff: - presenting
Translator and/or in-
and/or
∙ increased access and capacity person
supporting
communicatio
for evidence-based district and/or ns
intervention and instruction
state level
professional
documentation
∙ improved ability to development of self-
differentiate instruction assessment
∙ review OT and
professional
∙ improved understanding of how the service
development
student’s medical, developmental, documentation
plan with
behavioral, and/or psychosocial for compliance,
updates
status impacts school participation reference to
and
continuing
learning
competence
activity

34
School Community: published documentation
literature (e.g., journal
∙ utilization of strategies to
club records,
improve and promote the health
mentorship
and well being of children and ∙ solicit feedback
logs,
families by from students,
annotated
addressing issues such as obesity, teachers, parents,
bibliography of
ergonomics, backpack awareness, and colleagues
professional
bullying prevention, and
reading)
playground safety
∙ review OT’s
self post-
∙ school climate embraces professional
assessment
diversity and participation by all education (e.g.,
students coursework
∙ review peer
transcripts or
evaluation degree
∙ utilization of environmental
summary completion)
modifications, adaptations, and
assistive technology to create
∙ review record of
accessible classrooms and
specialty
playgrounds leads to participation evaluations of in-
certifications
by all students in academics, services

school occupations, and and/or

evaluations of
extracurricular activities conference
programs presentations

provided by OT and/or trainings

Families:

∙ increased capacity to advocate membership in

∙ review OT’s
for their child’s needs professional
professional organizations
development
∙ increased strategies to engage
plan and program
their child in family and accomplishments proposals,
community life activities
descriptions,
and
∙ increased ability to support evaluation

their child’s performance in plans

student
learning-activities funded program
 35
grants
∙ enhanced collaborative
partnerships with school teams
publications
such as
articles in
journals,
newsletters,
newspapers,
and/or
resources
materials

roster of
students with
disabilities
who participate
in extra-
curricular
activities

Implementing Performance Evaluation of School Occupational Therapists

Evaluation instruments and accompanying processes and materials should encourage

professional growth, be flexible and fair to the persons being evaluated, and serve as the

foundation to establish professional goals and identify professional development needs. The

evaluation should serve as an annual measurement of performance in comparison to accepted

standards. District superintendents, exceptional children directors, principals, and therapy team

leaders are the most common evaluators of school-based occupational therapists. It is strongly

recommended that, if the evaluator is not an occupational therapist, the evaluation process be

conducted in collaboration with qualified, licensed occupational therapists serving as

observers.
 36
Suggested Evaluator Responsibilities:

∙ Have adequate knowledge of the profession and professional practice to effectively

guide the evaluation process

∙ Know and understand the standards for school-based occupational therapists ∙

Supervise the evaluation process and ensure that all steps are conducted according to

the approved process

∙ Identify the school-based occupational therapist’s strengths and areas for

improvement, and make recommendations for improving performance

∙ Ensure that the school-based occupational therapist evaluation contains accurate

information and accurately reflects the school-based occupational therapist’s

performance

School occupational therapists should actively participate in the evaluation through self

assessment, reflection, and presentation of artifacts. A sample rubric suitable for self-assessment

and the evaluator’s summative evaluation of the occupational therapist is provided in Appendix

B.

Figure 1 illustrates the components of the evaluation process.

 37
End of school year Summary
Early in school year

Middle of school year

Figure 1. School Occupational Therapist Annual Evaluation Process

The U.S. Department of Education RttT grant program (ED, 2009b) and the IDEA Part B State

Performance Plan (SPP) (ED, 2009a)have brought new focus on teaching effectiveness. Schools

across the country are planning and implementing educational reform to support student

achievement, high school graduation, and readiness for higher education or a career. Research

correlates student achievement with high quality teaching(Aaronson, Barrow, & Sander, 2007;

Allington& Johnston, 2000; Nye, Konstantopoulos, & Hedges, 2004; Rivkin, Hanushek, &Kain,

2005; Sanders & Horn, 1998; Sanders & Rivers, 1996; Stronge, Ward, Tucker, &Hindman,

2008; Wright, Horn, & Sanders, 1997). Using VAMs (Braun, 2005), school systems have begun
 38
to develop performance appraisal tools that fairly and accurately evaluate an education

professional’s impact on student performance and learning.

Occupational therapists contribute to schools’ efforts to educate diverse learners, and they

support student participation and success in the least restrictive learning environment. They

promote outcomes for students, staff members, school communities, and families through their

potential roles as evaluator, service provider, collaborative consultant, manager, and

leader/scholar.

This report offers guidance for a performance assessment that addresses the unique roles

and responsibilities occupational therapists assume to support students and school systems (Refer

to Appendix A). This assessment measures student, staff, school community, and family

outcomes across occupational therapist roles and is linked to professional development plans for

continued competency. This approach assists school district personnel who evaluate occupational

therapists’ contributions to students’ education. Additionally, this document provides school

based occupational therapists with a framework to assess, maintain, and expand their skills and

knowledge for effective practice, as well as advocate for their unique contribution to schools and

student outcomes.

39
Appendix A

Assessing Occupational Therapist Performance in School-Based Roles

Occupation Anticipated outcomes on behalf of the… Strategies to Artifacts/Work
al evaluate OT Products may
Therapist may include… include…
(OT) Role

Evaluator Student:
∙ observe ∙ Occupational
∙ identify capabilities, strengths, and occupational Therapy
needs, patterns of performance and therapist: Evaluation
habits for academics, and participation - conducting an Report
in school occupations are identified evaluation
- interviewing
∙ identify any individualized learning ∙ team meeting
staff or family
goals, with recommended strategies to minutes
member
promote student access and
- participating in
participation in academics and school
an IEP meeting ∙ IEP documents
occupations

Staff: ∙ review ∙ peer review

∙ improved understanding of how assessment documentation

reports and IEP
the student’s medical,
documentation
developmental, ∙ observation reports
behavioral, and/or psychosocial status
impacts school participation and ∙ solicit feedback
∙ staff and family
from IEP team
learning ∙ improved knowledge of the
members surveys/feedback
student as a learner

∙ IEP team decisions are based on data

∙ review OT’s
about the student’s ability to access and
self
participate in the school community ∙ assessment

improved ability to differentiate

instruction ∙ review peer

∙ identified professional evaluation

development needs summary

40
School Community:

∙ identified assets of and barriers to

school environment

Families:

∙ increased knowledge of their child as

a student and learner

∙ increased ability to support their

child’s performance in student
learning
activities

∙ improved collaborative partnerships

with school teams

∙ increased capacity for parenting

∙ improved access to information to

assist them in planning family and
community activities
Service Student:
∙ observe ∙ documentation
Provider
∙ improved performance patterns, occupational of collaborative
skills, and habits for academics therapist: planning
- providing
∙ increased competence in student
interventions in a
roles and functional life skills variety of contexts ∙ IEP documents,
with student plans of care,
∙ increased participation in school and/or staff
members student work
occupations, curriculum, and learning
samples, service
activities in the classroom and across - collaborating
with staff or log data, progress
the campus
family notes
∙ access to instruction/learning member

activities through assistive - participating in

∙
technology or an IEP meeting
videotapes/phot
environmental modification
∙ review progress ogr aphs
∙ increased self-advocacy monitoring data
and ∙ feedback from
Staff: documentation
students, teachers,
∙ increased capacity for instruction of parents, and
all students

41
 colleagues
∙ improved ability to differentiate ∙ solicit feedback

instruction from students,

teachers, parents, ∙ records of team
and colleagues communication
∙ improved understanding of how
the student’s medical,
developmental, ∙ review OT’s ∙ mentorship
behavioral, and/or psychosocial status documentation
self
impacts school participation and
assessment
learning
∙ peer review

School Community: documentation

∙ review peer

∙ increased use of environmental evaluation

summary ∙ student
modification and/or adaptations,
assessments and
including assistive technology, leads
outcome
to participation by all students in
school occupations and academics measures

and extra curricular activities

Families:

∙ increased strategies to engage their

child in family and community life
activities

∙ increased ability to support

student learning

∙ enhanced collaborative partnerships

with school teams
Collaborati Student:
∙ observe ∙ classroom
ve
∙ increased participation in school occupational intervention
Consultant
occupations and activities therapist: protocols
- collaborating, (positioning
∙ inclusion in positive and consistent
coaching, and schedules, activity
learning environments problem-solving
with team modifications,
∙ participation in the least restrictive members mealtime plans,
environment throughout the etc.)
school career

42
 - participating in
∙ improved access to services ∙ progress notes
an IEP meeting

- providing staff
Staff:
training or in-services ∙ data collection
∙ consistent and appropriate use of
adaptive equipment and
∙ student work
assistive ∙ review OT
samples
technology service
documentation
∙ improved ability to differentiate
∙
instruction
videotapes/phot
∙ increased capacity to instruct ∙ solicit feedback
ogr aphs
students in the least restrictive from students,

environment teachers, parents,

and colleagues ∙ feedback from
∙ improved ability to differentiate students, teachers,
instruction parents, and
∙ review colleagues
∙ improved understanding of how the
evaluations of
student’s medical, developmental,
in-services and/
behavioral, and/or psychosocial ∙ documentation of
or trainings
status impacts school participation staff and/or
provided by OT
and learning family

∙ enhanced knowledge and strategies trainings

∙ review OT’s
for transition planning and
implementation self ∙ peer review
assessment
documentation
School Community:

∙ allows for robust pre-referral ∙ review peer ∙ examples of

process and subsequent creative evaluation emergency
strategies summary response and
safety plans
∙ increased school safety (e.g.,

ergonomics, bus safety,

evacuation plans, and
emergency response
plans)

∙ utilization of strategies to improve

and promote the health and well

being of children and families by
addressing issues such as obesity,

43
 ∙ ergonomics, backpack awareness,
bullying prevention and
playground safety

∙ utilization of environmental

modifications, adaptations, and

assistive technology to create
accessible classrooms and
playgrounds, leads to participation
by all students in academics,
school occupations, and
extracurricular
activities
Families:

∙ increased use of strategies to

engage their child in family and

community life activities

∙ increased knowledge of school and

community resources

∙ enhanced knowledge and strategies

for transition planning and
implementation

∙ increased capacity for obtaining,

maintaining, repairing, and
financing adaptive equipment,
assistive technology, and
environmental adaptations

∙ increased ability to support their

child’s performance in student
learning activities

∙ enhanced collaborative partnerships

with school teams

Administrat Student: agendas,

∙ observe
or/ Manager outcomes and
∙ access to evidence-based services occupational
notes from
therapist:
committee meetings
 44
Leader and - collaborating feedback from
∙ participation in positive and
Scholar and consulting students, parents,
consistent learning environments with
school, district, and/or colleagues
Role Model ∙ participation in the least and/or state personnel in the form of e-
Advocate restrictive environment mails, letters,
-problem-solving
throughout the school career with team members and/or in
Researcher person
- presenting
and Staff: and/or communications
Evidence supporting
∙ increased access and capacity district
Translator documentation of
for evidence-based intervention and/or state level
professional self-assessment
and
development and professional
instruction
development plan
with updates
∙ improved ability to differentiate ∙ review OT

instruction service continuing

documentation competence
for activity
∙ improved understanding of how
compliance, documentation
the student’s medical, (e.g., journal club
reference to
developmental, minutes,
published literature
behavioral, and/or psychosocial status mentorship logs,
impacts school participation and annotated
learning ∙ solicit feedback bibliography of
from students, professional reading)
School Community: teachers, parents,
∙ utilization of strategies to improve and colleagues post-professional
education (e.g.,
and promote the health and well-
coursework
being of children and families by
∙ review OT’s transcripts or
addressing issues such as obesity,
ergonomics, backpack awareness, self degree
assessment completion)
bullying
prevention, and playground safety
record of specialty
∙ review peer
certifications
∙ school climate embraces diversity evaluation
and participation by all students summary
∙ utilization of environmental
∙ review
modifications, adaptations, and
evaluations of in-
assistive technology to create
services
accessible
and/or conference
classrooms and playgrounds, leads to

45
participation by all students in programs evaluations of
academics, school occupations, provided by OT presentations
and extracurricular activities and/or trainings

∙ review OT’s
membership in
Families: professional professional
development plan organizations
∙ increased capacity to advocate for their
and
accomplishments program
child’s needs
proposals,
∙ increased strategies to engage their descriptions, and

child in family and community life evaluation plans

activities ∙ increased ability to support

funded program
their child’s performance in student grants
learning
activities publications such

∙ enhanced collaborative partnerships as articles in

journals,
with school teams
newsletters,
newspapers,
and/or resources
materials

roster of students
with disabilities
who participate in
extra curricular
activities
 46
Appendix B

Sample Rubric for Evaluating School-based Occupational Therapists

Standard 1: School-basedOccupational Therapists demonstrate leadership, advocacy, and collaborative
and ethical practice.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element a. Leadership. School-based Occupational Therapists support and promote high professional standards for themselves and for
their colleagues. They are knowledgeable of and actively implement school, department, LEA, State, and professional goals and provide
guidance to others in doing likewise.

The Occupational . . . and and… and…

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Ensures the safety
of the
occupational ❑ Articulates ❑ Assumes leadership ❑ Assists other staff
therapy service information about roles in the with
delivery process. school-based department. understanding
Occupational and applying
Therapy practice regulations and
❑ Abides by LEA ❑ Plans and
and philosophy. policies that impact
standards, State OT implements school-based
Licensure educational Occupational
❑ Participates in programs for Therapy.
Occupational
Therapy Practice developing and/or department and
Act and Rules, implementing the school staff.
goals and priorities ❑ Provides input into
Standards of
outlined in the the update of
Practice (AOTA ❑ Ensures the
district and state
2010), State
department effectiveness of the and district policies
Policies for
improvement plan. occupational and procedures
Students with
therapy service designed to help
Disabilities, and
delivery process. Occupational
Guidelines for
Therapists
Providing
operationalize
Occupational ❑ Participates in
district, State, and
Therapy Services in hiring, mentoring, federal laws and
Public Schools and/or supporting regulations.
(2011). other Occupational
Therapists, interns,
Demonstrates or school-based ❑ Guides others to
knowledge of: Occupational develop
Therapy students. professional goals
❑ The scope of and skills.
school-based
Occupational
Therapy practice,
including
philosophy,
principles, theories,
and practice
concepts.

47
❑ Standards,
regulations, and
laws that impact
school-based
practice.

❑ Goals of the
district, department,
and school.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element b. Teamwork. School-based Occupational Therapists work collaboratively with school and LEA personnel to create
professional learning communities that enhance student learning and create positive working environments. School-based occupational
therapists provide input into the selection of professional development to build staff capacity and address the needs of students. They
anticipate, problem-solve, and share the workload of the department.

The Occupational and… and… and…

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Establishes
professional Contributes to: Models positive
relationships with ❑ Participates in
interactions with:
colleagues. ❑ Positive, school, community,
productive, ❑ Students. state, and/or
cooperative, and national
❑ Responds to school ❑ Parents.
supportive work committees or
staff and parents’ environment. task forces.
requests in a timely ❑ Other occupational
manner. therapists.
❑ Collaborates with ❑ Leads IEP meetings
❑ Educators.
educational to resolve
❑ Adheres to complex
personnel as ❑ Members of the
approved essential partners in school situations to meet
procedures for implementing community. student needs.
communicating student plans.
with school staff,
parents and ❑ Initiates new ❑ Provides a range of
students. ❑ Uses an occupation partnerships with resources and
based approach to community services that
collaborate with the agencies and address student,
team to achieve professionals. family, and
❑ Contributes to IEP student outcomes. community needs..
meetings and
processes,
❑ Educates school ❑ Shares ideas to help
❑ departmental and personnel, colleagues in
professional parents, times
meetings. and students about of need
occupational
therapy services.
❑ Participates in

❑ Maintains contact departmental

committees or work
with community
groups.
agencies and
professionals.
 48
Developing Proficient Accomplished Distinguished Not Demonstrated
(Comment Required)

Element c. Vision. School-based Occupational Therapists embrace, communicate, and contribute to the strategic vision of the local
district, department and assigned schools to help ensure that all students are equipped and prepared with life skills for the 21 st century.
School-based occupational therapists articulate core beliefs and values of the profession, department and local district. They establish
standards of excellence to create a professional learning community.

The Occupational and… and… and…

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Is aware of the
department/school/
LEA vision that all ❑ Participates in ❑ Monitors progress ❑ Participates in
students are implementing the toward developing the
prepared for the 21st department/school/ achieving department/school/
century LEA vision. the LEA vision.
department/school/
Articulates a vision LEA vision.
❑ Is aware of national ❑ Instills in others a
professional for: ❑ Students desire to
Assists others in:
vision, improve
❑ Occupational ❑ Adhering to
core values, and student outcomes.
beliefs. therapy professional
department/progra standards and
m ❑ Articulates and
values.
develops goals for
❑ EC department ❑ Achieving the department and
❑ School/District. professional goals. LEA.

❑ Adjusts programs in ❑ Anticipates and

order to address prepares for current
local trends and and future
issues. professional trends
on state or national
level.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element d. Ethics. School-based Occupational Therapists exhibit high ethical standards. School-based Occupational Therapists
demonstrate honesty, integrity, fair treatment, and respect for others. They uphold relevant codes of ethics and standards of
professional practice.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Abides by: Therapist: Therapist: Therapist:
❑ AOTA Code of
 Encourages
Ethics ❑ References ❑ Models the
colleagues to
applicable local, uphold high ethical profession’s ethical
❑ AOTA Standards of
state, and standards. principles and core
Practice professional values when
❑ The Code of Ethics standards to guide assessing,
ethical decision ❑ Models respect for clarifying,
for State the dignity,
making in school and resolving
Educators based practice. privacy, and potential ethical
confidentiality of and/or regulatory
others within the conflicts.
 work environment.
❑ The Code of
Professional
Practice and

49
Conduct for State
❑ Reports unsafe or ❑ Contributes to the
Educators (See
Appendix A). unethical situations development of
to appropriate departmental
entity. policies and
❑ Accepts protocols related to
responsibility for  Consults with ethics.
actions and supervisor or ethics
decisions that affect committee to
❑ Provides
student outcomes. resolve ethical
issues. professional
development on
❑ Respects the ethics.
dignity, privacy,
and confidentiality
of students,
families, and other
professionals.

❑ Participates in
ethics training
and/or education.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element e. Advocacy. School-based Occupational Therapists advocate for positive changes in policies and practices affecting student
learning and occupational therapy service delivery. They participate in the implementation of initiatives designed to improve educational
and support services to promote positive student outcomes. They advocate for occupational therapy services to address student needs and
support learning.
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Understands the
policies and
practices that ❑ Advocates for ❑ Customizes ❑ Customizes
impact student appropriate environment, environment,
learning and referrals on behalf resources, and resources, and
occupational of supports for the supports within the
therapy service students and department/school community and
delivery. families. and/or LEA. occupational
therapy profession.
❑ Promotes an
❑ Understands how to ❑ Advocates for awareness of the
implement adherence to roles and purpose ❑ Serves as
initiatives to policies and of occupational occupational
enhance student procedures for the services in schools. therapy
educational and benefit of students representative on
support services. and families. multi-disciplinary
❑ Advocates for
LEA task forces,
positive changes in committees, and
❑ Actively LEA policies work groups.
participates in the and/or practices
implementation of that
initiatives to support student
enhance student learning.
educational and
support services.
❑ Works with others

50
to improve safety

and accessibility to
facilities.

❑ Actively works
with community
and other agencies
to secure the
support needed to
provide least
restrictive
environments for
students.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element f. Supervision and Oversight. School-based Occupational Therapists value supervision that provides support, education,
monitoring of service delivery, and creates a safe forum to reflect on professional practice to positively impact student learning
outcomes.
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Understands the
importance of
the ❑ Participates in the ❑ Provides education ❑ Develops and
supervision process. supervisory and training of oversees fieldwork
process staff, fieldwork student and/or
to increase students, and mentoring program.
❑ Seeks feedback
professional volunteers.
from supervisors knowledge and
and colleagues. skills. ❑ Supervises/oversees
❑ Positively impacts occupational
the work of therapy-generated
❑ Modifies behavior ❑ Supervises and colleagues by programs.
based on provides feedback sharing best
supervisory to assigned staff, practice strategies.
feedback. fieldwork students, ❑ Assists other staff
and volunteers. in identifying
professional goals.

Examples of artifacts that may be used to demonstrate performance:

❑ Log of supervisory meetings and meetings

❑ Documentation of supervisory observations

❑ Intervention notes

❑ Intervention plans

❑ Classroom programming data sheets and monitoring logs

❑ Peer review documentation

❑ Mentorship documentation

❑ Mentoring fieldwork student documentation

❑ Mentoring agreement documentation

❑ Formal and informal mentoring

❑ Documentation of inservice provision

❑ Continuing competence log

❑ Documentation of referrals/consultations made

51
❑ Documentation of communications with parents/teachers/colleagues/community

❑ Media samples, newspaper articles, school newsletters

❑ Grant applications

❑ Documentation of AOTA, state OT association, or other national or state committee work

❑ Photos

❑ Membership in professional organizations

❑ Documentation of feedback from colleagues; peer evaluations

❑ Documentation of inservice provision

❑ Continuing competence record

❑ Department/school/LEA improvement planning documentation

❑ Documentation of service on department committees

❑ IEPs/IEP meeting minutes

❑ Log of attendance for IEP meetings

❑ Documentation of feedback from colleagues, students or parents

❑ Log of committee work, volunteer tasks outside of normal job duties

❑ Teacher and parent feedback

❑ Training and support resources created by the person being evaluated

❑ Documentation of in-service presentations

❑ Documents supporting completion of professional goals

❑ Documentation of service on committees

❑ File reviews

❑ Staff meeting minutes

❑ NBCOT certification

❑ AOTA specialty certification

Evaluator Comments: (Required for all “Not Demonstrated” ratings, recommended for all ratings.)

Comments of Person Being Evaluated: (Optional)

Standard 2: School-based Occupational Therapists promote a respectful environment for diverse populations.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element a. Communication. School-based Occupational Therapists use language that is appropriate and easily understood by the
listener, and they adapt their communication for their audiences. They are active listeners, respect cultural differences, and assist
others in communicating effectively.
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Uses active

❑ listening □ Adapts
❑ Actively engages ❑ Works at the state
strategies. Expresses communication to the
unique characteristics others in work and national
self clearly and that level
accurately: and backgrounds of
the audience. supports students’ to promote
unique learning and engagement of
❑ Orally developmental individuals from
needs. diverse
backgrounds in the

52
profession.
❑ In writing. ❑ Facilitates effective
communication
between and among ❑ Communicates
❑ Utilizes electronic students, families, persuasively to a
educators, and variety of
communication other audiences.
appropriately and professionals
with regard to
security. ❑ Assists in
development of
policies and
practices that
improve effective
communication
regarding
occupational
services.

Element b. Least Restrictive Environment. School-based Occupational Therapists help to ensure that every student receives services
in the least restrictive environment. They continually monitor service delivery to reflect the least restrictive environment for the students
they serve. They actively assist other school personnel to develop and implement appropriate contexts and strategies for students with
differing needs.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Articulates the: Therapist: Therapist: Therapist:
❑ Range of
environments in ❑ Provides services in ❑ Encourages and ❑ Trains families and
which students may the least restrictive supports team other
be served environments. members to serve professionals
every student in the to understand the
least restrictive range of learning
❑ Dynamic nature of environment. environments
occupation in the available for
least restrictive students.
environment.
❑ Expands and
enhances
knowledge
/awareness of the
full range of
support least
restrictive
 department, school,
and district levels.

53
Developing Proficient Accomplished Distinguished Not Demonstrated
(Comment Required)

Element c. Embraces diversity. School-based Occupational Therapists recognize the influence of race, ethnicity, gender, religion, health,
culture, ability, and other factors on development and personality. They adapt professional activities to reflect these differences among the
students, families, and staff they serve. School-based Occupational Therapists create and encourage an environment that is inviting,
respectful, supportive, inclusive, and flexible for every student.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Acknowledges the
influence of race,
ethnicity, gender, ❑ Respects and ❑ Models ❑ Promotes a deep
religion, socio embraces understanding and understanding
economics, and diversity/perspectiv respect for cultural of
culture on students’ es of others. differences. diversity through
development and the integration of
attitudes. culturally sensitive
❑ Understands own ❑ Creates situations in materials.
position on which students
matters may
of diversity and demonstrate ❑ Participates in the
reflects on and understanding of development of
changes position as and respect for department, school,
appropriate. diversity. and/or district
policies to promote
respect and
❑ Encourages others understanding of
to understand diversity.
and
respect students’
diversity.

Examples of artifacts that may be used to demonstrate performance:

❑ Documentation of file review

❑ Documentation of contact with community agencies

❑ Documentation of in-service presentations

❑ Documents supporting completion of professional goals

❑ Documentation of service on committees

❑ Professional development on cultural attitudes and awareness

❑ IEPs

❑ IEP service delivery documentation

❑ Staff and parent feedback

❑ Intervention plans

❑ Membership in professional organizations

❑ Formal and informal mentoring

❑ File reviews

❑ Staff meeting minutes

❑ NBCOT certification

❑ AOTA specialty certification

❑ Professional development record

❑ Documentation of student services

❑ Staff observations documentation

❑ Documentation of peer review

Evaluator Comments: (Required for all “Not Demonstrated” ratings, recommended for all ratings.)

54
Comments of Person Being Evaluated: (Optional)

Standard 3: School-based Occupational Therapists apply the skills and knowledge of their profession
within educational settings.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element a. Program Administration and Management. School-based Occupational Therapists effectively structure work tasks in
accordance with local, state, and federal requirements and best practice guidelines. School-based occupational therapists assume
professional responsibility for safe, effective, and timely delivery of occupational therapy (OT) services; and the oversight and/or
improvement of occupational therapy systems and services.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Prioritizes and
schedules work Ensures that
tasks. ❑ Manages inventory workloads are: ❑ Shares effective
of therapeutic work place
equipment and ❑ Reasonable. processes and
❑ Maintains current assessments. materials with
student files for other districts or
use ❑ Evenly distributed. states.
by authorized ❑ Contributes data for
school personnel. budget planning.
❑ Makes appropriate ❑ Consistently
materials and collects and uses
❑ Seeks information ❑ Submits assessments data to make
about best administrative available for use. decisions regarding
practice reports as required. administration and
guidelines which management of the
impact program ❑ Collects and
occupational
administration. analyzes data to therapy program.
improve the
occupational
therapy program.
Element b. Policies and Laws. School-based Occupational Therapists are knowledgeable and skillful regarding state and federal
legislation, professional standards, best practice guidelines, and local policy.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Abides by all state
licensure board,
AOTA, IDEA, ❑ Ensures program ❑ Shares knowledge ❑ Participates on state
DPI, and local compliance of current legislative or national task
policies, with and procedural forces to develop
standards, and best state licensure issues that affect best practice
practice guidelines board, AOTA, students and school guidelines for
(See Appendix A). IDEA, SEA, and based practice. school-based
local policies, occupational
standards, and best therapy.
❑
practice guidelines.

55

❑ Participates in
policy revision
and/or development
at local, state, or
federal level.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element c. Work behaviors. School-based Occupational Therapists are flexible, efficient, timely, reliable, and competent. They are
engaged and responsive team members, as evidenced by adhering to deadlines, setting priorities, and setting appropriate limits. They are
productive and complete assigned work with a positive attitude. They demonstrate safe, healthy, and ergonomically correct work
practices.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Demonstrates: Therapist: Therapist: Therapist:
❑ Safe work
practices. ❑ Completes assigned ❑ Demonstrates ❑ Is viewed by peers,
work with a flexibility, colleagues, and
positive attitude. adaptability and leadership as being
❑ A positive
agility in approach. an example of
professional excellence with
approach to the ❑ Is self-directed.
respect to attitude,
work; ❑ Promotes a positive skills, and
attitude in professionalism.
❑ Uses time and
colleagues
❑ Healthy and resources
ergonomically efficiently.
correct work
practices.

❑ Eagerness to learn.
Examples of artifacts that may be used to demonstrate performance:

❑ Teacher of Excellence Award, Local awards or “Spotlights”, emails/letters

❑ Documentation of peer, parent, and student feedback

❑ Caseload rosters

❑ Weekly schedules

❑ OCR and other required workplace training documentation

❑ Documentation of in-service provision

❑ Examples of forms/work processes created by Occupational Therapist

❑ Peer interview/input/emails reflecting the effectiveness of shared forms/processes.

❑ Professional development record

❑ Referral logs

❑ Work schedules

❑ Caseload rosters

❑ IEP documentation

❑ Intervention plans and notes

❑ Equipment inventory documentation

❑ Year-end reports

❑ Documentation of mentoring

❑ Emails, agendas of meetings/workshops, handouts

❑ Professional development documentation.

56
Evaluator Comments: (Required for all “Not Demonstrated” ratings, recommended for all ratings

Comments of Person Being Evaluated: (Optional)

Standard 4: School-based Occupational Therapists facilitate student learning for optimal student
performance and functional independence.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element a. State Standard Course of Study. School-based Occupational Therapists ground their practice in school-related
occupations and support student progress in the State Standard Course of Study (Common Core and Essential Standards).
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Articulates school
related
occupations ❑ Uses the State ❑ Guides others in ❑ Develops and
across grade levels. Standard Course of using the State presents
Study to facilitate Standard Course of workshops, in-
student progress in Study to facilitate services, or
❑ References the
school-related student progress in presentations on
curriculum in occupations. school-related using the State
occupational occupations. Standard Course of
therapy practices Study to facilitate
and processes. student progress in
school-related
occupations.

Element b. Evidence-based Practice. School-based Occupational Therapists plan, deliver, and revise appropriate interventions based on
evaluation data. They review current occupational therapy and other pertinent professional literature; use reliable, valid assessments; plan
interventions based on research; build and work from their own clinical knowledge and expertise; and evaluate the effectiveness of their
work based on analysis of evidence.

The Occupational . . . and . . . and . . . and

Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Defines evidence
based practice.
❑ Provides evidence ❑ Investigates and ❑ Provides training
based selects regarding
❑ Locates evidence occupational alternative evidence
resources. therapy services. research-based based practice.
approaches to
develop and revise
❑ Uses professional plans of care. ❑ Contributes to the
literature, professional
continuing evidence base by
education content, ❑ Participates in presenting/publishi
client evidence, and research activities. ng findings.
clinical experience
to make decisions.

❑ Modifies
interventions based
on evidence.

57
Developing Proficient Accomplished Distinguished Not Demonstrated
(Comment Required)

Element c. Evaluation and Identification. School-based Occupational Therapists gather student performance data using contextual
observation, standardized assessments, interviews, file reviews, student work samples, and other inquiry methods as deemed appropriate.
They interpret evaluation data for the student’s team to assist with decisions regarding special education eligibility, goals, placement,
accommodations, supports, and services. School-based Occupational Therapists serve on student intervention teams as appropriate, consult
on classroom interventions, and provide strategies to build teacher capacity for instructing a variety of learners.
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Completes and
documents
occupational ❑ Evaluates student’s ❑ Demonstrates keen, ❑ Holds specialty
therapy evaluation ability to insightful certification in
results. participate evaluation and particular
in life at school. reporting skills. assessment types.
❑ Adheres to data
collection time ❑ Identifies and ❑ Mentors and ❑ Develops data
lines, formats, and analyzes school educates team collection tools and
standards, required based occupations members on trains others in their
by local, state, and the student wants applicability of use.
federal policies. and needs to technical evaluation
perform. data to school
context.
❑ Gathers data from
teachers and ❑ Assesses
parents. environments in ❑ Educates current
which student and potential
occupations occur. referral sources
❑ Actively pursues about the scope of
competence in occupational
administration of ❑ Shares and
therapy services
standardized interprets relevant and the process of
assessments. evaluation data initiating
with team occupational
members. therapy evaluation.

❑ Demonstrates ❑ Promotes the

competence in acquisition and use
selection and use of of current
standardized assessment tools
assessments. and processes.

58
Developing Proficient Accomplished Distinguished Not Demonstrated
(Comment Required)

Element d. Planning and Intervention. School-based Occupational Therapists carefully consider evaluation data, IEP goals, ongoing
progress monitoring data, and the least restrictive environment in planning services that meet the needs of students. They intervene in the
context in which the student routinely performs the targeted skill or ability, in collaboration with instructional staff. Interventions are
connected to student participation in learning the curriculum, demonstration of knowledge, life a career skills, socialization, and transition.
The Occupational . . . and . . . and . . . and
Therapist:
The Occupational The Occupational The Occupational
Therapist: Therapist: Therapist:
❑ Uses interventions
that are
appropriate ❑ Examines ❑ Demonstrates ❑ Presents at state or
for student’s age, intervention innovative and national
grade, cognitive effectiveness. unique occupation conferences on
level, interests, and based intervention innovative
aptitudes. planning. interventions.
❑ Modifies the
intervention plan
❑ Expands repertoire based on changes in ❑ Demonstrates
of intervention the student’s needs, consistent energy
ideas/options. goals, and and enthusiasm for
performance. providing
❑ Delivers intervention.
occupation-based,
educationally ❑ Facilitates the ❑ Leads collaborative,
relevant transition or exit long-term, and/or
occupational process in project-based
therapy services. collaboration with interventions at the
IEP team. classroom and
❑ Adheres to IEP in school level.
planning and ❑ Adapts,
providing accommodates, and
interventions. modifies ❑ Describes/explains
environment, instances of
including assistive therapeutic use of
technology and self.
training
instructional staff.

59
Examples of artifacts that may be used to demonstrate performance:

❑ Collaborative IEP development documentation

❑ Peer, family, and/or student feedback

❑ Professional development records

❑ Student evaluation reports

❑ Referrals

❑ IEP documentation

❑ Peer review documentation

❑ Documentation of inservice provision

❑ Peer and family feedback

❑ Case studies

❑ Publications

❑ Student evaluation reports

❑ Documentation of continuing competence activities

❑ Article reviews

❑ Data collection records

❑ Intervention plans and notes

❑ Progress reports

❑ Professional development documentation

❑ Student evaluation reports

❑ Documentation of collaboration with instructors

Evaluator Comments: (Required for all “Not Demonstrated” ratings, recommended for all ratings.)

Comments of Person Being Evaluated: (Optional)

Standard 5: School-based Occupational Therapists use all available data to examine their effectiveness and
to adapt and improve professional practice.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element a. Professional Development. School-based Occupational Therapists continually participate in high quality professional
development specific to school-based occupational therapy practice that reflects a global view of educational practices, includes 21 st
century skills and knowledge, and aligns with the State Board of Education priorities and initiatives. They use input from stakeholders,
to continually assess, maintain, expand, and document their competence in school-based practice.

The Occupational . . . and . . . and . . . and

Therapist:
The The The
Occupational Occupational Occupational
❑ Identifies strengths and Therapist: Therapist: Therapist:
needs drawing from
multiple data sources.
❑ Participates in ❑ Presents at local, ❑ Earns a
relevant regional or specialty
❑ Adheres to the approved continuing state, certification
professional competence professional relevant to
development plan. activities to conferences. school-based
improve school practice.
based practice.
❑ Routinely shares
new ❑ Presents at state
❑ Completes knowledge or national
formal self with others. professional
assessment. conferences.

60

❑ Participates in ❑ Participates as
peer-review. an
occupational
therapy
representative
on state or
national
 committees and
organizations.

Developing Proficient Accomplished Distinguished Not Demonstrated

(Comment Required)

Element b. Outcomes. School-based Occupational Therapists systematically and critically evaluate the effectiveness of comprehensive
occupational therapy services on student performance. They collect and interpret data from a variety of sources to assess student
response to intervention and progress, plan future services, and adapt practice to best meet the needs of students, staff, and families.

The Occupational . . . and . . . and . . . and

Therapist:
The The The
Occupational Occupational Occupational
❑ Monitors and documents Therapist: Therapist: Therapist:
student progress.
Evaluates
❑ Leads the ❑ Creates
effectiveness of
occupational collection, innovative
❑ Reports student progress
therapy services interpretation, progress
to team members.
using: and reporting of monitoring
student outcome tools
data within multi
❑ Multiple
disciplinary
methods; and teams. ❑ Publishes or
presents an
❑ Multiple data efficacy study
sources. or case study in
❑ Synthesizes data an occupational
on student therapy text or
progress and journal.
❑ Selects outcome
current research
measures to design and
related to the inform future
student’s ability actions.
to engage in
occupations at
school.

❑ Identifies and
uses
progress
monitoring
tools.

61
Examples of artifacts that may be used to demonstrate performance:
❑ Intervention plans and notes

❑ Student work samples/data sheets

❑ Formal or informal publication

❑ Continuing competence activity log

❑ Progress reports

❑ IEP documents

❑ School-wide student performance data

❑ Professional development plans

❑ Documentation of formal and informal mentoring

❑ Professional portfolio

❑ Self-assessment

❑ Continuing competence activity log

❑ Peer review documentation

❑ Documentation of certifications

Evaluator Comments: (Required for all “Not Demonstrated” ratings, recommended for all ratings.)

Comments of Person Being Evaluated: (Optional)

Rubric Signature Page

_________________________________________ __________________ Occupational

Therapist Signature Date

_________________________________________ __________________ Principal/Evaluator

Signature Date

________________________________________ __________________ Principal/Evaluator

Signature Date
(Signature indicates question above regarding comments has been addressed)

Note: The occupational therapist’s signature on this form represents neither acceptance nor approval of the report. It
does, however, indicate that the occupational therapist has reviewed the report with the evaluator and may reply in
writing. The signature of the principal or evaluator verifies that the report has been reviewed and that the proper process
has been followed according to the State Board of Education Policy for the School-Based Occupational Therapist
Evaluation Process.
 62
School-Based Occupational Therapist Summary Rating Form

This form is to be jointly reviewed by the occupational therapist and evaluator during the Summary
Evaluation Conference conducted at the end of the year.

Name:_______________________________________________________________________
School: ______________________________ School Year:_____________________________
Evaluator:
_____________________________District:_________________________________ Date
Completed:_______________________ Evaluator’s Title:_________________________
Standard 1School-based occupational therapists demonstrate De Dev Prof Acco Distin
leadership, advocacy, and collaborative and ethical practice.
mo elopi icien mplis guish
t
nst ng hed ed
rat
ed
No
t

Element a. Leadership

Element b. Teamwork

Element c. Vision

Element d. Ethics

Element e. Advocacy

Element f. Supervision and Oversight

Overall Rating for Standard 1

Comments: Evidence or documentation to support ratings:

❑ Communications/observations of mentoring/supervisory
activities
❑ Reports of formal and informal peer review

❑ Documentation of professional development/continuing

competence activities
❑ Documentation of services provided (evaluations, IEP development,
Recommended actions for improvement: intervention plans, data sheets, contact notes, progress monitori❑
Documentation of service on committees, work groups and special projects
❑ Communications, feedback and/or surveys from stakeholders
(parents, students, community members, colleagues)
❑ Minutes, attendance logs and agendas from meetings ❑
Documentation of trainings, in-services and workshop
presentations; and related materials (agendas, handouts, feedback)
❑ Documentation of program review and planned/implemented
Resources needed to complete these actions:
development activities
❑ Documentation of use of professional, student, program, and
school wide data in making service/intervention decisions ❑
 Documentation of professional certifications/ memberships /
specialty certifications
❑ Documentation of self-improvement plan, continuing
competence activities and/or grants, aligned with professional,
district/school and department’s vision/mission and goals/
improvement plans.

63
Standard 2: School-based occupational therapists promote a De Dev Profi Accom Distin
respectful environment for diverse populations.
mo elop cient plishe guishe
d d
nst ing
rat
ed
Not

Element a. Communication

Element b. Least Restrictive Environment

Element c. Embraces diversity

Overall Rating for Standard 2

Comments: Evidence or documentation to support rating

❑ Communications/observations of mentoring/supervisory activities❑

Reports of formal and informal peer review
❑ Documentation of professional development/continuing competence acti
Documentation of services provided (evaluations, IEP development,
Recommended actions for improvement: intervention plans, data sheets, contact notes, progress monitoring, progress
notes, service logs, etc.) ❑ Documentation of service on committees, work
groups and special projects
❑ Communications, feedback and/or surveys from stakeholders
(parents, students, community members, colleagues) ❑ Minutes,
Resources needed to complete these actions: attendance logs and agendas from meetings ❑ Documentation of
trainings, in-services and workshop presentations; and related
materials (agendas, handouts, feedback)
❑ Documentation of program review and planned/implemented
development activities
❑ Documentation of use of professional, student, program, and
school wide data in making service/intervention decisions ❑
Documentation of professional certifications/memberships/
specialty certifications
❑ Documentation of professional development/continuing
competence activities on diversity, cultural attitudes and
awareness
❑ Service on committees, work groups and special projects to
support diversity, cultural awareness and range of student
environments
 ❑ Student profiles documented in written reports

❑ Documentation of collaboration/cooperation with ESL

teachers❑ Documentation of activity planning/implementation to
❑ incorporate cultural awareness

64
Standard 3: School-based occupational therapists apply the skills and knowledge De Dev Profic Acc Dis
of their profession within educational settings..
mo elopi ient omp tin
nst ng lishe gui
d
rat she
d
ed
No
t
Element a. Program Administration and Management

Element b. Policies and Laws

Element c. Work Behaviors.

Overall Rating for Standard 3

Comments: Evidence or documentation to support rating:

❑ Communications/observations of mentoring/supervisory
activities
❑ Reports of formal and informal peer review

❑ Documentation of professional development/continuing

Recommended actions for improvement: competence activities
❑ Documentation of services provided (evaluations, IEP
development, intervention plans, data sheets, contact notes,
progress monitoring, progress notes, service logs, etc.)
❑ Documentation of service on committees, work groups and
special projects
❑ Communications, feedback and/or surveys from stakeholders
Resources needed to complete these actions:
(parents, students, community members, colleagues)
❑ Minutes, attendance logs and agendas from meetings ❑
Documentation of trainings, in-services and workshop
presentations; and related materials (agendas, handouts,
feedback)
❑ Documentation of program review and planned/implemented
development activities
❑ Documentation of use of professional, student, program, and
school wide data in making service/intervention decisions ❑
Documentation of professional certifications/ memberships/
specialty certifications
❑ Documentation of data collection, interventions and outcomes
to guide student/program services
❑ Service on committees and work groups for program and policy
changes
❑ Documentation of program administration and management
activities (referral logs, caseloads, student files, calendars,
schedules, year-end reports, equipment inventory)
❑ Use of local, state and national standards and best practice
guidelines in student services and documentation
❑ Documentation of special awards, recognitions, letters

65
Standard 4: School-based occupational therapists apply the skills and knowledge De Dev Prof Acc Disti
of their profession within educational settings.
mo elopi icien omp ngui
t
nstr ng lishe shed
d
ate
 d
Not

Element a. State Standard Course of Study

Element b. Evidence-based Practice.

Element c. Evaluation and Identification

Element d. Planning and Intervention

Overall Rating for Standard 4

Comments: Evidence or documentation to support rating:

 Communications/observations of mentoring/supervisory
activities
 Reports of formal and informal peer review
 Documentation of professional development/continuing
competence activities
 Documentation of services provided (evaluations, IEP
development, intervention plans, data sheets, contact notes,
Recommended actions for improvement:
progress monitoring, progress notes, service logs, etc.) 
Documentation of service on committees, work groups and
special projects
 Communications, feedback and/or surveys from stakeholders
(parents, students, community members, colleagues)
 Minutes, attendance logs and agendas from meetings 
Documentation of trainings, in-services and workshop
Resources needed to complete these actions: presentations; and related materials (agendas, handouts,
feedback)
❑ Documentation of program review and planned/implemented
development activities
❑ Documentation of use of professional, student, program, and
school wide data in making service/intervention decisions ❑
Documentation of professional certifications/memberships/
specialty certifications
❑ Documentation of professional development plan, including
progress towards goals and self-assessment
❑ Documentation of professional development/competence
activities in use of occupations, assessment tools and
educationally relevant services
❑ Documentation of research activities, publications, article
reviews.

66
Standard 5: School-based occupational therapists use all available data to De Dev Prof Acc Distin
examine their effectiveness and to adapt and improve professional practice.
mo elopi icien omp guish
t
nst ng lishe ed
d
rat
ed
No
t
 Element a. Professional Development.

Element b. Outcomes

Overall Rating for Standard 5

Comments: Evidence or documentation to support rating:

 Communications/observations of mentoring/supervisory activities 
Reports of formal and informal peer review
 Documentation of professional development/continuing competence
activities
 Documentation of services provided (evaluations, IEP development,
intervention plans, data sheets, contact notes, progress monitoring,
progress notes, service logs, etc.)
Recommended actions for improvement:
 Documentation of service on committees, work groups and special
projects
 Communications, feedback and/or surveys from stakeholders
(parents, students, community members, colleagues)
❑ Minutes, attendance logs and agendas from meetings
Resources needed to complete these actions:
❑ Documentation of trainings, in-services and workshop presentations;
and related materials (agendas, handouts, feedback)
❑ Documentation of program review and planned/implemented
development activities
❑ Documentation of use of professional, student, program, and school
wide data in making service/intervention decisions
❑ Documentation of professional certifications/memberships/specialty
certifications
❑ Documentation of leadership activities in data collection, staff
training and/or tool development

________________________________________________ ______________________
School-Based Occupational Therapist Signature Date

________________________________________________ ___________________
Principal/Evaluator Signature Date

Note: The school-based occupational therapist’s signature on this form neither represents acceptance nor approval of
the report. It does, however, indicate that the occupational therapist has reviewed the report with the evaluator and may
reply in writing. The signature of the principal or evaluator verifies that the report has been reviewed and
that the proper process has been followed according to the State Board of Education Policy for the Occupational
Therapists Evaluation Process.

67
Summary Rating Sheet
This form summarized ratings from the rubric or observation form and requires the rater to provide a description of
areas needing improvement and comments about performance. It should be completed as part of the Summary
Evaluation discussions conducted near the end of the year. It should be used to summarize self-assessment and
evaluator ratings.
Name:___________________________________________ Date: _____________________________
School: _________________________________________ District: ____________________________
Evaluator: _______________________________________ Title: ______________________________
Standard 1: School-based occupational therapists demonstrate leadership, advocacy,
De D Pr Ac Di
and collaborative and ethical practice.
mo e ofi co sti
nst v cie mp n
rat el nt lis g
ed o he ui
No pi d sh
t n ed
g

Element a. Leadership

Element b. Teamwork

Element c. Vision

Element d. Ethics

Element e. Advocacy

Element f. Supervision and Oversight

Overall Rating for Standard 1

Standard 2: School-based occupational therapists promote a respectful environment

De D Pr Ac Di
for diverse populations.
mo e ofi co sti
nst v cie mp n
rat el nt lis g
ed o he ui
d
No pi sh
t n ed
g

Element a. Communication

Element b. Least Restrictive Environment

Element c. Embraces Diversity

Overall Rating for Standard 2

Standard 3: School-based occupational therapists apply the skills and knowledge of

De D Pr Ac Di
their profession within educational settings.
mo e ofi co sti
nst v cie mp n
rat el nt lis g
ed o he ui
d
No pi sh
t n ed
 g

Element a. Program Administration and Management

Element b. Policies and Laws

Element c. Work Behaviors

Overall Rating for Standard 3

68
Standard 4: School-based occupational therapists facilitate student learning for
De D Pr Ac Di
optimal student performance and functional independence.
mo e ofi co sti
nst v cie mp n
rat el nt lis g
ed o he ui
d
No pi sh
t n ed
g

Element a. State Standard Course of Study

Element b. Evidence-based Practice

Element c. Evaluation and Identification

Element d. Planning and Intervention

Overall Rating for Standard 4

Standard 5: School-based occupational therapists use all available data to examine

De D Pr Ac Di
their effectiveness and to adapt and improve professional practice.
mo e ofi co sti
nst v cie mp n
rat el nt lis g
ed o he ui
d
No pi sh
t n ed
g

Element a. Professional Development

Element b. Outcomes

Overall Rating for Standard 5

69
Professional Development Plan

School Year:________________
 Name: ________________________________________Position/Subject
Area:_____________________
School:______________________________________________________________________________

NC School-Based Occupational Therapy Standards

1. Demonstrate leadership, advocacy, Standard(s) to be addressed:
and collaborative and ethical practice.
2. Promote a respectful environment
for diverse populations. Elements to be addressed:
3. Apply the skills and knowledge of
their profession within educational
settings.
4. Facilitate student learning for
optimal student performance and
functional
independence.
5. Use all available data to examine their
effectiveness and to adapt and
improve
professional practice.

School-Based Occupational Therapist’s Strategies

Goals for Elements Activities/Actions Expected Outcomes Resources Needed Timeline
and Evidence of
Completion

Goal 1:

Goal 2:

Goal 3:

School-Based Occupational Therapist’s Signature: __________________________________

Date: ___________

Administrator’s Signature: _____________________________________________________

Date: ___________

70
Professional Development Plan – Mid-Year Review

To be completed by (date) _________________________

 Occupational Therapist______________________________ Academic Year:______________

Evidence of Progress Toward Specific Standards or Elements to be Addressed/Enhanced

Narrative
School-Based Occupational Administrator’s Comments:
Therapist’s Comments:

School-Based Occupational Administrator’s Signature:

Therapist’s Signature:

Date: Date:

71
Professional Development Plan – End-of-Year Review

To be completed by (date) _________________________

School-Based Occupational Therapist ______________________________

Academic Year:______________

Evidence of Progress Toward Specific Standards or Elements to be addressed/Enhanced

Goal 1 was successfully completed. Yes □ No □

Goal 2 was successfully completed. Yes □ No □

 Goal 3 was successfully completed. Yes □ No

Narrative
School-Based Occupational Administrator’s Comments:
Therapist’s Comments:

School-Based Occupational Administrator’s Signature:

Therapist’s Signature:

Date: Date:

72
Record of School-Based Occupational Therapist’s Evaluation Activities

Name: _____________________________________________________ID# ___________________

School: ____________________________________________________SchoolYear:______________
Position/Assignment:
_________________________________________________________________ Evaluator:
___________________________________________________Title: __________________

School-Based Occupational Therapist Background: (Briefly describe the school-based occupational

therapist’s educational background, years of experience, assignment, and any other factors that may
impact the evaluation)

The State School-Based Occupational Therapist Evaluation is based, in part, on informal and formal
observations and conferences conducted on the following dates:
Activity Date School-based Evaluator Signature
Occupational Therapist
Signature

Orientation

Pre-Observation Conference

Observation

Post-Observation Conference

Summary Evaluation Conference

Professional Growth Plan Completed

From North Carolina School-Based Occupational Therapist Evaluation Process: Users’ Guide (pp. 63–
92).
Copyright© 2013 North Carolina Department of Public Instruction. Reprinted with permission.

73
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