Occupational Therapy

anD Physical Therapy

A Resource and Planning Guide

Wisconsin Department of Public Instruction

 Occupational Therapy and
Physical Therapy: A Resource and
Planning Guide
Second Edition

Developed by
Patricia Bober, MS, OT
Occupational Therapy Consultant
Wisconsin Department of Public Instruction

Sandra Corbett, PT
Physical Therapy Consultant
Wisconsin Department of Public Instruction

Wisconsin Department of Public Instruction

Tony Evers, PhD, State Superintendent
Madison, Wisconsin
 This publication is available from:

Wisconsin Department of Public Instruction

125 South Webster Street
Madison, WI 53703
608/266-2188
http://dpi.wi.gov/sped/tm-specedtopics.html

Bulletin No. 1106

© May 2011 Wisconsin Department of Public Instruction

This publication was made possible by funding from CFDA #84.027. Its content may be reprinted in whole or in
part, with credit to Wisconsin Department of Public Instruction acknowledged. However, reproduction of this
publication in whole or in part for resale must be authorized by the Wisconsin Department of Public Instruction.

ISBN 978-1-57337-148-3

The Wisconsin Department of Public Instruction does not discriminate on the basis of sex, race,
color, religion, creed, age, national origin, ancestry, pregnancy, marital status
or parental status, sexual orientation, or disability.

Printed on Recycled Paper

Foreword
ccupational therapists and physical therapists have provided services to

O children in Wisconsin’s schools for almost 40 years. Their role is to help

children develop skills and perform tasks that most people take for
granted in their own lives.
The Department of Public Instruction created this book to explain how
occupational therapists (OTs) and physical therapists (PTs) collaborate with
educators, administrators, and parents to support the mission of education in the
environment of the schools. This book answers questions about who OTs and
PTs are, what their purpose is in schools, and how, working with educators and
parents, they help Wisconsin’s children acquire the skills and knowledge they
need to participate alongside other children in school and, eventually, assume
positive adult roles in the community.
This publication will help school staff and parents better understand the key
roles OTs and PTs play in the lives of children who need their services to benefit
from their education. Their work supports our shared goal that every child will
graduate with the knowledge and skills needed to be successful in the workforce
and/or higher education. I believe this publication will support the work of all of
us who believe education is the most important element to ensure a successful
future for our children and our nation.

Tony Evers
State Superintendent

Foreword iii
Acknowledgments
The authors wish to thank all the occupational therapists, physical therapists, occupational therapy
assistants, physical therapist assistants, and special educators in Wisconsin who asked the questions that
led to the development of this resource and planning guide. The following people provided help and
support in many ways: by writing and reviewing drafts; by sharing materials; and by providing feedback
and encouragement.

Kris Barnekow, Ph.D., OTR Dan Kutschera, PT

University of Illinois Neenah School District
Chicago, Illinois Neenah, Wisconsin

Valerie D. Clevenger, PT, MS, PCS Marcia Obukowicz, OT

Waunakee School District CESA 9
Waunakee, Wisconsin Tomahawk, Wisconsin

Judy Dewane, PT, MHS, NCS Tracy Prill, OTA

University of Wisconsin Edgerton School District
Madison, Wisconsin Edgerton, Wisconsin

Lori Dominiczak, PT, MS Lisa Pugh

Dominiczak Therapy Associates, LLC Parent
Brown Deer, Wisconsin Madison, Wisconsin

Marie Dorie Judy Schabert, OTR

Director of Special Ed/Pupil Services Salucare Rehabilitation Service
CESA 2 LaCrosse, Wisconsin
Milton, Wisconsin
Kathy Tomczyk, PTA, MS
Mardi Freeman Milwaukee Area Technical College
Director of Special Education and Pupil Services Milwaukee, Wisconsin
Hamilton School District
Sussex, Wisconsin Patty Weynand, PT
Madison Metropolitan School District
Kerry Gloss, OTR Madison, Wisconsin
Green Bay Public Schools
Green Bay, Wisconsin Janesville School District
Janesville, Wisconsin
Gerry Heuer, BS, COTA
DeForest School District Waukesha School District
DeForest, Wisconsin Waukesha, Wisconsin

Acknowledgements v
 Special thanks to:

Division for Learning Support: Equity and Advocacy

Carolyn Stanford Taylor, Assistant State Superintendent
Stephanie Petska, Director, Special Education Team

State Superintendent's Office

Meri Annin, Education Information Services
Kari Gensler Santistevan, Education Information Services

Margaret T. Dwyer, Editor

Copyrighted Materials
Every effort has been made to ascertain proper ownership on copyrighted materials and to obtain
permission for this use. Any omission is unintentional.

vi Table of Contents
Table of Contents
Foreword................................................................................................................................................... iii

Acknowledgements................................................................................................................................... v

Introduction............................................................................................................................................... 1

Chapter 1 Occupational Therapy and Physical Therapy in Wisconsin Schools ...................... 3

Chapter 2 Federal Regulations and State Rules .......................................................................... 5

Individuals with Disabilities Education Act (IDEA) ..................................................... 5
Section 504 of the Rehabilitation Act ........................................................................... 7
Subchapter V, Chapter 115, Wisconsin Statutes ............................................................ 9
Chapter 448, Wisconsin Statutes .................................................................................... 14
Licensure Requirements ................................................................................................. 16
Space and Facilities ........................................................................................................ 20
Laws Protecting Confidentiality .................................................................................... 20

Chapter 3 The IEP Team Process in School ................................................................................ 25

Referral ........................................................................................................................... 25
Initial Evaluation ............................................................................................................ 25
Eligibility for Occupational Therapy and Physical Therapy .......................................... 29
Least Restrictive Environment ....................................................................................... 42
Re-evaluation.................................................................................................................. 44

Chapter 4 School-Based Occupational Therapy.......................................................................... 49

Conceptual Frameworks ................................................................................................. 50
Occupational Therapy Initial Evaluation........................................................................ 55
Other School Occupational Therapy Evaluations .......................................................... 67
Intervention..................................................................................................................... 69
Record Keeping .............................................................................................................. 88
Ethics .............................................................................................................................. 89

Chapter 5 School-Based Physical Therapy .................................................................................. 95

Competencies for School-Based PTs ............................................................................. 95
Conceptual Frameworks ................................................................................................. 95
Medical Referral and Medical Information .................................................................... 100
Initial Evaluation and Examination ................................................................................ 102
Physical Therapy Intervention Plan................................................................................ 106
Interventions ................................................................................................................... 106
Evidence-based Practice and Critical Inquiry ................................................................ 109
Progress Reports and Reexamination ............................................................................. 113
Discontinuation............................................................................................................... 113
Documentation ............................................................................................................... 117
Communication .............................................................................................................. 118
Fitness and Health .......................................................................................................... 118
Privacy ............................................................................................................................ 118
Ethics .............................................................................................................................. 120

Occupational Therapy and Physical therapy: A Resource and Planning Guide vii
 Chapter 6 Supervision of Assistants and Other Personnel ......................................................... 125
Occupational Therapy Assistants and Physical Therapist Assistants ............................. 125
Non-licensed Personnel and Occupational Therapy ....................................................... 131
Non-licensed Personnel and Physical Therapy ............................................................... 132
Clinical Affiliations and Training Opportunities ............................................................ 134

Chapter 7 Collaborative Service Provision................................................................................... 139

Collaboration in School for Children with Disabilities .................................................. 139
Collaboration in School for Children without Disabilities ............................................. 154
Collaboration with Providers Outside of School Environments ..................................... 159
Collaboration with Parents.............................................................................................. 160

Chapter 8 Administration of Occupational Therapy and Physical Therapy in School............ 167

Determining Service Need .............................................................................................. 167
Providing Staff ................................................................................................................ 172
The Interview .................................................................................................................. 181
Orientation ...................................................................................................................... 182
Assuring Quality ............................................................................................................. 182
Evaluating Staff Performance ......................................................................................... 184
Evaluating Outcomes ...................................................................................................... 190
Equipment ....................................................................................................................... 191
Facilities .......................................................................................................................... 191
Changes in Staff .............................................................................................................. 192
Reimbursement ............................................................................................................... 192
Records ........................................................................................................................... 194
Liability........................................................................................................................... 197

Chapter 9 Questions and Answers ................................................................................................ 201

IEP Team ........................................................................................................................ 201
IEP .................................................................................................................................. 203
Caseload .......................................................................................................................... 206
Documentation ................................................................................................................ 206
Other Practice Issues ....................................................................................................... 207
Recruitment..................................................................................................................... 209
Licensing Issues .............................................................................................................. 213

Chapter 10 Appendix A: Organizations ............................................................................................ 213

Appendix B: Sample Treatment Plans ............................................................................ 221
Appendix C: Pediatric Physical Therapy Assessment Tools .......................................... 227
Appendix D: Codes of Ethics for Occupational Therapy and Physical Therapy ............ 233
Appendix E: Equipment Forms ...................................................................................... 239
Appendix F: Sample Position Descriptions .................................................................... 247

viii Table of Contents

Introduction
Occupational Therapy and Physical Therapy: A
Resource and Planning Guide, Second Edition

This book, Occupational Therapy and Physical Therapy: A Resource and

Planning Guide, Second Edition, defines and explains the meaning and purpose
of these interrelated, but distinct, types of therapy and offers readers the This book explains the
opportunity to understand the roles of therapists as part of the school work and roles of
environment. Readers may wish to read the entire book as a w hole, or may occupational therapists
choose to focus on t hose chapters or sections most related to their work. Every and physical therapists
chapter is understandable on its own, but a complete reading will result in more in Wisconsin's schools.
comprehensive and effective understanding for the reader. A revision of the first
edition published in 1996, the book is thoroughly updated to reflect the changing
practice of school-based therapies.
Chapter 1 provides basic historical information to readers about occupational
therapy and physical therapy with children in schools. The chapter introduces a
collaborative model of service that subsequent chapters describe in greater depth.
Chapter 2 offers succinct descriptions and interpretations of the state and
federal laws that apply to occupational therapy and physical therapy in the
schools. As part of this, the chapter covers recent changes in licensure and
certification issues that all occupational therapists (OTs) and physical therapists
(PTs) should know.
In chapter 3, readers gain access to the two initial steps of therapy: eligibility
and process. Process involves recognizing the need to evaluate a child for
occupational therapy or physical therapy, planning a program that includes either
therapy, and delivering services that maximize outcomes most useful to the child
in school. The third chapter also features many tools to help educators and
therapists understand their roles in the process. Sample checklists will assist
teachers in describing the performance of a child who needs strategies or
accommodations. In addition, these tools allow teachers to record previous
efforts made in response to the child's needs. A sample Individualized Education
Program resulting from a team evaluation contains a variety of helpful, detailed
examples of goals and objectives that occupational therapy or physical therapy
supports.
Chapter 4 focuses specifically on oc cupational therapy and the role of the
OTs in schools. Both the text and figures of this chapter clarify the purpose of
occupational therapy: the support of health and participation in life through
engagement in occupation. The authors present and use conceptual frameworks
to discuss the critical elements of occupational therapy practice. The chapter ends
with a brief discussion of the ethics of the profession.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 1

 In chapter 5, the focus shifts to physical therapy and the particular role of the
PT in the schools. The chapter's graphics and narrative explain physical therapy's
concentration on motor function, paying special attention to the impact of
mobility and functional movement on t he child's participation in classroom and
school activities. As in the chapter before it, chapter 5 i ncludes an overview of
the profession's ethics.
Chapter 6 describes service provision when a supervisory relationship exists
among therapy personnel. The chapter addresses supervision requirements in
state law. Such personnel include licensed therapists, licensed assistants, student
therapists, and school staff who are not licensed in the fields of occupational
therapy or physical therapy.
Collaboration is the central idea of chapter 7, which stresses communication
and ongoing understanding among professionals and with parents. In comparison
to various models of service delivery, the collaborative model remains the most
effective within school systems. Chapter 7 delves into the need to recognize the
ongoing changes that children, educators, therapists, and parents all undergo, and
the need for strong communication so that services are neither overlooked nor
needlessly repeated. Directors of special education are the individuals responsible
Readers will find for overseeing the delivery of these services, and chapter 8 presents issues and
succinct answers to the information relevant to them. This chapter is filled with helpful sample forms,
tougher questions that including staff performance appraisals, workload estimations, and those that will
parents, teachers, help administrators better understand and supervise related service providers.
school therapists, and This eighth chapter also will help administrators support the collaboration and
administrators ask communication presented in chapter 7.
every day. The book concludes with the question and answer format of Chapter 9. This
chapter helps the reader revisit the most frequent issues that involve occupational
therapy or physical therapy. Whether readers begin or end their reading of this
guide with chapter 9, they will find succinct answers to the tougher questions that
parents, teachers, school therapists, and administrators ask the authors about
occupational therapy or physical therapy every day.
Finally, the book's appendices support and supplement the nine text chapters
that precede them. Contact information for agencies and other organizations,
sample treatment plans, codes of ethics for both occupational therapy and
physical therapy, resources that describe roles and activities of school-based
therapists, and forms for safe use of equipment all appear in this last section to
explain and enhance the work of OTs and PTs in Wisconsin's schools.

2 Introduction
 1
Occupational Therapy
and Physical Therapy in
Wisconsin Schools
Prior to 1973, occupational therapists (OTs) and physicals therapists (PTs)
treated children primarily in medical facilities; medically oriented residential
facilities; and separate educational facilities for children with disabilities,
commonly known as orthopedic schools. These facilities, while representing
advancement in the provision of services to children, were separate from the
educational and community environments that most children without disabilities
experienced. Through the early 1970s, occupational therapy and physical therapy
were deeply rooted in a medical orientation where both professionals and
laypeople perceived individuals with disabilities as either continually sick or able
to be fixed. (Rainforth and York-Barr, 1997) The training and preparation of OTs
and PTs, in association with medical education overall, sustained the practice of
focusing on factors within the patient or client, and removing children from their
routine environments for isolated treatment. These practices reflected the
common assumption that treatment would result in improved skills that would
generalize to everyday life.
In 1973, W isconsin law established OTs and PTs as m embers of the
multidisciplinary teams who served children with exceptional educational needs
in public schools. Many OTs and PTs needed to shift their emphasis from
success within the special education environment to a different model. The
traditional approach of minimizing the effect of a physical disability or
handicapping condition and measuring performance only by testing needed to be
replaced. The medical model of isolated treatment sessions, most of which took
place away from children's classrooms, no longer met the needs of school
systems focused on involvement and participation.

The Changing Practice of School Therapy

As best educational practices evolved to support the integration of children with
disabilities in all aspects of school and community life, the practices of
occupational therapy and physical therapy in school changed. Schools today
continue to emphasize providing services and supports in general education
environments and increasing collaboration among educational team members. In
addition, the active involvement of parents and individuals with disabilities in
decision making, in combination with many years of literature in special
education and related services supports this emphasis.
A collaborative model that includes OTs, PTs, general educators, special
educators, and parents looks very different than an expert model rooted in a
traditional medical orientation. An expert consultant expects to have answers to
people's questions, and protects his or her domain of knowledge and strategies. In

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 3

 collaborative consultation, team members work together to solve problems by
sharing information, coordinating activities, and teaching strategies to other team
members. Appropriateness and usefulness of joint action drives the joint decision
making. Researchers have found that because educators prefer the collaborative
consultation model, they implement more of the consultant’s recommendations
than when consultants use other models. (Babcock and Pryzwanski, 1983)
A collaborative model does not exclude the provision of direct service by
OTs and PTs. It simply places their specific techniques into a larger framework
of functional outcomes in real environments, determined by team decision-
making and evidence. When the first edition of this guide was published in 1996,
evidence-based practice was just emerging in the professions of occupational
therapy and physical therapy. It resembles both its predecessor, evidence-based
Schools today continue to medicine, and the research-based educational practices defined in the 2004
emphasize providing Individuals with Disabilities Education Act. In evidence-based practice,
services and supports in professionals review published research to gather the most reliable evidence
general education about the effectiveness of selected interventions or practice patterns, and apply
environments and that evidence along with their own experience and reasoning to identify effective
increasing collaboration interventions for a specific client. (Law & Baum, 1998) Combined with the early
among educational team and frequent measurement of an individual child’s response to interventions,
members. evidence-based practice is changing the way that school therapy is provided.
The authors of this guide apply the collaborative model of providing
evidence-based related services in the least restrictive environment to the
information here, focusing on t he needs of therapists and administrators, while
making the language and structure accessible to parents and educators as well.
The success of this guide rests not only in its ability to serve as a resource, but
also as a tool to generate discussion and improved communication among those
who serve children with disabilities.

References
Babcock, N.L. and W.B. Pryzwanski. 1983. “ Models of Consultation:
Preferences of Educational Professionals at Five Stages of Service.” School
Psychology 21: 359-366.

Law, M. and C. Baum. 1998. “ Evidence-based Occupational Therapy.”

Canadian Journal of Occupational Therapy 65: 131-135.

Rainforth, B., and J. York-Barr. 1997. Collaborative Teams for Students with
Severe Disabilities 2nd edition. Baltimore: Paul H. Brookes.

4 Occupational Therapy and Physical Therapy in Wisconsin Schools

 2
Federal Regulations
and State Rules
Federal statutes and regulations, as well as state statutes and administrative rules,
regulate school-based occupational therapy and school-based physical therapy.
Federal special education law is found in the Individuals with Disabilities
Education Act (IDEA) and in Federal Regulations 34 CFR Part 300. State special
education law in Wisconsin is found in Subchapter V, Chapter 115 of the
Wisconsin Statutes (Wis. Stats.), and in Chapter PI 11 of the Wisconsin
Administrative Code (Wis. Admin Code). These laws address occupational
therapy and physical therapy as part of special education and related services in
schools. Other state statute and administrative rules further regulate the practice
of occupational therapy and physical therapy, regardless of where in Wisconsin a
therapist practices. Chapter 448, Wis. Stats., subchapter VII regulates
occupational therapy licensure and practice and subchapter III regulates physical
therapy licensure and practice. Wis. Admin Code, Chapters OT 1 through 5
regulate occupational therapy and Chapters PT 1 through 9 regulate physical Federal special
therapy. Internet links to specific legislation appear at the end of this chapter. education law is found in
the Individuals with
Disabilities Education
Individuals with Disabilities Education Act (IDEA) Act and in Federal
IDEA is the federal law that governs the education of children with disabilities. Regulations.
One of the purposes of IDEA is to ensure all children with disabilities have
available a free, appropriate public education that emphasizes special education
and related services designed to meet their unique needs and prepare them for
further education, employment, and independent living. Another purpose is to
ensure that the rights of children with disabilities and their families are protected.
Six key principles of IDEA are free, appropriate public education, appropriate
evaluation, an individualized education program, a least restrictive environment,
parent and student participation in decision making, and procedural safeguards.

1. Free appropriate public education (FAPE) means that special education

and related services are

• free and at no cost to parents.

• appropriate to the individual needs of the child.
• publicly provided and funded.
• educational, including academic, nonacademic and extra-curricular
activities.

2. Appropriate evaluation means gathering information related to enabling

the child to both be involved and progress in the general education

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 5

 curriculum. For preschool children, an appropriate evaluation means
gathering information related to allowing the child to participate in
appropriate activities. An appropriate evaluation ensures a student is not
subjected to unnecessary tests and assessments.

3. Individualized education program (IEP) development is a collaborative

process that occurs in a meeting and results in a d ocument. The IEP
document states the special education and related services the district will
provide for the student.

4. Least restrictive environment (LRE) means that to the maximum extent

appropriate, children with disabilities and children without disabilities are
educated together. Special classes, separate schooling, or other removal of
children with disabilities from the regular educational environment occurs
only if the nature or severity of the disability is such that, even with the
use of supplementary aids and services, education in regular classes
cannot be achieved satisfactorily. IEP teams start with considering
placement in regular classes in the neighborhood school. School districts
must offer a continuum of alternative placements to meet the special
education and related service needs of children with disabilities. IEP teams
must explain in the IEP the extent to which the child will not participate
Procedural safeguards with nondisabled children in academic, nonacademic and extracurricular
ensure that the rights activities.
of children with
5. Parent and student participation in decision making means parents
disabilities and the
rights of their parents participate equally on t he IEP team in all phases and, in Wisconsin,
are protected. students 14 years or older must be invited to IEP team meetings. A district
must tell parents what it is going to do, or refuse to do, before it does so,
and why.

6. Procedural safeguards ensure that the rights of children with disabilities

and the rights of their parents are protected, that children with disabilities
and their parents are provided with the information they need to make
decisions about FAPE, and that procedures and mechanisms are in place
to resolve disagreements between parties. An IEP team works toward
reaching consensus about the education program for the child. When
parents and the school disagree, there are formal ways to solve problems
which include
• independent educational evaluation (IEE).
• facilitated IEP.
• mediation.
• IDEA complaint.
• due process hearing.

6 Federal Regulations and State Rules

 IDEA contains requirements for the evaluation of a child suspected of having
a disability and for the development of an IEP. These requirements, as they relate
to school occupational therapists (OTs) and school physical therapists (PTs),
receive more attention in subsequent chapters of this guide. This chapter and the
brief definitions that follow allow readers to confirm their understanding of the
fundamental terms of special education used in the context of this book.
Special education refers to the instruction that a team of school staff and
parents specially design to meet the unique needs of a child with a disability, and
which the school provides at no cost to parents. It may include instruction in the
classroom, in physical education, at home, in hospitals, in institutions, and in
other settings. A child's special education program incorporates the services of a
licensed special education teacher, or a physical education teacher in the case of
specially designed physical education, to implement the IEP. More information
about specially designed physical education is in DPI Information Update
Bulletin 10.04 Physical Education for Children with Disabilities. (2010) In
Wisconsin, speech and language services are regarded as special education or as
related services as determined appropriate by the IEP team.
Related services are those required to assist a child with a disability to benefit
Section 504 protects the
from special education. IDEA specifically includes occupational therapy and
rights of individuals
physical therapy as related services.
with disabilities and
prohibits discrimination
Section 504 of the Rehabilitation Act on the basis of disability
in any program or
IDEA is not the only federal law that addresses the education of children with
activity receiving
disabilities. Section 504 of the Rehabilitation Act of 1973, a civil rights law,
federal financial
protects the rights of individuals with disabilities and prohibits discrimination on
the basis of disability in any program or activity receiving federal financial assistance.
assistance. (34 CFR sec.104.1) State education agencies (SEAs) and local
educational agencies (LEAs) such as school districts, Cooperative Educational
Service Agencies (CESAs) and County Children with Disabilities Education
Boards (CCDEBs) receive federal funding and must meet the requirements of the
act. Section 504 covers a qualified student with a disability when the student has
a physical or mental impairment which substantially limits one or more of the
major life activities, has a record of such an impairment, or is regarded as having
such an impairment. (34 CFR sec. 104.3 (j) (1))
The regulation defines physical or mental impairment as “(a) any physiologi-
cal disorder or condition, cosmetic disfigurement, or anatomical loss affecting
one or more of the following body systems: neurological; musculoskeletal;
special sense organs; respiratory, including speech organs; cardiovascular; repro-
ductive, digestive, genitourinary; hemic and lymphatic; skin; and endocrine; or
(b) any mental or psychological disorder, such as mental retardation, organic
brain syndrome, emotional or mental illness, and specific learning disabilities.”
(34 CFR s. 104.3 (j) (2) (i))
Congress expanded the definition of major life activities with amendments
effective January 1, 2009. Major life activities include but are not limited to

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 7

 caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping,
walking, standing, lifting, bending, speaking, breathing, learning, reading,
concentrating, thinking, communicating, and working. A major life activity also
includes the operation of a major bodily function, including but not limited to
functions of the immune system, normal cell growth, digestive, bowel, bladder,
neurological, brain, respiratory, circulatory, endocrine and reproductive
functions. An impairment that substantially limits one major life activity need not
limit other major life activities in order to be considered a disability. An
impairment that is episodic or in remission is a disability if it would substantially
limit a major life activity when active. For example, a st udent with a seizure
disorder that is in remission would meet this requirement.
An LEA may not factor into the decision making the impact of mitigating
measures when determining the existence of a d isability. Mitigating measures
include medication, medical supplies, equipment, appliances, low-vision devices,
prosthetics including limbs and devices, hearing aids and cochlear implants or
implantable hearing devices, mobility devices, or oxygen therapy equipment and
supplies; use of assistive technology; reasonable accommodations or auxiliary
aids or services; or learned behavioral or adaptive neurological modifications.
(34 CFR s.104.3(j) (2) (ii)) Although the ameliorating affects of these measures,
with the exception of eyeglasses and contact lenses, may have a positive impact,
they do not remove or cancel out the existence of the disability. For example,
school districts cannot consider the effect of medication on a student with
asthma, and rule out the disability that asthma produces.
In public schools a qualified student with a disability under Section 504 must
have access to public school programs and activities, and no one has the right to
subject the student to discrimination. In addition, Section 504 r equires public
schools to provide FAPE to each qualified student with a disability. Section 504
A student who requires recipients of federal funding to provide students with disabilities
does not qualify appropriate educational services designed to meet the individual needs of such
for services under students. Their needs should be met to the same extent as the needs of students
IDEA may qualify without disabilities are met. Under Section 504 regulations, an appropriate
for services under education for a student with a disability could include education in regular
Section 504. classrooms, education in regular classes with supplementary services, and special
education and related services. Section 504 also compels schools to conduct an
appropriate evaluation; determine eligibility through a group of persons,
including persons knowledgeable about the meaning of the evaluation data and
knowledgeable about placement options; conduct periodic reevaluations; and
establish and implement procedural safeguards. Compliance with the procedures
and requirements described in IDEA is one way of meeting the requirements of
Section 504.
A student who does not qualify for services under IDEA may qualify for
services under Section 504. A qualified student will have what is commonly
called a 504 plan or an accommodation plan. The plan states the accommoda-
tions, aids, or services the student will receive. Occupational therapy or physical
therapy may be in a student’s accommodation plan. The individual student’s

8 Federal Regulations and State Rules

needs determine the amount of therapy, and it is not limited to indirect service or
consultation. School districts identify a Section 504 coordinator to respond to
referrals. If additional information is necessary, the Department of Education,
Office for Civil Rights, and not the Wisconsin Department of Public Instruction
(DPI), is the next point of reference. Appendix A, Organizations, under Federal
Agencies lists contact information for the Office for Civil Rights. A list of
frequently asked questions about Section 504 may be found at
http://www.ed.gov/about/offices/list/ocr/504faq.html.

Subchapter V, Chapter 115, Wisconsin Statutes

In Wisconsin, Subchapter V, Chapter 115 of the Wisconsin statutes and the
administrative code that implements it, Chapter PI 11, guarantee that children
with disabilities receive appropriate services. As in the federal law, Wisconsin
law requires school districts to provide children with disabilities with FAPE,
which includes special education and related services. These services must be
provided under public supervision and direction and without charge to parents.
The services must conform to statutes and rules enforced by DPI and must be
provided in conformity with a child's IEP.

IEP Team
Under Wisconsin law, public schools and other agencies have specific
responsibilities to identify children and youth who may have disabilities. The The school district
school district appoints an IEP team of individuals to conduct an evaluation of appoints an IEP
the child. Except for the child’s parent, these individuals must be employed by or team of individuals
under contract with the district. IEP team members must include to conduct an
evaluation of the
• the parents of the child. child.

• at least one regular education teacher if the child is or may be

participating in a regular educational environment.

• at least one special education teacher who has recent training or

experience related to the child’s known or suspected area of special
education needs or, where appropriate, at least one special education
provider of the child.

• an LEA representative who is qualified to provide or supervise the

provision of special education, is knowledgeable about the general
education curriculum, and is knowledgeable about and authorized to
commit the available resources of the LEA.

• an individual who can interpret the instructional implications of

evaluation results.

• other participants who have knowledge or special expertise regarding the

child at the discretion of the parent or the LEA.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 9

 • the child whenever appropriate.

• a representative of the child’s district of residence when the child is

attending school in a nonresident school district.
An IEP team must include an OT if the child is suspected of needing
occupational therapy and a PT if the child is suspected of needing physical
therapy. (Ch. P1 11.24(2), Wis. Admin Code) The district must obtain written
The IEP team must consent from the child's parent before it can conduct an initial IEP team
determine if the evaluation that includes occupational therapy or physical therapy.
child has an Members of the IEP team assess specific areas of educational need using
impairment and valid, appropriate, and non-discriminatory evaluation procedures. The special
whether the child education director or case manager schedules an IEP team meeting to discuss the
needs special members' evaluations, findings, and other relevant data. Using the criteria in the
education. state rule, the IEP team must determine if the child has an impairment as listed in
Figure 1 and whether the child needs special education. Criteria for each of the
impairment areas are specified in Chapter PI 11.36, W is. Admin Code. When
determining the child’s need for special education, the team may consider these
questions:

• Does the student have needs that cannot be met in the regular education
program as it is currently structured?

• Are there modifications such as adaptation of content, methodology, or

delivery of instruction that can be made in the regular education program
to allow the student access to the general education curriculum?

• Could these modifications allow the student to meet the educational

standards of instruction?

• What modifications do not require special education?

• What modifications do require special education?

• Are there additions or modifications such as replacement content,

expanded core curriculum, or other supports the child needs that are not
provided through the general education curriculum?
If the child has an impairment and needs special education, the child is a
child with a disability. Figure 2 represents an overall perspective and basic
chronology of the IEP team process.

10 Federal Regulations and State Rules

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 11
 Individualized Education Program
Each child receiving special education services under IDEA or Wisconsin law
must have an IEP. The IEP team develops the IEP and determines placement.
The IEP reflects the written commitment of the district to the resources necessary
The IEP reflects the to enable a child with a disability to receive needed special education and related
written commitment services. It specifies or provides
of the district to the
resources necessary • information about the child's present level of academic achievement and
to enable a child functional performance.
with a disability to
• measurable annual goals including short-term objectives or benchmarks
receive needed
for the student who takes alternate assessments.
special education
and related services. • how the child’s progress toward attaining annual goals will be measured
and when periodic reports will be provided to the parents.

• the type of special education and related services to be provided,

including assistive technology services or devices, if appropriate; supple-
mentary aids and services; and program modifications and supports for
school personnel.

• the amount, frequency, duration and location of services.

• the extent to which the child will not participate with nondisabled children
in regular classes, curriculum, extracurricular and other nonacademic
activities.

• a statement of measurable postsecondary goals and transition services if

the child is fourteen years of age or older.

• a statement of any accommodations necessary on statewide or LEA−wide

assessments, or a statement of why the child cannot participate in the
regular assessment and why an alternate assessment is appropriate for the
child.
Chapter PI 11.24, Wis. Admin Code addresses the provision of occupational
therapy and physical therapy as related services. The components of this chapter
are summarized in Figure 3.

Attending Meetings
The excusal provisions in IDEA permit any required member of the IEP team to
be excused from attending the IEP team meeting, in whole or part, if the parent
agrees in writing. As noted in Ch. PI 11.24(2), Wis. Admin Code, OTs and PTs
are required members when the respective therapy is part of the child’s current
evaluation, reevaluation or IEP. If therapists cannot attend an IEP team meeting

12 Federal Regulations and State Rules

Figure 3 Occupational Therapy and Physical Therapy Rules Summary

Source: Chapter PI 11.24, Wisconsin Administrative Code

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 13

 they must follow the excusal provisions to be absent. One provision allows a
therapist to be absent when occupational therapy or physical therapy will not be
discussed or changed. If the meeting does involve modification to or discussion
of occupational therapy or physical therapy, another provision allows the
respective therapist to submit written input into the development of the IEP
before the meeting. OTs and PTs who participate in the development of an IEP
may not cancel therapy for other children in order to attend an IEP Team
meeting. A scheduling system that allows another therapist or assistant of the
same discipline to provide therapy to the children while the therapist attends a
OTs and PTs who
meeting offers a solution.
participate in the
An occupational therapy assistant (OTA) or a physical therapist assistant
development of an
(PTA) cannot represent a therapist at the IEP team meeting, because the scope of
IEP may not
an assistant’s training does not cover the interpretation of evaluation results for
cancel therapy for
the purpose of determining the existence of a disability, the need for special
other children in
education and related services, and programming. The assistant may contribute to
order to attend an
program planning by communicating information about the child to the therapist.
IEP Team meeting.
Because the therapist and assistant communicate at regular intervals, seldom
would it be necessary for both the therapist and the assistant to attend the
meeting. After the annual IEP review and revision, changes in the IEP can be
made by either the whole IEP team through an IEP team meeting or by
agreement between the parent and the school district. Parents receive a copy of
the revised IEP and the school informs the IEP team and those responsible for
implementation of the changes.
Chapter 3 de scribes the IEP in more detail. Chapter 4 elaborates on
occupational therapy within the IEP team process, and chapter 5 describes the
IEP team process specific to physical therapy.

Chapter 448, Wisconsin Statutes

Chapter 448, Wis. Stats., and the administrative code that implements it, OT 1
through 5, and PT 1 through 9, stipulate the licensure requirements and standards
of practice for OTs, OTAs, PTs, and PTAs practicing in any setting in
Wisconsin. These rules apply to school therapists except where PI 11.24, Wis.
Admin Code, is more restrictive.

Occupational Therapy Practice Requirements

Chapters OT 1 through 5, W is. Admin Code include standards of practice for
occupational therapy. OTs and OTAs working in public schools must follow
these standards, unless Chapter PI 11, W is. Admin Code describes more
restrictive standards. The following are key components of OT 4.

• If an OT or OTA provides evaluation or intervention in an educational

environment, including the child’s home, for children and youth with
disabilities under IDEA or Section 504, the OT or OTA does not require a
physician order or a referral from another health care provider.

14 Federal Regulations and State Rules

 • When conducting an evaluation, an OT considers the individual's medical,
vocational, social, educational, family status, familial and personal goals,
and includes an assessment of how occupational performance components
and occupational performance contexts influence the individual’s
functional abilities and deficits in occupational performance areas.

• Evaluation methods may include observation, interviews, records review,

and the use of structured or standardized evaluative tools or techniques.

• Evaluation results shall be documented in the individual’s record and

shall indicate the specific evaluation tools and methods used.

• The OT periodically evaluates the child's occupational performance areas

Evaluation methods
and occupational performance components, documenting the results.
may include
• The OT periodically and systematically reviews the effectiveness and observation,
efficacy of all aspects of the occupational therapy program. interviews, records
review, and the use of
• Upon discontinuation of occupational therapy, the OT compares the structured or
child's initial and current states of functional abilities and deficits in standardized
occupational performance areas and occupational performance evaluative tools or
components. The OT documents the results and prepares a discharge plan. techniques.

Physical Therapy Practice Requirements

Chapter 448, Wis. Stats. and Chapters PT 1 through 9, Wis. Admin Code
stipulate the requirements for PTs and PTAs practicing in any setting in
Wisconsin. These rules apply to school therapists and assistants except where PI
11.24 rules are more restrictive, but Chapter PI 11, Wis. Admin Code does not
address written referral and patient record, so it appears here in detail.

Written Referral
Under Chapter 448.56, Wis. Stats., a PT does not require a written referral from a
physician to provide service in schools to children with disabilities. In addition,
Chapter PT 6.01, W is. Admin Code states “a written referral is not required to
provide the following services, related to work, home, leisure, recreational and
educational environments: conditioning, injury prevention and application of
biomechanics, treatment of musculoskeletal injuries with the exception of acute
fractures or soft tissue avulsions.”

Patient Record
IDEA no longer requires that IEP team members submit an individual report for
student evaluations. However, Chapter 448.56(5) Wis. Stats. requires that “a
physical therapist shall create and maintain a patient record for every patient that
physical therapist examines or treats.” The statute is silent on what should be in
the patient record. Professional documentation includes the following elements
which would be part of the patient record:

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 15

 • initial examination, including history, systems review, tests and measures,
evaluation, diagnosis (impact of the condition on f unction), prognosis
(predicted functional outcome), and plan of care

• re-examination to assess progress and modify interventions

• notes on interventions and response
• discharge summary (APTA 1999)

Licensure Requirements
A license from the Department of Regulation and Licensing (DRL) is required
for all OTs, OTAs, PTs and PTAs who practice in Wisconsin including those
who practice in Wisconsin schools. Individuals must renew the license every two
years. DRL sends out notices for renewal when the license is about to expire. In
addition, all occupational therapy and physical therapy staff must be licensed by
the DPI to work in Wisconsin public schools.

Department of Regulation and Licensing

The Occupational Therapists Affiliated Credentialing Board of Wisconsin
Wisconsin statutes (OTACB) licenses all OTs and OTAs practicing in Wisconsin. An individual
require that a who has graduated from an accredited occupational therapy program or an
physical therapist accredited occupational therapy assistant program and passed the examination
shall create and administered by the National Board for Certification in Occupational Therapy
maintain a patient (NBCOT) must complete an application from DRL and submit any required
record for every documentation in order to receive licensure from DRL as an OT or OTA. In
patient that physical some circumstances, DRL requires an oral examination. DRL may grant a
therapist examines temporary license to a new graduate waiting to take the NBCOT examination or
or treats. waiting for the results, if that graduate practices under monthly consultation from
a licensed OT until receiving the examination results. The DRL requires that
license holders earn specific continuing education points during each two-year
period. Occupational therapists may use the designation OT, and occupational
therapy assistants may use the designation OTA if they hold DRL licenses. A
person may not use the titles Occupational Therapist Registered (OTR) or
Certified Occupational Therapy Assistant (COTA) unless they maintain current
NBCOT certification; however, renewal of NBCOT certification is not required
for continued licensure in Wisconsin.
The Physical Therapy Examining Board of Wisconsin (PTEB) licenses all
PTs and PTAs practicing in Wisconsin. An individual who has graduated from a
board-approved physical therapy or physical therapist assistant educational
program must complete an application from DRL, submit the required
documentation and pass a written examination, and in some circumstances, an
oral examination, in order to receive a D RL license. DRL may grant a n ew
graduate a temporary license if that graduate practices under the direct,
immediate, and on premises supervision of a licensed PT until receiving the
examination results. Figure 4 on page 18 covers the main points of DRL
licensure requirements.

16 Federal Regulations and State Rules

Department of Public Instruction
Chapter PI 34, Wis. Admin Code describes the requirements for licensure of
school OTs, PTs, OTAs, and PTAs. These licenses are found in Subchapter XI –
Additional Licenses. A DPI license lasts for five years. All licenses begin July 1
and end June 30 of the fifth year. DPI does not send out notices for renewal when
the license is about to expire. An applicant for a DPI initial or renewal license
must submit a photocopy of a current license from DRL. Figure 5 covers the
main points of DPI licensure requirements. License applications and fees
(currently $100) are found at http://dpi.wi.gov/tepdl/applications.html.
DPI is required by state law, s.118.19(10)(c), Wis. Stats. to conduct a
criminal background check on every license applicant each time an application is
submitted. Applicants who have lived, worked or physically attended college
Applicants who have
classes in a state other than Wisconsin after age 17 are required to submit
lived, worked or
fingerprints in order to conduct an FBI background check. Cards used for
physically attended
fingerprinting must be obtained directly from DPI unless the fingerprints will be
college classes in a
prepared by the Central Milwaukee Police Department or Promissor (a private
state other than
vendor). No other exceptions are made. After receiving the cards from DPI, the
Wisconsin after age
applicant must take them to a law enforcement agency to have prints taken.
17 are required to
Options for fingerprinting are to
submit fingerprints in
• phone DPI at 1-800-266-1027 and leave a fingerprint card request on the order to conduct an
voice mail option, request for application or fingerprint cards. FBI background
check.
• e-mail a request for cards to Educator Licensing by going to
http://dpi.wi.gov/tepdl/licensing_mail.html. Requests must include the
applicant’s name and complete mailing address, as well as the six-digit
DPI educator file number of applicants who previously held a Wisconsin
educator license.

• obtain Inkless Fingerprinting by having prints prepared electronically by

the private vendor, Promissor. Fingerprint cards are not required for this
option. Services are offered at several sites in Wisconsin. An appointment
can be made online on Promissor's website or by calling 1-888-204-6212.
Detailed registration instructions and FAQs are at

http://www.asisvcs.com/publications/pdf/fp5002.pdf.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 17

 Figure 4 Department of Regulation and Licensing Requirements

Written Oral
Exam Examination Temporary License License Renewal
OTACB In some Granted to new Two-year license;
circumstances graduates waiting to 24 points of

Occupational Therapist
take NBCOT exam continuing
or learn results; education must be
requires monthly earned during
consultation under each two-year
licensed OT. period.

OTACB In some Granted to new Two-year license;

circumstances graduates waiting to 24 points of
Occupational Therapy Assistant

take NBCOT exam continuing

or learn results; education must be
requires monthly earned during
consultation under each two-year
licensed OT. period.

PTEB In some Granted to new Two-year license;

circumstances graduates waiting to 30 hours of
Physical Therapist

take PTEB exam or continuing

learn results; requires education must be
direct, on-premise earned during
supervision by each two-year
licensed PT. period.
PTEB In some Granted to new Two-year license;
circumstances graduates waiting to 20 hours of
Physical Therapist Assistant

take PTEB exam or continuing

learn results; requires education must be
direct, on-premise earned during
supervision by each two-year
licensed PT. period.

18 Federal Regulations and State Rules

Figure 5 DPI Licensure Requirements

DPI License Documentation Application Temporary

Name and Number Required and Fee License Other
Occupational

Photocopy of DRL license or submission of DRL license number from website

Therapist
License 812

Occupational Therapy

Five-year license; no additional continuing education required

Assistant

License application, form PI-1602-NP; fee as listed on form

License 885

One-year license if holding temporary DRL license

Physical Therapist
License 817

Physical Therapist
Assistant
License 886

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 19

 Space and Facilities
OTs and PTs should discuss unique needs for space with the director of special
education or pupil services or the district administrator. Although occupational
therapy and physical therapy will frequently occur in the child's classroom, the
therapy may require a separate space for evaluation, specialized treatment, and
equipment storage. Access to a telephone, a computer, and hand washing
facilities are also necessary.
The Department of Commerce administers school building safety. The
administrative rules for schools are found in Chapter Comm 78, W is. Admin
Code at http://www.legis.state.wi.us/rsb/code/comm/comm078.pdf. The Depart-
ment of Health Services administers health codes which may be applicable to
schools. These rules are found in Chapter DHS, Wis. Admin Code. Schools also
The therapy may follow applicable local safety and health codes and regulations. At the date of
require a separate this book’s publication, state codes and federal regulations that apply to health
space for evaluation, and safety in schools include
specialized treatment,
• Comm 78.01 regarding exits.
and equipment storage.
• Comm 78.02 regarding fire escapes.

• Comm 78.03 regarding stairways.

• Comm 78.04 regarding exit doors.

• Comm 78.05 regarding classrooms and floor space.

• Comm 78.06 regarding seats and desks.

• Comm 78.07 regarding fire extinguishers.

• Comm 78.08 regarding fire alarms.

• Comm 78.09 regarding heating plants.

• Comm 78.10 regarding sanitary equipment.

• 29 CFR s. 1910.1030 which implements the federal Occupational Safety

and Health Administration standard to minimize employee exposure to
blood-borne pathogens.

Questions about building regulations and codes may be directed to the

Wisconsin Department of Commerce, 608-267-3606 or http://commerce.wi.gov/
SB/SB-Div Contacts.html.

Laws Protecting Confidentiality

All records directly related to a student and maintained by the school district are
pupil records. Federal and state laws provide specific protections to students and
parents regarding pupil records. Federal definitions of pupil records are in the

20 Federal Regulations and State Rules

Family Educational Rights and Privacy Act (FERPA). State statutes parallel
federal definitions of pupil records and also specifically address patient health
care records and pupil physical health records. Parents have the right to inspect
and review the contents of their child's records; to request that the district amend
the record's information if the parent believes the information is inaccurate,
misleading, or violates the privacy or other rights of their child; and to know who
besides themselves and authorized school personnel has access to this
information. Disclosure of confidential information is limited to appropriate
parties when necessary to implement educational laws or to protect the health or
safety of the student or other individuals.
Chapter 146, Wis. Stats. includes OTs, PTs, OTAs, and PTAs under the
definition of health care provider. Under this statute, all records a h ealth care All records a health
provider prepares or supervises related to the health of a patient, must remain care provider
confidential, released only with the informed consent of the parent or guardian. prepares or
When a school district maintains patient health care records, it may release them supervises related to
to other school district employees without informed parental consent if access to the health of a patient,
those records is necessary to comply with a requirement in federal or state law, must remain
such as IDEA and Chapter 115, Wis. Stats., or if the employee is responsible for confidential, released
preparing or storing the records. But the parent maintains the right to know to only with the informed
whom information has been shared. consent of the parent
Health Information Privacy Accountability Act (HIPAA) provides protection or guardian.
for individually identifiable health information. Patient health care records
maintained by schools are considered education records and are thus subject to
FERPA rules and not the privacy portions of HIPAA. When school personnel
want or need health information from outside health care providers, they must
adhere to the disclosure requirements of the outside health care providers, which
are HIPAA governed, in order to have access to the information. Schools that bill
Wisconsin Medicaid electronically for school-based services should comply with
transaction and code set standards of HIPAA for submission of electronic claims.
School districts develop their own local policies regarding student records
and confidentiality based upon f ederal law and state statutes. DPI provides
further guidance about student records and confidentiality in Confidentiality of
Records. (2008) Chapter 8, Administration, provides more information about
records.

References
34 CFR sec.104. http://www2.ed.gov/policy/rights/reg/ocr/edlite-34cfr104.html
(accessed June 1, 2010).

American Physical Therapy Association. 1999. Guide to Physical Therapist

Practice. Alexandria, VA: American Physical Therapy Association.

Wisconsin Department of Public Instruction. 2008. Confidentiality of Records.

http://www.dpi.state.wi.us/sspw/pdf/srconfid.pdf (accessed June 1, 2010).

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 21

 ___. PI 11, Wis. Admin Code. http://www.dpi.state.wi.us/sped/pi11_0701.html
(accessed June 1, 2010).

___. Physical Education for Children with Disabilities. 2010.

http://dpi.wi.gov/sped/bul10-04.html (accessed September 10, 2010).

Other Resources
(accessed June 1, 2010).

Gamm, S. 2009. “Impact of the 2008 ADA Amendment on School Districts.”

Public Consulting Group.
http://www.casecec.org/pdf/ADA%20Amendment%20Explanation%2012-14-
08--Sue%20Gamm.pdf

U.S. Department of Education. IDEA 2004. http://idea.ed.gov/

Wisconsin Department of Commerce.

http://www.legis.state.wi.us/rsb/code/comm/comm078.pdf

Wisconsin Department of Public Instruction. Home page.

http://dpi.wi.gov/home.html

___. Eligibility Criteria. http://www.dpi.state.wi.us/sped/eligibility.html

___. Least Restrictive Environment. 2000.

http://www.dpi.state.wi.us/sped/pdf/bul00-04.pdf

___. PI 34, Wis. Admin Code. http://dpi.wi.gov/tepdl/pi34.html#definitions3401

___. Section 504. http://www.dpi.state.wi.us/sped/sb504.html

___. Special Education Index. http://www.dpi.state.wi.us/sped/tm-

specedtopics.html#e

___.Special Education Topics Reference.

http://www.dpi.state.wi.us/sped/subjects.html#eval

Wisconsin Department of Regulation and Licensing. Home page.

http://drl.wi.gov/index.asp?locid=0

___. Occupational Therapist and Occupational Therapy Assistant.

http://drl.wi.gov/profession.asp?profid=28&locid=0

22 Federal Regulations and State Rules

___. Physical Therapist and Physical Therapist Assistant.
http://drl.wi.gov/profession.asp?profid=37&locid=0

Wisconsin Legislature. Chapter 115, Wisconsin Statutes.

http://nxt.legis.state.wi.us/nxt/gateway.dll?f=templates&fn=default.htm&d=stats
&jd=ch.%20115

___. Chapter 448, Subchapter III, Wisconsin Statutes.

http://nxt.legis.state.wi.us/nxt/gateway.dll?f=templates&fn=default.htm&d=stats
&jd=448.50

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 23

 3
The IEP Team Process
in School
When a child has difficulty in school, teachers should identify the tasks and
environments in which the child is not progressing or participating, try
educational accommodations or interventions that they think will support the
child, and monitor the child’s response. This process is known as Response to
Intervention (RtI) and is often part of a schoolwide system of coordinated early
intervening services (CEIS) in general education. If a child is suspected of having
a disability, teachers and parents may consider a special education evaluation and
think about occupational therapy or physical therapy as related services to special
education.

The district must initiate

Referral a special education
Teachers, parents, or any person who has reasonable cause to believe a child has initial evaluation or re-
a disability may refer the child for a special education evaluation. When parents evaluation process if it is
or teachers suspect that a child may need occupational therapy or physical considering occupational
therapy, the IEP team for that child includes the appropriate therapist. The school therapy or physical
district must initiate a special education initial evaluation or re-evaluation process therapy for a child.
if it is considering occupational therapy or physical therapy for a child.
Occupational therapists (OTs) and physical therapists (PTs) should take an active
role in helping teachers and special education directors determine when a child
needs an occupational therapy or physical therapy evaluation. This may involve
team discussions or staff in-services that focus on a better understanding of the
roles of therapists in the educational setting. Therapists and teachers can work
together to develop a checklist or reference sheet that traces the teacher’s initial
observations of a child’s behavior, the interventions the teacher has attempted to
meet the child’s needs, the response to those interventions, and the reasons the
teacher suspects a child needs an occupational therapy or physical therapy
evaluation. Figures 6 and 7 on pages 26 and 27 are sample checklists that can
serve as a guide for teachers when they are trying to determine whether or not to
request an occupational therapy or physical therapy evaluation for a child.

Initial Evaluation
The purpose of an initial evaluation is to determine a child’s eligibility for special
education and the educational needs of the child. The initial evaluation also
gathers information related to

• enabling the child to be involved, as well as progress in the general

education curriculum.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 25

 Figure 6 Sample Reference Guide for Teachers: Occupational Therapy

1. What are the environments in which I frequently observe the child? (Check ALL that
apply.)
 General classroom, large groups  Small group or special classroom
 Cafeteria or snack area  Bathroom
 Recess or playground  Physical education or sports
 Arts or technology education  Vocational settings
 Travel or transitions  Extracurricular or co-curricular

2. In which of the environments listed above is the child unable or unwilling to

participate in the tasks and activities expected of all students despite the
accommodations or assistance provided?
_____________________________________________________________________
_____________________________________________________________________

3. Within the above environments, specify where the child needs additional or
specialized strategies or accommodations to adequately participate in these general
tasks or activities:

Activity Environment
Safety __________________________________
Maintaining or changing positions __________________________________
Maintaining cleanliness or hygiene __________________________________
Eating or drinking __________________________________
Traveling __________________________________
Managing clothing __________________________________
Using tools, materials, or toys __________________________________
Storing materials, setup, cleanup __________________________________
Beginning or completing tasks __________________________________
Recording information __________________________________
Moving in play or leisure activities __________________________________
Communicating __________________________________
Interacting in a positive way __________________________________
Regulating own behavior __________________________________
Following rules and adult direction __________________________________
Understanding or remembering __________________________________

4. I tried these strategies for helping the child meet specific expectations:
Strategy Expectation
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________

5. I feel an occupational therapist could provide additional strategies to help the child
meet the following expectations in school:
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
(Adapted from AOTA, 1994; BCHCEB, 1993; W. J. Coster, 1996; and R. O. Smith, 1993.)

26 The IEP Team Process in School

Figure 7 Sample Reference Guide for Teachers: Physical Therapy

1. What are the environments in which I frequently observe the child? Check ALL that
apply.
 General classroom, large groups  Small group or special classroom
 Cafeteria or snack area  Bathroom
 Recess or playground  Physical education or sports
 Arts or technology education  Vocational settings
 Travel or transitions  Extracurricular or co-curricular

2. The child shows problems moving in the environments listed above, despite the
accommodations or assistance I have provided:
_____________________________________________________________________
_____________________________________________________________________

3. Within the above environments, the child demonstrates difficulty with posture or
movement in these activities.

Activity Environment
Walking
Managing stairs, ramps, curbs, changes _____________________________
in terrain
Maintaining a sitting or standing position _____________________________
Changing positions
Keeping up with peers (tires easily, low _____________________________
endurance)
Getting from one place to the next _____________________________
without getting lost
Using playground or gym equipment _____________________________
Maneuvering a wheelchair _____________________________
Managing transfers _____________________________
Opening doors, lockers _____________________________
Toileting _____________________________
Other _____________________________

4. I tried these strategies to help the child move safely:

Strategy Expectation
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________
______________________________________ ___________________________

5. I feel a physical therapist could provide additional strategies to help the child move
more independently or safely in the following environments:
_____________________________________________________________________
_____________________________________________________________________

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 27

 • enabling preschool children to participate in appropriate activities.

• establishing baseline data that corresponds to each annual goal and

enables measurement of progress.
• teaching the child in the way he or she is most capable of learning.
The IEP team begins the evaluation process with the review of existing data
to determine the need for additional tests. Existing data might include academic
records, medical reports, previously administered standardized tests, and
information gathered from parents and teachers. The IEP team may determine
additional testing is needed. When conducting an evaluation, the IEP team uses
more than one test or assessment tool, includes information from multiple
sources, employs technically sound instruments, selects and administers tests that
are free of bias towards the child’s race or culture, and administers tests in the
language or mode of communication most familiar to the child. Assessments and
evaluation materials must be in the form most likely to yield accurate information
about what the child knows and can do academically, developmentally, and
functionally. Assessments or measures are valid and reliable for specific
purposes. IEP teams should not use these materials for other purposes.
A standardized criterion-
Standardized, norm-referenced tests sometimes serve the needs of OTs and
referenced test of
PTs. However, an appropriate norm-referenced test may not be available or
functional skills, such as
necessary and the therapist may choose a criterion-referenced test. A
the School Function
standardized criterion-referenced test of functional skills, such as the School
Assessment or School
Function Assessment (Coster, W. et al., 1998) or School Assessment of Motor
Assessment of Motor and
and Process Skills (Fisher, A. G., et al., 2005) provides information specific to
Process Skills provides
the child’s functional performance and participation at school. At other times, no
information specific to
test exists that is valid for the child's age or disability, or the test’s design yields
the child’s functional
information unrelated to the reason for the referral. Therapists may use non-
performance and
standardized inventories to identify a child's actual performance in daily school
participation at school.
routines and activities, and to determine what the student needs to do next.
Therapists collect and report information in ways that are useful for establishing
eligibility for special education and related services, as well as for program
planning. No current law or practice requires OTs and PTs to obtain and report
test scores as a means to determine eligibility for therapy services.
IDEA specifies that schools must educate children with disabilities in the
least restrictive environment, with a preference for educating the child in the
general education classroom. To support this process, OTs and PTs assess how
the child functions in the context of the classroom, the cafeteria, the halls, the
playground, the restroom, the bus, and anywhere else within the naturally
occurring school environment.

28 The IEP Team Process in School

Eligibility for Occupational Therapy
and Physical Therapy
Before the IEP team discusses whether or not a student is eligible for
occupational therapy or physical therapy, the IEP team determines if the student
is a child with a disability. The definition of a child with a disability includes
both impairment and a need for special education. First, the IEP team determines
if the child meets the criteria for one of the impairment areas listed in Figure 1.
Second, the team decides if the child needs special education. The IEP team
considers evaluation data gathered by all members when making both decisions.
The OT and PT share their professional judgments based on data gathered from
the evaluation to help the team determine if the student is a child with a
disability. If the IEP team includes an OT or PT and that team decides that the
child has an impairment and needs special education, they can write an IEP at the
meeting or schedule another IEP team meeting. The OT and PT help inform the
team about the student’s present level of academic achievement and functional
performance as stated in the IEP, determine the child's educational needs, and
develop goals that address those needs. The team then decides what kind of
special education the child needs to meet the goals.
Next, the team asks the qualifying question for school occupational therapy
and school physical therapy: is occupational therapy or physical therapy required
to assist the child to benefit from special education? Being able to determine the The team asks the
need for these related services flows from knowing the nature of the special qualifying question for
education the child will receive. The timing of this decision helps the team focus
school occupational
on the child’s goals and the expertise needed to help meet them, rather than on
therapy and school
identified deficits. Also, this timing moves the process away from using
physical therapy: is
erroneous criteria to qualify or disqualify a child for occupational therapy or
occupational therapy or
physical therapy. IEP teams should not use specific test scores, a percentage of
developmental delay, or cognitive referencing for this purpose. Effgen states: physical therapy required
“Under this concept, a child’s potential for improvement in therapy is to assist the child to
based on the relationship between intellectual and motor development. benefit from special
If a child’s cognitive skills are lower than or equal to motor skills, then education?
it is believed he would not benefit from physical therapy and would not
be eligible for services. Studies have not supported cognitive
referencing… Severe cognitive disability might limit or slow progress,
but it should not be used in determining the need for or access to
physical therapy. Recent research on those with severely limited
physical and mental disabilities indicated that PT could be effective in
helping those individuals achieve their goals, although generalization
of skills was limited.” (Effgen 2000, 125)
No one should assume that the therapist must address what he or she directly
evaluated. Instead, occupational therapy and physical therapy evaluations
contribute to the IEP team’s understanding of the child’s educational and
functional needs. As team members, therapists participate in developing goals for
the child and discussing strategies to help the child achieve the goals. The team
decides if occupational therapy or physical therapy will be added to the IEP by
applying IDEA’s definition of related services: those that are “required to assist a
child with a disability to benefit from special education.”

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 29

 Writing the IEP
The IEP is a systematic instructional planning tool, driven by a child's needs, that
continues the work of the IEP team. It lays the groundwork for instruction. It is
not a detailed instructional or intervention plan nor is it written by one person.
The IEP refers to a document with specific components required by law; it also
refers to the team’s decision-making process that the law requires will move from
referral to placement. The participants in the development of the IEP are a
diverse group, each possessing knowledge and expertise that relate to the needs
The IEP is a systematic
of the child, but working together for the benefit of that child. In doing so, this
instructional planning
group fulfills the definition of collaborative consultation—an interactive process
tool, driven by a child's
that enables people with diverse expertise to generate creative solutions to mutual
unique needs.
problems. The nature of the process enhances and alters the group’s outcomes,
allowing them to produce solutions they could not have generated as individuals.
(Idol, Paolucci-Whitcomb, and Nevin, 1987)
Each participant plays an effective role. Parents know their child best, so
they are a source of information and ideas for everyone involved. Teachers and
therapists know how to develop successful experiences for the child in and
beyond the classroom. Children must express their interests and have a clear
understanding of their abilities as planning takes place. All these participants
should

• come to the meeting prepared, on time, and organized.

• respect confidentiality.

• display empathy and positive regard toward the other participants.

• use non-judgmental statements.

• make a concerted effort to write the IEP collaboratively.

• continually evaluate the appropriateness of the program and pursue

ongoing consultation activities with other participants.

Each participant in the IEP team meeting should come with some notes or
ideas he or she would like the group to incorporate into the child's goals. Some
districts start with a blank flip chart, white board, or projected computer page and
as the discussion unfolds, the team writes the IEP. Or, staff may bring a draft IEP
to the meeting but must be ready to make changes and revisions. In developing
each child’s IEP, the IEP team must consider

• the strengths of the child.

• the concerns of the parents for enhancing the education of their child.

• the results of the initial or most recent evaluation of the child.

• the academic, developmental, and functional needs of the child. (CFR

300.324)

30 The IEP Team Process in School

Components of the IEP

Present Level of Academic Achievement and Functional Performance

The present level of academic achievement and functional performance is a
narrative statement written in objective, measurable terms that answers the key
question: What is the child doing now? The OT and PT add to the discussion
about the child’s functional performance. Occupational therapy and physical
therapy evaluations provide valuable information about functional activities and
tasks the student can perform, as well as the student’s current level of
participation in classroom and school activities. This present level should contain
measurable baseline data for goals. Information from the occupational therapy
and physical therapy evaluations helps establish a baseline from which the team
develops goals and measures progress.
Standards-based IEPs link academic standards to the IEP team’s discussion
of the present level of academic achievement and functional performance, as well
as to annual goals. Knowing and understanding the academic standards and
expectations for all students at a specific grade or age level allows the IEP team
to accurately appraise the student’s learning needs. This results in goals that are
reasonable, relevant, achievable, individualized and designed to ensure progress
and involvement in the general education curriculum. Standards-based IEPs set
annual goals for academic content areas based on the student’s disability-related
needs in reference to the academic standards, local curriculum and expectations
for peers. By using standards-based IEPs, the team avoids focusing only on the Annual goals are
student’s individual skills and merely identifying the next skill to be mastered. linked to a child's
(Wisconsin Department of Public Instruction, 2009, 5) present level of
academic achievement
Annual Goals and functional
After establishing present level of academic achievement and functional
performance and
performance, the IEP team develops the student’s measurable annual academic
describe a reasonable
and functional goals. Annual goals are linked to a child's present level of
expectation of the
academic achievement and functional performance and describe a reasonable
child's achievement
expectation of the child's achievement within one year in priority areas. As such,
within one year.
the IEP team should write goals specifically enough so that anyone working with
the child could determine if he or she has achieved that goal. Broad statements
such as improve fine motor skills or improve gross motor skills do not describe a
year's achievement that is readily recognizable. In contrast, one can objectively
measure an annual goal like complete all writing assignments independently or
travel to and within all classrooms and common areas independently. The team
should also avoid using a test score or age equivalency to describe a level of
attainment. Achievement linked to a particular test or developmental age is likely
to be less understandable to the child's parent and may not reflect what the child
needs to do in the school environment during the coming year.
Annual goals are designed so the child can be involved and make progress
within the general education curriculum. For the preschool child, the goals
describe the child’s involvement in age-appropriate activities. The IEP team

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 31

 collaboratively answers the key question: What should the child be doing? Goals
typically consist of three parts:

• Functional behavior (what the child will do)

• Context (where or when)

• Criteria (to what measurable level and consistency)

IDEA no longer requires that annual goals include short-term objectives or
benchmarks except for students who will take alternate assessments. Districts
may choose to include short-term objectives or benchmarks in students’ IEP
goals. Short-term objectives (STO) are sequential or parallel milestones toward
the achievement of an annual goal. They identify a logical breakdown of at least
two major components between the present level and the annual goal. An STO is
composed of a specific description of an observable behavior that one can
measure and record. If the IEP participants do not expect a child to achieve
independence in a skill within a year, they may write objectives that describe the
goal with terms like, an ability to tolerate, cooperate with, direct, or assist with
an activity. Benchmarks provide a schedule or timeframe for meeting milestones
IEP goals describe toward achieving the goal.
activities and The IEP should not include a separate page of occupational therapy goals and
behaviors that the a separate page of physical therapy goals. The IEP team as a whole writes the
child will demonstrate child’s goals for academic and functional performance. The goals describe
in the classroom and activities and behaviors that the child will demonstrate in the classroom and other
other educational educational environments, and are not discipline-specific. Tools that may assist
environments, and are the IEP team in writing the child's goals are the School Function Assessment
not discipline-specific. (Coster et al., 1998) for students in kindergarten through sixth grade, and the
Enderle-Severson Transition Rating Scale (Enderle and Severson, 2003) for older
students.
Using the School Function Assessment, the IEP team could write the
following goal: The student will travel independently throughout the school
building. This goal is not discipline specific. It may require the OT to orient the
student to the building. The PT may work with the student on balance so the
student can move on slippery surfaces. The PT also may collaborate with the
classroom teacher to help the teacher cue the student to walk with crutches in the
classroom and hallways.
Using the Enderle-Severson Transition Rating Scale, the IEP team could
write the following goal: The learner independently gets from home or school to
community resources (i.e., bank, library, clinic, post office, laundromat, and
restaurant). The goal is not discipline specific. It may require the teacher to
instruct the student to read a map, find a bus route, or call a taxi for a ride. The
PT may work with the student on strengthening exercises to enable the student to
manage curbs and bus steps. The OT may work with the student to use visual
cues to signal the bus at the desired stop and cross the street safely.

32 The IEP Team Process in School

 IEP goals should be functional, clear, jargon free, and address necessary
skills. The Goal Functionality Scale II (McWilliam 2005) in Figure 8 on page 34
is a tool to help staff assess written IEP goals for these characteristics. Examples
of goals that occupational therapy or physical therapy may collaborate to support
are in Figure 9, which appears on pages 39.

Measuring and Reporting Progress

The IEP team decides how progress toward meeting the annual goals will be
measured and when parents will be informed of their child’s progress. The OT
and PT discuss this during the IEP meeting. They also contribute information on
how much progress the student shows in meeting IEP goals when the progress
report is sent to parents. There is no requirement in law for each service provider
on the IEP to send a progress report to parents. Since therapists, educators and
parents all agree that ongoing, two-way communication supports positive student
outcomes, the greater the number of service providers involved in progress
reports, the more likely parents will understand services as a whole.
IEP teams sometimes ask questions about using standardized tests to measure
progress toward annual goals. These instruments do not collect pre- and post-
intervention data, and repeated use is not the purpose for which they are
designed. Such instruments are standardized for point-in-time diagnostic testing. Baseline data in the
With repeated or frequent use the child may learn the test, or the test may assess student’s present level
a stable characteristic of the child that requires accommodation rather than of academic
remediation. It is more accurate and useful to the child for therapists and teachers achievement and
to identify specific functional behaviors that they can see or hear and count in a functional performance
naturally occurring context. There are various ways to measure progress on as well as measurable
annual goals, some of which include teacher and therapist data in the form of goals in the IEP makes
charting, child work samples, data from observations of the child performing the documentation of
targeted skill, informal pre- and post-testing data, and anecdotal records. Chapter progress easier.
4 provides more detail on selected methods of counting behavior and progress
monitoring.
Having baseline data in the student’s present level of academic achievement
and functional performance as well as measurable goals in the IEP makes
documentation of progress easier. The child's present level will quantify specific
functional behaviors, such as how often the child performs a skill, under what
conditions the skill is performed, or the fluency of the skill. The annual goal
statement, including any objectives, will describe the same skill in the same
quantified way. Periodic measures of progress indicate if the child is moving
toward the goal and at what rate. It is more understandable to everyone involved
to state the specific measurable behavior or skill directly in the IEP, along with
the baseline measurement and goal measurement, rather than referring to an
external standard like a test score.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 33

 Figure 8 Goal Functionality Scale II

Child Name or ID Functional Domains

E = engagement
Goal/Outcome # I = independence
SR = social relationships
Rater’s Initials

1. Is this skill GENERALLY USEFUL (i.e., can you answer why and who 5
cares; broad enough yet specific enough)? If YES,
2. …If NOT REALLY USEFUL, 4
3. …If NOT AT ALL USEFUL, 3
4. During duration of interaction with +1 12. Cannot tell in what -1
people or objects sustains attention normalized contexts it
(E) would be useful
5. Persistence (E) +1 13. Purpose is not evident or -1
useful
6. Developmentally and contextually +1 14. Some element makes -1
appropriate construction (E) little sense
7. Pragmatic communication (SR) +1 15. Unnecessary skill -1
8. Naturalistic social interaction (SR) +1 16. Jargon -1

9. Friendship (SR) +1 17. Increase/decrease -1

10. Developmentally appropriate +1 18. Vague -1
independence in routines (not just
a reflection of prompt level) (I) 19. Insufficient criterion -1

11. Participation in developmentally +1 20. Criterion present but does -1

appropriate activities (E) not reflect a useful level
of behavior
SCORE

This scale is designed to rate one IEP objective at a time. Because IEP goals
are often statements about the domain addressed (e.g., Johnny will improve
in communication), they barely serve as behavioral goals. The appropriate
behavioral goal therefore is the more specific short-term objective, sometimes
known as benchmark.
1. Complete the three top-left boxes. Assign a number to each outcome/objective.
2. Items 1-3: Read the outcome/objective and circle the appropriate usefulness score
(i.e., 5, 4, or 3).
3. Items 4-11: Circle the scores matching the content of the outcome/objective. Note
that the codes for these pertain to the three functional domains listed in the top right
box.
4. Items 12-20: Circle the scores matching the flaws in the outcome/objective.
5. Score: Beginning with the general usefulness score, add 1 for each +1 circled and
subtract 1 for each -1 circled. Enter the resulting score in the score box. This score
could be a negative integer (e.g., -2). A high score in the positive range indicates
greater goal functionality.

R. A. McWilliam. 2005. Vanderbilt Center for Child Development. Reprinted with

permission.

34 The IEP Team Process in School

Services
An IEP must include a statement of the special education, related services,
supplementary aids and services, and program modifications and supports for
school personnel that the school district will provide to enable the child to

• advance appropriately toward attaining the annual goals.

• be involved in and make progress in the general education curriculum.
• participate in extracurricular and other nonacademic activities.
• be educated and participate with other children with and without
disabilities.

Special Education
Special education is a service that every child with an IEP will receive. The IEP
team that affirmed a child’s need for special education during the determination
of eligibility will revisit the need for special education after writing the child’s
annual goals. The IEP team members will identify the specific special education
that will be provided to help the child reach the annual goals. One simple
example of special education is supplementary instruction in reading.

Related Services IDEA defines related

IDEA defines related service as “transportation, and such developmental, service as services
corrective and other supportive services (including speech language pathology required to assist a
and audiology services, psychological services, physical and occupational child with a disability
therapy…) as may be required to assist a child with a disability to benefit from to benefit from special
special education.” The IEP team that includes an OT or PT decides whether the education.
child needs occupational therapy or physical therapy, respectively, to benefit
from special education. This decision is facilitated if the OT and PT use a
functional assessment, such as the School Function Assessment, in collaboration
with other team members to share in the evaluation of the child. The results of
this assessment help the IEP team identify areas of need that relate to the child’s
participation in actual school activities and environments. Earlier in this chapter,
the section on Eligibility for Occupational Therapy and Physical Therapy
described the process of determining the need for related services that Hanft and
Place discuss in The Consulting Therapist (1996). Hanft and Place recommend
that the IEP team waits until they write the child’s annual goals and identify the
specific special education that will be provided to help the child meet those goals,
before determining whether the student needs occupational therapy or physical
therapy. Hanft suggests asking,

1. What does the student need to learn?

2. Which strategies will facilitate the student’s learning?
3. Whose expertise is needed to assist the student with achieving outcomes?

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 35

 Question three gives the IEP team options: either to state that the therapy
evaluation contributed to determining eligibility, identifying present level, and
formulating goals, but the specific services from the special education teacher are
sufficient to help the child meet the goals. Conversely, the team may state that
the therapist has unique knowledge and skills necessary for this child’s goal
achievement. This process focuses on the unique needs of the student in an
educational environment rather than on identified deficits. Therapists are more
certain of how their services relate to the special education and the projected
educational outcomes. This process also helps IEP teams discontinue related
services when parents or teachers are reluctant to let go of therapy but have no
real rationale for continuing to provide it.
The process described above improves the likelihood of being able to decide
if occupational therapy or physical therapy is required to assist the child to
Does the child need benefit from special education. Occupational therapy and physical therapy are
occupational therapy related services. The criteria for occupational therapy and physical therapy are
or physical therapy to found in the definition of a related service: Does the child need physical therapy
benefit from special to benefit from special education? The IEP team cannot know the answer until
education? The IEP the team decides what special education the child will receive.
team cannot know the Guiding questions such as those that follow about the performance demands
answer until the team of the educational environment and the child's ability to function within it will
decides what special help the team integrate information from the occupational therapy evaluation and
education the child determine the need for service.
will receive.
• Is the child having difficulty meeting high priority demands in educational
environments of activities of daily living, assuming the student role,
participating socially, playing, or pursuing leisure or vocational outcomes?

• What are the characteristics of the child, of the activities, and of the
environment that promote or hinder success?

• Do the discrepancies between the child's performance and the demands of

the activities or environment interfere with the child having equal
opportunity to gain access to, benefit from, or participate in the educa-
tional program or services? For example, a child may need special
education to learn mathematics, but limited eye-hand coordination may
interfere with the use of manipulatives and with written expression of
knowledge.

• Is intervention, collaboration with teachers, or mobilization of resources

by the OT an effective and efficient way to improve the child's ability to
function in the environment? In the example above, an OT may adapt the
manipulatives and provide other assistive technology that allows the child
to complete assignments.

The following guiding questions may assist the team in considering the PT’s
evaluation along with other staff reports to determine the child’s need for
physical therapy.

36 The IEP Team Process in School

 • Does the child have difficulty with functional mobility in classrooms,
hallways, cafeteria, restroom, or playground which affects participation in
school activities?
• Is the child able to negotiate stairs, ramps, inclines, exits, and slippery
surfaces or travel safely throughout the outdoor campus?
• Is the child able to maintain or change positions in school settings to
participate in educational activities and to manage self care?
• Is there potential for the child to participate in school activities with
physical therapy intervention?
• Does the child have a progressive condition and therapy intervention is
needed to prevent or alleviate functional limitations at school?
• Is the knowledge and expertise of the PT required to meet the child’s
needs or to collaborate with school personnel?

The OT or PT alone cannot answer these questions. Understanding one

another's roles and skills and listening to each other's observations about the child
will help the IEP team answer the questions together. Answering the questions
may require any member of the team to relinquish former practices and domains
in order to serve the child in the least restrictive environment. Therapy helps the
Occupational therapy or physical therapy does not cure a child’s medical child with a
condition, such as cerebral palsy, muscular dystrophy, or autism. Therapy helps
disability perform
the child with a disability perform important functions that support or enable
important functions
participation in academic and nonacademic activities. When deciding whose
that support or
expertise is needed to assist the child to meet IEP goals, IEP teams must
enable participation
recognize that according to the Wisconsin Physical Therapy Practice Act, only a
in academic and
PT or physical therapist assistant (PTA) under the supervision of a PT can
provide physical therapy. The PT helps determine if the service is a physical nonacademic
therapy intervention that only the PT or the supervised PTA can provide or if activities.
this is a student activity that is part of classroom routines. Similarly, the OT
helps determine if the service is an occupational therapy intervention that only
the OT or the supervised occupational therapy assistant (OTA) can provide
under state law.

Supplementary Aids and Services

Supplementary aids and services are aids, services, and other supports that are
provided in regular education classes, other education-related settings, and in
extracurricular and nonacademic settings to enable a child with a disability to be
educated with nondisabled children to the maximum extent appropriate. (CFR
300.42) The OT and PT participate in the IEP team discussion about the
supplementary aids and services the student may need. The therapist helps the
IEP team decide on assistive technology and adaptive devices for the student.
The focus is upon adapting the environment or providing accommodations to
allow student participation in school routines. The amount, frequency, duration
and location of supplementary aids and services are documented on the student’s

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 37

 IEP. Typically, the condition or specific circumstances when the equipment will
be used are written in this section of the IEP. Figure 10 on page 40 provides
examples of supplementary aids and services.

Program Modifications and Supports

Program modifications and supports for school personnel are services or
activities that school personnel need in order to provide services. There is a
relationship between supplementary aids and services for children and program
modifications and supports for school personnel. For example, if a child needs
assistance transferring from one chair to another (a supplementary service), a
teacher or paraprofessional may need instruction from a PT on how to safely
transfer the child (a support for school personnel). The OT and PT participate in
When adaptive the IEP team discussion about the program modifications and supports for school
equipment will be personnel. When adaptive equipment will be used by personnel not licensed as an
used, the IEP team OT, OTA, PT, or PTA, the IEP team documents the specific equipment, training
documents the specific by the therapist in the use of the equipment, provision of safety guidelines and
equipment, training by usage log in the IEP. They also document the amount, frequency, duration, and
the therapist in the use location in the IEP. Appendix E provides sample forms for recording information
of the equipment, about adaptive equipment. Examples of program modifications and supports for
provision of safety school personnel are in Figure 11on page 41.
guidelines and usage
Amount of Service
log in the IEP.
The IEP team decides on the amount, frequency, duration and location of
services the student will receive in order to attain the annual goal. The OT and
PT participate in this determination. The preferred practice patterns in the Guide
to Physical Therapist Practice offer some direction in the amount of physical
therapy in terms of expected number of visits per episode of care. (American
Physical Therapy Association, 1999, Ch 4–7) Some requirements for
documenting amount, frequency, location and duration of services are listed
below.

• The amount of therapy must be stated in the IEP so that the level of the
agency’s commitment of resources is clear to parents and all who are
involved in the IEP development and implementation.

• The amount of therapy may be stated as a range. A range may be used for
specific circumstances or conditions based on the unique needs of the
child. A range may not be based on staff availability or schedules.

• The amount of time per episode/session/day/week must be appropriate to

the service.

• The amount of therapy should be based upon the student’s needs, not the
availability of staff.

• The duration of service is considered the length of the IEP unless

otherwise stated. When the duration is different than the rest of the IEP,
the IEP should show beginning and ending dates.

38 The IEP Team Process in School

Figure 9 Examples of Goals and Objectives

Present level of functional performance: Kaitlin walks independently

in classrooms and bathrooms with a reverse walker. She obtained a
motorized wheelchair which she will learn to use for longer distances.
Annual goal: Kaitlin will travel independently throughout the school
environment using her reverse walker and motorized wheelchair by
meeting the following objectives:

Short-term objectives Comments

Kaitlin will independently The skill is important as Kaitlin will
move from chair, toilet, or floor participate in daily school routines and
to motorized wheelchair using activities. The settings are clearly stated
the reverse walker. and the criterion (independence)
represents a functional level of behavior.
Kaitlin will independently The objectives address acquisition and
maneuver motorized generalization from classroom to outside
wheelchair from one classroom the school building. Independent travel
to another. allows for naturalistic social interactions
with peers.
Kaitlin will move through
hallways and cafeteria lines in
her motorized wheelchair
without bumping into others.

Kaitlin will independently exit

the building and move safely
around areas surrounding the
school in her motorized
wheelchair.

Present level of functional performance: Using the positioning system

or customized wheelchair, Jason maintains posture for at least 20 minutes
during classroom instruction.
Annual goal: Using the positioning system or customized wheelchair in
the classroom, Jason will type 100 words in 35 minutes with the
headpointer switch.
Benchmarks Comments
By December 1, Jason will type The goal and benchmarks are useful in
50 words in 25 minutes with allowing Jason to be involved in the
the headpointer switch in the curriculum. The classroom context is
classroom. clear and the criterion is set in the
benchmarks and specified times for the
By April 4, Jason will type 80 behavior to occur. Time in the classroom
words in 30 minutes with the allows for naturalistic social interactions
headpointer switch in the with peers.
classroom.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 39

 Annual goal: While playing with at least one other student, Ed will share
and interact with toys without banging or throwing them without adult
assistance five times per day for 10 minutes.
Comments: This social-emotional goal is an age appropriate activity for a
four year old child. The condition is clearly stated and the criterion is
included in the annual goal statement without the use of objectives or
benchmarks. It describes a behavior that is specific, measurable and
functional for the child, without specifying the services that will support
his achievement of the outcome.

Figure 10 Examples of Supplementary Aids and Services

Supplementary aids and Frequency/Amount Location Duration
services: aids, services, and
other supports provided to
or on behalf of the student
in regular education or
other educational settings.
Yes  No 
(If yes, describe below)

Sit in 12” chair with arms Whenever child Special Same as

and wedge cushion participates in fine education IEP
motor activities at and dates
the 24” table with regular
peers classroom
Stand in the Easy Stander When chemistry lab Regular Same as
assignment requires classroom IEP
work at the lab counter dates
No limitation on student Whenever a test or Regular Same as
moving, standing, or pacing assignment is classroom IEP
in the back of the longer than 5 dates
classroom questions, until
student completes
the test or
assignment.

40 The IEP Team Process in School

Figure 11 Examples of Program Modifications and Supports

Program Frequency/ Location Duration

modifications or Amount
supports for school
personnel that will
be provided.
Yes  No 
(If yes, describe below)
Consultation among 30 minutes each General Same as
special education time, twice per education IEP dates
teacher, general semester classroom
education teacher, OT
and PT
OT will provide 3 sessions, 20 General September
training for teacher minutes each education 7, (year) to
and classroom aide on classroom October 15,
positioning Carlos in (year)
chair at table
PT will provide 5 sessions, thirty General September
training for teacher minutes each education 7, (year) to
and classroom aide on classroom November
lifting techniques 7, (year)

Figure 12 Examples of Amount, Frequency and Location

• Typical: Direct occupational therapy two times per week for 30-minute sessions in
the regular classroom.
• Short-Term Intensive: Direct physical therapy five times per week at 45 minutes
each session for the first semester outside the regular classroom.
• Infrequent: Occupational therapy four times during the second semester, for 25
minutes each session.
• Group: Physical therapy for one hour, two times per week, in a group of three
children in the regular classroom.
• Conditional: When the child does not get to class on time on two consecutive days,
occupational therapy will be provided for 6-8 sessions of 30 minutes each outside the
regular classroom.
• Predicted Schedule:
September 1 – November 1 Physical therapy three times per week 40
minutes per session outside the regular
classroom.
November 2 – January 15 Physical therapy two times per week, 30
minutes per session in the regular classroom.
January 16 – June 3 Physical therapy 30 minutes once per week in
the regular classroom.
• Location designates whether the student receives services in the regular class
or outside the regular class. Regular class means with nondisabled peers.
Services provided outside the regular class are considered removal from
regular education.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 41

 Figure 12 on the previous page provides examples of amount, frequency and
location. DPI Information Update Bulletin 10.07 (Wisconsin DPI 2010c)
provides more guidance and specific examples on how to describe the amount of
special education, related services, supplementary aids and services, and program
modifications and support for school personnel in students’ IEPs.

Least Restrictive Environment

Both federal and state laws require that, to the maximum extent appropriate,
school districts educate children with disabilities with children who do not have
disabilities. The team that develops the child’s IEP determines the least
restrictive environment (LRE) for the implementation of the child’s IEP from a
continuum of locations and service options. They identify the environment in
The team discussion which a child will receive special education and related services. The discussion
begins with the ideal: begins with the ideal: consideration of services in the student’s neighborhood
consideration of school, in the regular classroom with nondisabled peers. The IEP team
services in the student’s determines the extent to which a child will not participate in the regular
neighborhood school, education environment and documents those determinations on the IEP. They
in the regular may remove a child from the regular educational environment only when
classroom with teachers cannot educate the child satisfactorily in the regular classroom using
nondisabled peers. supplementary aids and services, due to the nature or severity of the child’s
disability. The team must determine the child’s placement annually and base the
selection on the child’s IEP and on specific requirements in the law. The team
may not select an environment based solely on

• the category of the child’s disability.

• the availability of related services.

• curriculum or space.

• school policy.

• administrative convenience.

• the configuration of the delivery system.

• perceived attitudes of regular education staff or children.

LRE pertains to school-based therapy as well as the educational services that
teachers provide. Some children require individual intervention that the therapist
cannot provide in a classroom. The nature of the intervention, the space or
equipment required in the therapy, or the potential distraction to other children
are acceptable reasons for the therapist to implement the child’s IEP in a location
other than a classroom full of other children. In most instances, however, the
actual classroom, playground, gym or other natural environment is the LRE. The
IEP team documents the location(s) for occupational therapy and physical

42 The IEP Team Process in School

therapy and describes them in terms of the extent to which the child will be
removed from education with nondisabled peers.
Delivery of occupational therapy and physical therapy within the least
restrictive environment is consistent with the collaborative model of service
delivery. Collaboration among team members can result in reduced duplication
of services, more consistent attention to the child's needs throughout the school
day, and more relevant application of the knowledge and skills of individual
disciplines to educational difficulties that children experience. Teachers and
therapists now recognize that they cannot ensure educational relevance through
isolated, pull-out services. To promote educational relevance, OTs and PTs must To promote
observe and work with children in the context of educational programs, whether educational relevance,
services are direct or indirect. (Rainforth, B. and York-Barr, 1997) For many OTs and PTs must
school teams, this requires a considerable change in roles and practices. observe and work with
To provide services for preschoolers in the LRE means serving children in children in the context
natural environments and age-appropriate settings with typically developing of educational
peers. This may mean serving children at home or in daycare, Head Start, or programs, whether
private preschool. The IEP team considers the child's educational, behavioral, services are direct or
and social needs. Presently, 98 percent of children in Birth to 3 programs are indirect.
served in natural environments. There is an expectation these children will be
served in natural environments when they make the transition to public school
programs. The National Individualizing Preschool Inclusion Project comprises
three components that apply to preschool occupational therapy and physical
therapy. (McWilliam and Clingenpeel 2005)

• Functional intervention planning is carried out principally through a

routines-based assessment, featuring an interview of the family and the
teaching staff.

• Integrated therapy consists of specialists using models labeled

individualized within routines and group activity to provide special
education and related services.

• Embedded intervention involves the use of proven instructional principles,

especially incidental teaching, in the context of developmentally
appropriate activities. For example, embedded interventions allow practice
of motor skills within classroom and school activities.

OTs and PTs frequently follow an itinerant model of serving preschool

children with disabilities. In the itinerant model, the therapist delivers IEP
services or consults with personnel to implement the IEP in regular education
settings in the community or school district. For instance, in the community, a
child might receive services in the child’s home, a state-licensed child care
center, a Head Start setting, a school-sponsored play group, a YMCA program, or
a public library program. In a school district, a child might receive services in a
four-year-old kindergarten or Title I preschool program. Using the IEP for
guidance the itinerant therapist not only works directly with the child but also

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 43

 collaborates with the child care teacher and other service providers in the
development of activities and educational objectives. In this model, the therapist
focuses on the needs of the target child without pulling the child out of the
environment that the IEP team determined was least restrictive for the child.
Detailed information about serving preschool children in the LRE is in DPI
Information Update Bulletin 10.03: Free Appropriate Public Education (FAPE)
in the Least Restrictive Environment (LRE) for Preschoolers (age 3-5) with
Disabilities. (Wisconsin DPI 2010b)

Re-evaluation
The IEP team conducts a reevaluation of a child who has a current IEP if the
educational or related services needs of the child, including improved academic
achievement and functional performance, warrant a reevaluation; or if the child’s
parent or teacher requests a reevaluation. (34 CFR 300.303(a) A reevaluation
occurs at least every three years and not more than once a year, unless agreed
otherwise by parent and the district. A reevaluation always begins with review of
existing information. When a student’s IEP includes occupational therapy and
physical therapy, therapists participate in the reevaluation process.

Adding Adding to a Student’s Existing IEP

Since IDEA 1997 and again since IDEA 2004, DPI has advised that adding
occupational therapy
occupational therapy or physical therapy to a student's existing IEP requires a
or physical therapy to
reevaluation. OTs and PTs are regulated not only by special education law, but
a student's existing
also by state professional practice acts, those requirements that regulate a
IEP requires a
therapist’s professional practice and licensing standards. Practice act
reevaluation.
requirements and licensing standards apply to occupational therapy and physical
therapy in all settings, including school-based practice. This includes evaluating a
child before providing services. So, if a district is considering occupational
therapy or physical therapy for a current IEP, it must initiate a reevaluation
process that includes a notice to the parent of reevaluation, review of existing
information by the IEP team with a decision about the need for additional testing,
and consent from the parent for testing. Occupational therapy and physical
therapy are unique in this respect; other services can be added at an IEP team
meeting without conducting a reevaluation. The review of existing information is
likely to negate the need for parallel testing by other IEP team members and
make the process simpler. The next three-year reevaluation date changes, but a
reevaluation always can be conducted sooner if needed.

Discontinuing Occupational Therapy or Physical Therapy

Occupational therapy and physical therapy can be removed from the IEP at an
annual IEP team meeting or any other IEP team meeting. The criterion for
including or not including occupational therapy and physical therapy on a child’s
IEP is whether or not the child with a disability requires the related service to
benefit from special education. School districts should not develop any other
criteria or guidelines. The IEP team comes to consensus on this decision in the

44 The IEP Team Process in School

same way that they determined the initial need for the respective therapy. They
review or revise the child’s annual goals and identify the specific special
education that will be provided to help the child meet those goals. Dismissal
occurs when the IEP team decides that the child no longer requires therapy to
benefit from special education. For example, when a child reaches an IEP goal
that the therapist supported, or the therapist's knowledge, skill, or expertise is no
longer needed to help the student reach the goal, the new IEP will not include the
related service.
Using measurable data gives the therapist, parent, and other IEP team
members objective information on which to base their decision. The child’s
present level of academic achievement and functional performance should
provide measurable baseline data. The IEP goals describe the same behavior in a
measurable way. By periodically collecting data and making comparisons to
baseline data, the IEP team can determine progress toward accomplishing the IEP
goal. This process is not considered an IEP team evaluation or reevaluation, so
parental consent is not required.
Dismissal occurs
Parents may be fearful that a discontinued service will never be offered to
when the IEP team
their child again. It is helpful to reassure the parent that the IEP team will
decides that the child
reconsider occupational therapy and physical therapy based upon new needs or
no longer requires
challenges that the child may have, such as transition from elementary school to
therapy to benefit
middle school or preparing for transition from high school to adult life.
from special
There are other ways in which an IEP team may discontinue a child’s
education.
occupational therapy or physical therapy. The team may write beginning and
ending dates as the duration of the service on the child’s IEP. When the ending
date is reached, the therapy will end without another IEP team meeting. The
therapy will not be included in the next annual IEP team meeting or three-year
reevaluation unless the need for it is suspected. A second way is through a
reevaluation, when the team finds that the child no longer needs any special
education. Without special education, the child will not have an IEP or any
related services. A third way occurs when a parent of a child with a disability or
an adult student revokes consent for special education and related services. The
parents of a child who receives an initial evaluation as a child with a disability
will be asked to give informed consent in writing for the child to receive special
education services, before any services begin. The parent has the right to consent
or refuse to consent. The parent or the student, if an adult, also may revoke
consent for services at any time after the special education has begun. Revocation
of consent applies to all IEP services. A parent cannot choose to revoke consent
for some services and keep others. For example, a parent cannot revoke consent
for speech and language services and keep physical therapy. The revocation of
consent must be in writing. Upon receipt of the written revocation, the school
district promptly provides prior written notice before stopping special education
and related services. The school district may not use mediation or due process
procedures to challenge the parent’s revocation of consent. Once special
education and related services end, the school district is not required to make a
free and appropriate public education (FAPE) available to the child and is not

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 45

 required to have an IEP team meeting or develop an IEP for the child. The school
district also is not required to offer the child discipline protections under IDEA.
The school district is not required to amend the child’s education records to
remove any reference to the child’s receipt of special education and related
services. However, if the child is referred for special education in the future, the
district must act upon that referral, and the evaluation will be treated as an initial
evaluation.

Extended School Year Services

Special education and related services provided beyond the limits of the school
term and documented on an IEP are Extended School Year (ESY) services. A
child's IEP team must consider, as appropriate, whether a child needs ESY
services in order to receive a FAPE. The district is not required to consider ESY
services for each child at an IEP meeting. The child’s IEP team makes the
determination of whether or not ESY services will be included on the IEP. ESY
services typically occur over the summer break, but can occur any time that
school is not in session. Occupational therapy or physical therapy may be the
only service provided during ESY.
Federal special education regulations and court cases establish a standard for
Special education
determining whether a child is eligible for ESY services. In most cases, courts
regulations and court
consider a child’s regression during an interruption in services and the child’s
cases establish a
recoupment of skills after services resume in determining eligibility for ESY
standard for ESY
services. Some other factors that the IEP team may consider include but are not
services, including
limited to the
regression during an
interruption in services • degree of impairment.
and the child’s
recoupment of skills • ability of the child's parents to provide the educational structure at home.
after services resume.
• child's rate of progress.

• child's behavioral and physical problems.

• availability of alternative resources.

• ability of the child to interact with children without disabilities.

• areas of the child's curriculum which need continuous attention.

• child's vocational needs.

• whether the requested service is extraordinary for the child's condition, as

opposed to an integral part of a program for those with the child's
condition.

An extensive description of ESY and frequently asked questions are in DPI

Information Update 10.02, Extended School Year. (Wisconsin DPI 2010a)

46 The IEP Team Process in School

References
34 CFR Parts 300 and 301, IDEA Final Regulations.
http://idea.ed.gov/download/finalregulations.pdf (accessed June 25, 2010) .

American Physical Therapy Association. 1999. Guide to Physical Therapist

Practice. Alexandria, VA: American Physical Therapy Association.

Brown County Children with Disabilities Educational Board, 1993.

Occupational/Physical Therapy Teacher Questionnaire. Green Bay, Wisconsin.

Coster, W. 1996. Overview of the School Function Assessment. Presented at the

annual conference of the American Occupational Therapy Association, Chicago,
IL, April 22, 1996.

Coster, W., T. Deeney, J. Haltiwanger, and S. Haley. 1998. School Function

Assessment. San Antonio, Texas: Therapy Skill Builders a division of the
Psychological Corporation.

Effgen, S. 2000. “Factors Affecting the Termination of Physical Therapy

Services for Children in School Settings.” Pediatric Physical Therapy 12(3):
121–26.

Enderle, J. and S. Severson. 2003. Enderle-Severson Transition Rating Scale,

Third Edition. Moorhead, MN.

Fisher, A., K. Bryze, V. Hume, and L. A. Griswold. 2005. School AMPS: School
Version of the Assessment of Motor and Process Skills. Fort Collins, CO: Three
Star Press.

Hanft, B. and P. Place. 1996. The Consulting Therapist: A Guide for OTs and
PTs in Schools. San Antonio: Pearson Education, Inc.

Idol, L., P. Paolucci-Whitcomb, and A. Nevin. 1987. Collaborative Consultation.

Austin, TX. PRO-ED.

McWilliam, R. 2005. Goal Functionality Scale II. The National Individualizing

Preschool Inclusion Project, a “Project of National Significance” funded by the
U.S. Department of Education, Office of Special Education Programs.

McWilliam, R. and B. Clingenpeel. “What is the Individualizing Inclusion

Model?” National Individualizing Preschool Inclusion Project. Presented at the
Statewide School Therapy Conference, Wisconsin Dells, WI, October 28, 2005.

Rainforth, B. and J. York-Barr. 1997. Collaborative Teams for Students with

Severe Disabilities, 2nd Edition. Baltimore: Paul H. Brookes Publishing Co., Inc.

Smith, R.O. 1993. “Technology Part II: Adaptive Equipment and Technology.”
In Classroom Applications for School-Based Practice. Ed. C.B. Royeen.
Rockville, MD: American Occupational Therapy Association.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 47

 Wisconsin Department of Public Instruction. 2009. A Guide to Connecting
Academic Standards and IEPs.
http://www.dpi.wi.gov/sped/pdf/iepstandardsguide.pdf (accessed March 23,
2010).

___. 2010a. DPI Information Update Bulletin 10.02: Extended School Year.
http://dpi.wi.gov/sped/bul10-02.html (accessed September 10, 2010).

___. 2010b. DPI Information Update Bulletin 10.03: Free Appropriate Public
Education (FAPE) in the Least Restrictive Environment (LRE) for Preschoolers
(age 3-5) with Disabilities. http://dpi.wi.gov/sped/bul10-03.html (accessed
September 10, 2010).

___. 2010c. DPI Information Update Bulletin 10.07: Describing Special

Education, Related Services, Supplementary Aids and Services, and Program
Modifications and Supports. http://dpi.wi.gov/sped/bul10-07.html (accessed
November 15, 2010).

Other Resources
Chiarello, L. and S. Effgen. 2006. “Updated Competencies for Physical
Therapists Working in Early Intervention.” Pediatric Physical Therapy 18(2):
148–58.

Cole, K., P. Mills, and S. Harris. 1991. “Retrospective Analysis of Physical and
Occupational Therapy Progress in Young Children: An Examination of
Cognitive Referencing.” Pediatric Physical Therapy 3(4): 185-89.

“Collaborating Partners.” http://www.collaboratingpartners.com/ (accessed

July 21, 2010).

Wisconsin Department of Public Instruction. 2009. A Guide for Writing IEPs.

http://www.dpi.wi.gov/sped/pdf/iepguide.pdf (accessed March 23, 2010)

48 The IEP Team Process in School

 4
School-Based
Occupational Therapy
Occupational therapy means the therapeutic or constructive use of purposeful
and meaningful occupations to evaluate and treat individuals of all ages who
have a d isease, disorder, impairment, activity limitation or participation
restriction that interferes with their ability to function independently in daily life
roles and environments and to promote health and wellness. (Chapter 448, Wis.
Stats.) The word occupation in this specific context means engagement in
activities of daily living, education, work, play, leisure and social participation.
According to the American Occupational Therapy Association (AOTA),
occupation encompasses intentional, action-oriented behavior that is personally
meaningful. A person's unique characteristics and culturally based view of his or
her roles determine this behavior. (AOTA 1995; Chapter 448, Wis. Stats.) When
working with a child, the therapist, in collaboration with others, engages the child
in activities that the child values or finds meaningful. If a child has not yet OTs in schools evaluate
developed an understanding of his or her own purpose, the occupational therapist children in the context of
(OT) collaborates with the team to help the child explore activities that motivate their educational
and engage the child. The OT contributes to the design of such activities that will environments, provide
lead to functional performance patterns that are typical for children of the same intervention, and
age in similar environmental contexts. In school environments, these include communicate with
academic and non-academic outcomes such as social skills, math, reading, educational personnel,
writing, recess play, self-help skills, participation in sports, and preparation for parents, and community
post-high school education and employment. agencies and service
OTs in schools evaluate children in the context of their educational providers.
environments, provide intervention including consultation services for and on
behalf of children, and communicate with educational personnel, parents, and
community agencies and service providers. Responsibilities of the OT in the
school include
• participation in the IEP Team or 504 e valuations, either of which
determines eligibility.
• participation in the development of the IEP or 504 plans, either of which
determines goals and objectives for the child.
• development of an intervention plan to outline the specific occupational
therapy intervention that will assist the child in meeting goals and
objectives.
• provision of indirect and direct occupational therapy.
• reevaluation as indicated or required.
• provision of team support.
• provision of system support. (Hanft and Shepard 2008)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 49

 Conceptual Frameworks
There are two foundational systems, both of which have undergone significant
Two foundational revision, that OTs should know when practicing in Wisconsin schools: The
systems that OTs should Occupational Therapy Practice Framework: Domain and Process (herein called
know when practicing in Framework) which AOTA adopted in 2002 and revised in 2008 as a means of
Wisconsin schools are outlining language and constructs that describe the profession’s focus (AOTA
The Occupational 2002, AOTA 2008); and Uniform Terminology for Occupational Therapy, a
Therapy Practice system developed in 1979 and revised in 1989 and 1994. Professionals developed
Framework: Domain and and revised these works at different points in the state’s development of laws and
Process, and Uniform standards. The Framework is used in professional literature and intervention
Terminology for planning, and Uniform Terminology is used in the Wisconsin Administrative
Occupational Therapy. Code, so it is helpful for the reader to become familiar with both systems. In
addition, The Guide to Occupational Therapy Practice (Moyers and Dale, 2007)
offers updates into professional understanding and awareness. A brief description
of each system is provided in this chapter.

Occupational Therapy Practice Framework

The Framework describes both the domain and process of occupational therapy.
As noted at the beginning of this chapter, the domain of occupational therapy is
occupation in the broadest sense. Occupation is all of the things people do to
occupy their time, many of which are day-to-day, routine activities. “Supporting
health and participation in life through engagement in occupation” is the
objective of occupational therapy intervention. (AOTA 2008) Figure 13 on the
next page illustrates the aspects of occupational therapy domain. Figure 14
explains the aspects of each component of the domain.
Each of the terms used in Figures 13 and 14 are defined further in Figure 15
on page 53, and at length in the full Framework document. School OTs evaluate
a child’s ability to engage in age-appropriate areas of occupation. When
engagement is inefficient or ineffective, the OT considers smaller units and
sequences of performance known as p erformance skills and performance
patterns. Performance skills and patterns are influenced by context and
environment, demands of the activity, and client factors. In contrast to limited
models of practice that view client factors and isolated performance skills as the
sole targets of evaluation and intervention, the Framework recognizes the
multiple, interrelated influences that determine a child’s engagement in academic
and functional activities. The components of occupational therapy domain as a
whole thus drive the nature of the process of occupational therapy, including
evaluation, intervention and outcome measurement. The Framework process will
be compared to the IDEA process on page 56 in Figure 16.

50 School-Based Occupational Therapy

Figure 13 Occupational Therapy Practice Framework: Domain
AOTA 2008. Reprinted with permission.

Figure 14 Occupational Therapy Practice Framework: Components of

Domain AOTA 2008. Reprinted with permission.

Areas of Client Performance Performance Context and Activity

Occupation Factors Skills Patterns Environment Demands
Activities of Values, Sensory Habits Cultural Objects
Daily Living Beliefs, and Perceptual Skills Used and
(ADL)* Spirituality Routines Personal their
Motor and Properties
Rest and Body Praxis Skills Roles Physical
Sleep Functions Space
Emotional Rituals Social Demands
Education Body Regulation
Structures Skills Temporal Social
Work Demands
Cognitive Skills Virtual
Play Sequencin
Communication g and
Leisure and Social Skills Timing

Social Required
Participation Actions

*Also Required
referred to as Body
basic Functions
activities of
daily Required
living(BADL) Body
or personal Structures
activities of
daily living
(PADL)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 51

 Uniform Terminology
The Wisconsin Administrative Code that governs the licensure and regulation of
all OTs and occupational therapy assistants (OTAs) who practice in Wisconsin
draws its terminology from the AOTA publication, Uniform Terminology for
Occupational Therapy-Third Edition which predates the other relevant guides.
(AOTA 1994) Chapter OT 1, Wis. Admin Code currently defines these terms:

“Occupational performance areas” means the functional abilities that

occupational therapy addresses in the areas of activities of daily living,
including continence training; self maintenance; functional communication
and functional mobility; work and productive activities, including home
management; care giving; learning and vocational pursuits; and play or
leisure activities, including solitary and social activities and recreation.

“Occupational performance components” means the skills and abilities that

an individual uses to engage in performance areas, including sensorimotor,
sensory, neuromuscular and motor factors; cognitive integration and
cognitive components; and psychological, social and self-management areas.

“Occupational performance contexts” means situations or factors that

influence an individual’s engagement in desired or required occupational
The International performance areas, including age, maturation, life cycle stage of disability,
Classification of physical environment, social supports and expectations, and behavioral
Functioning, Disability norms and opportunities. (Chapter OT 1.02, Wis. Admin Code)
and Health integrates
medical and social These terms are slightly different and less comprehensive than the terms used
models of disability in the Framework, but are comparable in concept. It is important for OTs and
into one, holistic OTAs to understand and be able to use these terms accurately and effectively in
biopsychosocial model. their role documenting occupational therapy service in Wisconsin as described in
Chapter OT 4.03(5)(b), Wis. Admin Code: “The individual’s occupational
performance areas and occupational performance components shall be routinely
and systematically evaluated and documented.”

Comparison of Terms
School OTs, school OTAs and other school staff will find it useful to compare
the Framework used in professional literature, the Uniform Terminology for
Occupational Therapy (UT-III) used in Wisconsin law, and the International
Classification of Functioning, Disability and Health (ICF). The ICF is the World
Health Organization’s (WHO) document for the definition, measurement and
policy formulations for health and disability worldwide. ICF integrates medical
and social models of disability into one, holistic biopsychosocial model. In the
medical model, disability is directly caused by disease, trauma or other health
condition and requires medical treatment by professionals. “Disability, in this
model, calls for medical or other treatment or intervention, to 'correct' the
problem with the individual.” (World Health Organization 2002) Conversely, the
social model views disability as a socially created problem, not a problem within

52 School-Based Occupational Therapy

Figure 15 Comparison of Terms (AOTA 2002. Reprinted with permission).

FRAMEWORK UT-III ICF

Occupations are "activities ... of Not addressed. Not addressed.
everyday life, named, organized,
and given value and meaning by
individuals and a culture.
Occupation is everything people
do to occupy themselves,
including looking after
themselves, ... enjoying life ... and
contributing to the social and
economic fabric of their
communities ... " (Law, Polatajko,
Baptiste, & Townsend, 1997, p.
32).

Areas of occupation are various Performance areas- Activities and participation-

kinds of life activities in which • Activities of daily • Activities-"execution of a
people engage, including the living task or action by an
following categories: Activities of • Work and individual" (p. 10).
daily living (ADL), instrumental productive • Participation-"involvement
activities of daily living (IADL), activities in a life situation" (p.10).
rest and sleep, education, work, • Play or leisure Examples of both: learning,
play, leisure, and social activities task demands (routines),
participation. communication, mobility, self-
care, domestic life,
interpersonal interactions and
relationships, major life areas,
community, social and civic
life. Activities and
Participation from ICF overlap
Areas of Occupation,
Performance Skills, and
Performance Patterns in the
Framework.

Performance skills are features Performance Activities and participation-

of what one does, not what one components- • Activities-"execution of a
has, related to observable sensorimotor task or action by an
elements of action that have components, cognitive individual" (p. 10).
implicit functional purposes interaction and • Participation-“involvement
(adapted from Fisher & cognitive components, in a life situation" (p.10).
Kielhofner, 1995, p. 113). as well as psychosocial Examples of both: learning,
Performance skills include skills and psychological task demands (routines),
sensory perceptual, motor and components. These communication, mobility, self-
praxis, emotional regulation, components consist of care, domestic life,
cognitive, communication and some performance interpersonal interactions and
social skills. skills and some client relationships, major life areas,
factors as in the community, social and civic
Framework (pp. 1052- life. Activities and
1054). Participation from ICF overlap
Areas of Occupation,
Performance Skills, and
Performance Patterns in the
Framework.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 53

 FRAMEWORK UT-III ICF
Performance patterns are Habits and routines are Activities and participation-
patterns of behavior related to not addressed. Roles are • Activities-"execution of a
daily life activities that occur with listed as performance task or action by an
regularity. Performance patterns components (p. 1050). individual" (p. 10).
include habits, routines, roles and • Participation-“involvement
rituals. in a life situation" (p.10).
Examples of both: learning,
task demands (routines),
communication, mobility, self-
care, domestic life,
interpersonal interactions and
relationships, major life areas,
community, social and civic
life. Activities and
Participation from ICF overlap
Areas of Occupation,
Performance Skills, and
Performance Patterns in the
Framework.

Context and environment refers Performance contexts Contextual factors-“represent

to a variety of interrelated • Temporal aspects the complete background of an
conditions within and surrounding (chronological, individual's life and living.
the client that influence developmental, life They include environmental
performance. Context includes cycle, disability factors and personal factors
cultural, personal, physical, social, • Environment that may have an effect on the
temporal, and virtual factors. (physical, social, individual with a health
cultural) condition and the individual's
health and health-related
states" (p. 16).
• Environmental factors-
"make up the physical, social
and attitudinal environment
in which people live and
conduct their lives. The
factors are external to
individuals ... “(p. 16).
• Personal factors-"the
particular background of an
individual's life and living
...” (p. 17) (e.g., gender, race,
lifestyle, habits, social
background, education,
profession). Personal factors
are not classified in ICF
because they are not part of a
health condition or health
state, though they are
recognized as having an
effect on outcomes.

Activity demands are aspects of Not addressed. Not addressed.

an activity, which include the
objects used and their properties,
space demands, social demands,
sequencing and timing, required
actions, required body functions
and body structures needed to
carry out the activity.

54 School-Based Occupational Therapy

 FRAMEWORK UT-III ICF
Client factors are those factors Performance • Body functions-"the
that reside within the client that components- physiological functions of
may affect performance in areas sensorimotor body systems (including
of occupation. Client factors components, cognitive psychological functions)"
include interaction and (p.10).
• values, beliefs and spirituality cognitive components, • Body structures-
• body functions as well as psychosocial "anatomical parts of the body
• body structures skills and such as organs, limbs and
psychological their components [that
components. These support body function]" (p.
components consist of 10).
some performance
skills and some client
factors as presented in
the Framework (pp.
1052-1054).

Note: FRAMEWORK = Occupational Therapy Practice Framework, Second Edition (AOTA 2008)
UT-III = Uniform Terminology for Occupational Therapy-Third Edition (AOTA 1994)
ICF = International Classification of Functioning (WHO 2001)

the individual. “In the social model, disability demands a political response, since
the problem is created by an unaccommodating physical environment brought
about by attitudes and other features of the social environment.” The blending of
these models in ICF reflects the view that disability and functioning are outcomes
If there is any
of interactions between challenges to health (diseases, disorders and injuries) and
indication at the
context. ICF emphasizes function, health, and participation rather than disease.
time of referral that
(World Health Organization 2002) This model is compatible with the educational
the child might need
model described by IDEA, which emphasizes function, participation and
academic achievement. Figure 15 on the previous page compares the terminology occupational
used in the Framework, Wisconsin law (UT-III) and the ICF. (AOTA 2002) therapy, the IEP
team must include
Occupational Therapy Initial Evaluation an OT.
Occupational therapy that is provided in public schools is governed by yet
another conceptual framework: IDEA and state special education laws. In this
context, occupational therapy is a p otentially required related service to special
education. When a parent, teacher or other individual believes that a child has a
disability and needs special education, the individual makes a r eferral to the
child’s school for a special education evaluation. Referral is the first step in the
special education process, followed by evaluation by an IEP team, as shown in
Figure 2 i n chapter 2. If there is any indication at the time of referral that the
child might need occupational therapy, the IEP team must include an OT. (PI
11.24(2), Wis. Admin Code) State licensing and practice law also governs
occupational therapy practice in schools. A therapist alone or in collaboration
with an assistant must prepare an evaluation for each individual referred for
services. (OT 4.03(3)(a), Wis. Admin Code) The resulting intervention for an
individual child in school is always based on an occupational therapy evaluation
that meets the standards of practice described in the state licensure law. The OT
may use a variety of individual and collaborative processes to help the IEP team
achieve the two purposes of an evaluation under IDEA: to determine if a child is
a child with a disability, and to determine the educational needs of the child. (34
CFR, 300.301(c) (2))

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 55

 Medical Referral and Medical Information
In Wisconsin, a school OT does not require a referral or prescription from a
physician or other health care provider to conduct an initial evaluation as part of
an IEP team, or to provide services for a child with a d isability. Chapter OT
4.03(2)(e), Wis. Admin Code specifies,
Physician order or referral from another health care provider is not required
for evaluation or intervention if an OT or OTA provides services in an
educational environment, including the child’s home, for children and youth
with disabilities pursuant to rules promulgated by the federal individuals with
disabilities education act, the department of public instruction and the
department of health and family services, or provides services in an
educational environment for children and youth with disabilities pursuant to
the code of federal regulations.
An OT must have The exemption from a referral for occupational therapy in educational
medical information environments is specific to children or youth who have or are suspected to have a
disability under IDEA, state special education law, or section 504 of the
about a child before
Rehabilitation Act.
the child receives
A physician or other health care provider may send a referral or prescription
occupational
for occupational therapy to the school or give it to the child’s parent to share with
therapy.
the school. If the school district has not ever decided that the child has a
disability, a school administrator should confirm the meaning of the referral: does
the physician believe the child currently has a d isability and requires a special
education evaluation under Chapter 115.777, Wis. Stats? If the child already has
been referred for a special education evaluation or has an IEP, the IEP team
should consider the recommendation of the physician or other health care
provider for occupational therapy. The IEP team, however, makes the final
determination to provide occupational therapy to the child as a related service.
The IEP team ultimately decides the necessary amount and frequency of the
service, no matter what the physician recommends.
An OT must have medical information about a child before the child receives
occupational therapy. (Chapter PI 11.24(9)(c) Wis. Admin Code) The therapist
has a professional obligation to secure, review, and interpret the information that
the parent, physician, or other health care professional provides. The therapist
uses professional judgment to determine how much information is enough, and
the amount may vary considerably from child to child. For example, when a
child's medical condition is stable or uncomplicated, as is true of some children
with learning disabilities, the therapist only may need to check periodically with
the parents to see if new medical information is available. However, if the child
is experiencing significant changes due to degenerative processes or surgical
intervention, the therapist will require technical information from the physician.

56 School-Based Occupational Therapy

Figure 16 Comparison of IEP Team Process with
Occupational Therapy Process
Referral PI 11.24 (2) IEP TEAM. If a child is
A teacher, parent, or other person suspected to need occupational therapy or
refers the child for a special education physical therapy or both, the IEP team for
evaluation. that child shall include an appropriate
therapist. (WI Admin Code)
Evaluation OT 4.03 An occupational therapist alone or
The initial evaluation consists of in collaboration with the occupational
procedures to determine if the child is a therapy assistant shall prepare an
child with a disability and to determine occupational therapy evaluation for each
the educational needs of the child. individual referred for occupational therapy
services. The occupational therapist
interprets the information gathered in the
evaluation process. (WI Admin Code)

OT Framework:
Evaluation equals Occupational Profile plus
Analysis of Occupational Performance
Decision OT 4.03 The occupational therapist
1. Does the child have an interprets assessment data to identify
impairment? facilitators and barriers to occupational
2. Does the child need special performance.
education?
IEP Development OT 4.03 The occupational therapist
The IEP Team writes the IEP together. • develops a plan that includes
This includes deciding what services – objective and measurable goals with
the child needs. timeframe,
– occupational therapy intervention
approach based on theory and evidence,
and
– mechanisms for service delivery;
• considers discharge needs and plans;
• selects outcome measures;
• makes a recommendation or referral to
others as needed.
Placement OT Framework: what contexts support or
IEP team decides on placement inhibit desired outcomes?
Implementation OT 4.03 The occupational therapist
LEA implements the IEP and • determines types of occupational therapy
placement. interventions to be used and carries them
out.
• monitors the client’s response according to
ongoing assessment and reassessment.
Review and Re-evaluation OT 4.03 The occupational therapist
IEP team reviews the IEP and • reevaluates plan relative to achieving
placement at least annually. targeted outcomes.
• modifies the plan as needed.
IEP team re-evaluates at least every • determines the need for continuation,
three years, unless parents and school discontinuation, or referral.
agree not to.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 57

 The therapist must know about possible contraindications to intervention, as well
as medical conditions that affect the child's current functional status.
To contact the physician or other professional directly, the therapist or other
designated school employee must ask the child's parents for signed consent to
release information. Therapists may contact only the specific agencies or
individuals designated on the consent form and only during the period of time
specified on the form. Schools must treat as confidential the written records that
health care providers send to the school, or which therapists prepare from verbal
information given by health care providers. School district employees may have
access to those records only if they need them to comply with a requirement in
federal or state law, or if the child’s parent gives informed consent. (Chapter 146,
Wis. Stats.)
Occasionally when therapists seek permission for communication with a
physician, the parent responds that the child does not have a doctor, or the
physician responds that he or she has not seen the child recently enough to
provide relevant information. The therapist should seek assistance from the
director of special education to work with the parent to obtain medical
information, explaining that the district must provide safe and legal therapy. The
An evaluation must school may be required to provide transportation or other assistance to the
include an assessment of parents. The school district cannot deny related services to a ch ild due to the
how occupational difficulty in obtaining medical information. Figure 17 on the next page is a
performance components sample medical information worksheet that may clarify the exchange of
and occupational information between therapists and physicians.
performance contexts
influence the individual’s Components of Occupational Therapy Evaluation
functional abilities and An OT conducting an evaluation in Wisconsin must consider an individual's
deficits in occupational medical, vocational, social, educational, and family status, as well as personal
performance areas. and family goals. The evaluation must include an assessment of how
occupational performance components and occupational performance contexts
influence the individual’s functional abilities and deficits in occupational
performance areas. The OT must evaluate and document occupational
performance areas and components in the initial occupational therapy evaluation,
periodically throughout intervention, and upon discontinuation of services. These
requirements are part of the standards of practice that regulate all OTs and OTAs
licensed to practice in Wisconsin. (OT 4.03(3)(b),(5)(b),(6)(b) and (6)(c), Wis.
Admin Code)
An additional review of Figure 14 offers a reminder of the terms and
concepts that relate to the components of occupational therapy evaluation.
Occupational performance areas correspond to areas of occupation, those life
activities in which individuals of all ages engage, such as “activities needed for
learning and participating in the environment.” (AOTA 2008) Occupational
performance components correspond to performance skills, the features of what
one does which rely on client factors and are often organized into performance
patterns. Using Figure 14, it is clear to understand that examples of performance
skills and patterns in school might be attending to instruction, remaining in a
designated area, gathering materials for a task, and staying on task. Occupational

58 School-Based Occupational Therapy

performance contexts are the conditions in which the individual engages in
activities of occupation. Context changes constantly, not only over a lifespan but
also within a school day, as in going to and from school, participating in a class,
or getting ready for bed. Because context is inseparable from performance areas
and performance components, they too change. For example, consider Bill, a
young, single male with a lifelong disability, who is developing a career. He is
currently in physically accessible environments and has public transportation and
wheelchair repair services available to him. Bill interacts with his context and
environment to engage in occupation. If Bill were to move to a rural area, marry,
or become seriously ill, the context of his occupational performance would
change, and his current goals could lose relevance.

Occupational Profile
In the Framework, evaluation is the first step in the process of service delivery.
Evaluation refers to the process of gathering information as a b asis for making
decisions. It is divided into two subsets: the occupational profile, and the analysis
of occupational performance. The occupational profile is information that
describes the client’s background and perspective in order to determine client-
centered goals and individualize intervention. It includes the kind of descriptive
information that is often found in the present level of academic achievement and
functional performance section of a child’s IEP. To complete the occupational
profile, the OT and OTA ask these questions:
• Who is the client?
• Why is the client seeking services?
• What occupations and activities are successful or are causing problems?
• What contexts support or inhibit desired outcomes?
• What is the client’s occupational history?
• What are the client’s priorities and targeted outcomes? (AOTA 2008)
For young children, some questions may be answered by parents, caregivers
and teachers. Knippenberg and Hanft (2002) add questions that may be more
relevant to children in educational environments:
• What does the student need to learn?
• What behaviors does a teacher expect and allow in the classroom?
• Where is the student successful?
• Where academically and socially across the school setting is this student
struggling?
• What strategies have been tried and what was the child’s response?

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 59

 Figure 17 Sample Medical Information Worksheet

Consent to Obtain/Release of Information: _________________________________

date
To/From :_______________________________________________________________
agency or physician
(Attach copy of consent form)
Return to: _______________________________________________________________
district contact person

Child's name: ________________________________ Date of Birth: _____________

Parents: ____________________________________ Phone: ___________________

E-mail__________________________________________________________________

Street Address:___________________________________________________________
street city ZIP code

Diagnosis/Etiology: _______________________________________________________

Date last seen by physician:_______________________________________________

Physician's name: ________________________________________________________

Physician's address: ______________________________________________________

street city ZIP code

Medical Precautions (specify and/or list current medications if applicable)

 Seizure disorder __________________________________________________
 Orthopedic concerns ______________________________________________
 Surgeries (include past history)
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
 Shunted(include dates) _____________________________________________
 Asthma or respiratory problems ______________________________________
 Allergies ________________________________________________________
 Visual impairment/Hearing impairment ________________________________
 Neuromuscular condition (asymmetry, abnormal tone) ____________________
 Frequent ear infections _____________________________________________
 Oral motor concerns that may affect feeding (include swallow deficits, food
allergies, special diet, etc.) __________________________________________
________________________________________________________________
 Other___________________________________________________________

60 School-Based Occupational Therapy

Future Plans for:

 Surgical intervention ___________________________________________________

 Splinting/orthotics _____________________________________________________
 Equipment ___________________________________________________________
 Medication changes ___________________________________________________

Additional precautions or medical information that might be pertinent to this child's

school programming. ______________________________________________________
_______________________________________________________________________
_______________________________________________________________________

Therapist's Contact Documentation

Contact Person
How Contacted—Phone,
Date Therapist Written, In Person

Office of Student Services, School District of Waukesha. Adapted with permission.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 61

 As an IEP team member, the OT’s review of existing information, described
in chapter 3, may inform the occupational profile. In a school occupational
therapy evaluation, OTs and OTAs gather information about a student’s engage-
ment in learning and assuming the student role, as well as other occupations of
children and youth in educational environments. These occupations may include
play, sports, activities of daily living, social participation, and preparation for
adult occupations like careers, postsecondary schooling, relationships, and home
management. (Moyers and Dale 2007)

Analysis of Occupational Performance

The occupational profile helps the OT to identify focal areas of occupation that
she will address in the second part of evaluation, analysis of occupational per-
OTs and OTAs
formance. The therapist analyzes student performance by assessing contexts,
gather information
activity demands, and client factors that influence performance skills and patterns
about a student’s
in educational environments. Assessment refers to a specific tool, instrument, test
engagement in
or interaction that is used in the evaluation process. (Moyers and Dale 2007) It is
learning and
defined in Chapter OT 1.02(1) Wis. Admin Code as “…a component part of the
assuming the student
evaluation process, and means the process of determining the need for, nature of,
role, as well as other
and estimated time of treatment at different intervals during the treatment,
occupations of
determining needed coordination with or referrals to other disciplines, and
children and youth in
documenting these activities.” The following section describes a variety of
educational
assessment methods that OTs use to gather data for analysis of occupational
environments.
performance in educational environments. The school OT interprets the
information gathered in the evaluation process, (OT 4.03(3)(a), Wis. Admin
Code) then formulates an occupational performance problem statement that
describes the strengths and weaknesses of the child with respect to the patterns
and routines of the school day and contextual supports and barriers to
performance. Asher, I.E. (2007) in the references at the end of this chapter pro-
vides a comprehensive index of occupational therapy assessments in these
categories:
Performance in Areas of Occupation
Performance Skills and Client Factors
An OT uses Performance Patterns and Contexts
observation,
interviews, records Assessment Methods
review, and the use of The methods that an OT uses to analyze a child's occupational performance may
structured or include observation, interviews, records review, and the use of structured or
standardized standardized evaluative tools or techniques. (OT 4.03(3)(c), Wis. Admin Code)
evaluative tools or In best practice, an OT approaches evaluation in a collaborative manner.
techniques. Collaborative evaluation means that the child's parent and the professional
members of the educational team together set priorities about the environments
and activities where they will assess the child’s performance, and determine
which team members will participate in each part of the assessment. (Rainforth
and York-Barr 1997, 132)
It also means that the OT might not directly assess every occupational
performance area and component in every relevant environment, but may gather

62 School-Based Occupational Therapy

information from parents, teachers, the child's records, and other service
providers or persons in the child's life if the parent gave consent. With this
approach, there may be more preparatory work because the members of the IEP
team must plan ahead and coordinate their efforts, but they avoid duplication of
data collection and are more likely to communicate throughout the evaluation.
When the team prioritizes the order of activities and environments and identifies
those that require an OT's perspective, the OT uses the most appropriate means of
assessment. The therapist may perform the assessment alone, or collaborate with
other team members. For instance, one team member could design a method of
collecting data, while another carries it out. Tools may include any combination
of informal and formal approaches, such as the following.

1. Analysis of activity demands, observation, and recording of a baseline

frequency of specific age-appropriate school activities in their naturally
occurring contexts. (Baumgart et al. 1982; Asher, 2007) This method is
especially appropriate for analyzing a r ecurring aspect of a child’s
occupational performance that teachers and parents have identified as The first step is a
absent, emerging, or problematic. OTs often measure activities of daily task analysis. From
living and social participation in this way and then rate them on a this, the OT can
criterion-referenced instrument such as the School Function Assessment or identify which
a functional behavior assessment. This method provides a clear baseline activity demands are
measurement for the child’s present level of academic achievement and not being met, and
functional performance in the IEP. It lends itself to accurate measurement record a baseline
frequency of the
of progress toward functional goals. The first step is a task analysis of the
aspects needing
“aspects of an activity, which include the objects, space, social demands,
change.
sequencing or timing, required action, and required underlying client
factors and body structures needed to carry out the activity.” (AOTA
2008) From this, the OT can identify which activity demands are not being
met, and record a b aseline frequency of the aspects needing change. In
Functional Behavior Assessment: A Study Guide (CESA 12 1999) , the
authors identify the following types and means of recording behavior.
• Frequency or event recording. Generally the easiest and most accurate
method of data collection, this is a count of how many times a specific
behavior occurs during a given time period. It works best with
behaviors that are discrete (have a clear start and stop, take about the
same amount of time whenever they occur, can be distinguished from
another event), rather than continuous (not as easy to tell when it stops
or starts).
• Interval recording. The observer divides the time (generally less than
one hour) into equal intervals (probably no more than 30 seconds each),
and then records whether or not the behavior occurs during each
interval. Simple symbols (+ and -) and a timing device, usually a watch
with a second hand, are used.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 63

 • Time-sampling. Similar to interval recording, in this method the
observer looks only momentarily in random or unequal intervals. The
advantage of this method is that the observer can do other things along
with the data collection. The disadvantage is that it is possible to miss a
behavior with longer intervals and obtain less accurate data.
• Duration recording. This is a measure of how long a particular behavior
lasts. It works best with skills or behaviors that must be maintained over
time, such as s taying seated or eating a meal. It is also useful for
measuring decreases in behaviors that interfere with function.
• Latency recording. This is a way to document the amount of time
between behaviors. The interval between the teacher giving a direction
and the student complying with the request is an example of latency
recording. Another example is how long a student must rest before
resuming an activity.
• Scatter plot. Over a w eek, the observer records occurrences of the
behavior on a time grid (such as the days of the week divided into 15- or
30-minute time intervals). Scatter plots can determine when and where
to collect data about behavior, and, when charted, that information can
reveal behavioral patterns.
• Antecedent–Behavior–Consequence. This is typically a narrative
Analysis of the account of the environmental events that precede observable behavior
activities, people, and (antecedents), an objective description of the behavior, and an account
communication that of events that follow that behavior (consequences).
make up a naturally
2. Analysis of the activities, people, and communication that make up a
occurring environment
or routine allows naturally occurring environment or routine. (Griswold 1994, McWilliam
therapists to look at and Clingenpeel 2003) Occupational performance is also influenced by
how the environment context and environment, as well as t he more commonly assessed client
or the actions of others factors and activity demands. The recording method of antecedent-
may initiate or behavior-consequence described above allows therapists to begin to look
reinforce performance. at how the environment or the actions of others may initiate or reinforce
performance. OTs use this type of approach when they observe the effects
of the sensory environment of the classroom upon a child’s behavior. A
therapist could also interview a parent, teacher or student about the
routines of a typical day at home or school to find out which routines are
successful and which are not.

3. Experimentation with tasks or environments by controlling or manipulat-

ing some element to determine a cause-effect relationship. (Asher 2007,
Silverman et al. 2000) Assessment may include changing an aspect of an
activity or trying equipment to see if occupational performance improves.
Assistive technology assessment is a familiar example of this approach. In

64 School-Based Occupational Therapy

 an initial evaluation, the OT may measure a ch ild’s ability to meet
classroom expectations for producing written assignments without the use
of an assistive device to derive a b aseline. Assessment may proceed to
trying devices that promise to improve performance over time, such as an
electronic keyboard or voice-activated computer input software. The
therapist will measure the results of each trial in order to select the most
appropriate device for intervention.

4. Measurement using an appropriate instrument selected or developed for

the purpose. This method is probably the most familiar but typically
measures only client factors of occupational performance. This category
includes paper-and-pencil objective tests, performance tests, work
samples, projective techniques, inventories, rating scales, mechanical
devices, or computer programs. (Asher 2007) The use of standardized
instruments is discussed in more detail below. Any evaluation materials,
procedures, or tests that are used must
• be administered in the child's native language or other mode of
communication and in the form most likely to yield accurate
An OT cannot conduct
information on w hat the child knows and can do academically,
a comprehensive
developmentally and functionally.
evaluation of a child's
• not be racially or culturally discriminatory. performance in areas of
• be used for the purposes for which they are valid and reliable. occupation using only
standardized, norm-
• have normative data for the child's characteristics, such as age and referenced tests.
disability, or else be expressed in descriptive rather than quantitative
terms.
• reflect the child's aptitude or achievement level and not the child's
impaired sensory, manual, or speaking skills, unless those are the
factors the test is designed to measure.
• be administered by trained and knowledgeable personnel in accordance
with the instructions provided by their producer. (OT 4.03, Wis. Admin
Code, and 115.782, Wis. Stats.)

Use of Standardized Instruments

Standardized instruments are those in which the procedure, apparatus and scoring
are fixed so that the same procedures are followed exactly, each time that the test
is administered. (Cronbach 1990) Standardized interviews, standardized
observations and standardized tests all may fall into this category. Standardized
assessments can be norm-referenced or criterion-referenced. Norm-referenced
assessments compare results to the scores that are expected from a co mparable
group of typical subjects. Criterion-referenced assessments compare results to
criteria. (Asher 2007) An OT cannot conduct a comprehensive evaluation of a
child's performance in areas of occupation using only standardized, norm-

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 65

 referenced tests. Such tests, however, can provide objective and measurable
information, when used correctly. The therapist should report normative scores
for such tests only in the following circumstances: if the child’s age is within the
available norms, if the test is valid for the child’s disability and culture, if the
therapist administers the test in the child’s native language, and if the therapist
follows the standardized procedure for administering the test. These criteria will
yield valid normative scores that are useful only if the therapist can relate them to
the child's functional performance in the naturally occurring school environment.
A child's score on any given test or tests neither qualifies nor disqualifies that
child for school occupational therapy. It is the overall IEP team evaluation and
program planning that leads to an IEP team decision of whether occupational
therapy is required to assist the child to benefit from special education.

Reporting Results
The OT communicates evaluation results to the referral source and to the
appropriate persons in the facility and community. (OT 4.03(3)(f), Wis. Admin
Code) At the IEP team meeting that concludes the evaluation process, the
therapist contributes to the pool of information that everyone brings to the
meeting. The team uses the collective information to determine if the child meets
the criteria for one or more of the impairments identified in state law. If the team
OTs are required identifies an impairment, members determine if the child needs special education.
to prepare an The IEP team develops a collaborative evaluation report that documents the
evaluation for each determination of the child’s area of impairment, if any, and the information that
individual referred was used to make that determination. If the child meets the criteria for one or
for occupational more impairments, the IEP team also documents whether or not the child needs
therapy services special education. Since 2006, IDEA and state law have not required individual
and to document IEP team members to write a summary of evaluation findings but to accept the
the results. collectively produced document. OTs, however, are required by Chapter OT
4.03(3), Wis. Admin Code to prepare an evaluation for each individual referred
for occupational therapy services and to document the results in the individual’s
record. The report must indicate the specific evaluation tools and methods that
the therapist used, as well as the status of the individual’s occupational
performance areas and performance components. The report is most useful if it is
written in terms that are understandable to parents and other IEP team members
and relates to the child's ability to function in academic and non-academic areas
in school. The report should help the IEP team answer these questions:
• What is the child’s functional performance at school?
• How does the child’s disability affect his or her involvement and progress
in the general education curriculum or age-appropriate activities?
• What are the child’s strengths?
• What does the child need to learn?
• What are the parent’s concerns?

66 School-Based Occupational Therapy

 The Guide to Occupational Therapy Practice (Moyers and Dale, 2007)
illustrates a documentation structure that lends itself to addressing the evaluation
components of the Framework, the occupational therapy licensure law
requirements in Wisconsin, and the information needs of the IEP team. The
structure includes
• identifying information about the child and relevant information from the
occupational profile.
• evaluation tools and assessment methods used.
• analysis of occupational performance, beginning with identification of
strengths and weaknesses of performance in areas of occupation and
including baseline frequency of performance in specific age-appropriate
school activities that emerge as ar eas of concern in their naturally
occurring contexts.
• identification of occupational performance skills, performance patterns,
client factors, activity demands, environments and/or contexts that inter-
fere with or support occupational performance in areas of concern.
• identification of factors that are amenable to intervention.
• recommendations for the IEP team to consider such as o ccupational If the OT is excused
therapy intervention, support to teachers, or supplementary aids and from attending the
services. IEP team meeting, his
The inclusion of baseline frequencies of performance will assist the IEP team or her evaluation
in writing annual goals that they can measure in the same terms as the statement report may include a
of present levels. If test scores are obtained, they can be included in the selected recommendation of
performance skills and client factors. If the OT is excused from attending the IEP the nature, frequency,
team meeting, as d escribed in chapter 3, his or her evaluation report may also and amount of
include a recommendation concerning the nature, frequency, and amount of the occupational therapy.
occupational therapy that the therapist believes the child needs.

Other School Occupational Therapy Evaluations

In addition to participating in a child’s initial evaluation to determine eligibility
for special education and educational needs, OTs often participate in a ch ild’s
periodic reevaluation of special education and related service needs, as well as in
specialized evaluations such as functional behavioral assessments.

Re-evaluation
The IEP team conducts a reevaluation of each child with a disability at least once
every three years and no more than once a year, unless the school district and the
parent agree otherwise. Other reasons for additional reevaluations include a
request by the child’s parent or teacher, or when changes occur in the educational
or related services needs of the child, including improved academic achievement
and functional performance. (34 CFR 300.303(a)(1)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 67

 When the IEP team that includes an OT conducts a three-year reevaluation of
a child, the occupational therapy reevaluation will include
• an assessment of the child's present levels of functional performance in
occupational performance areas, components, and contexts. (Chapter OT
4.03(5)(b), Wis. Admin Code)
• a comparison of the child's status at the previous evaluation to the child's
present levels of functional performance.
• a review of strategies and adaptations that the child has tried, those found
to be successful, and supporting data.
• any recommendations for continuation or initiation of specific strategies
and adaptations.

The OT assesses a child's progress periodically or continuously during

intervention, using any of the methods discussed above. The therapist may be
responsible for collecting data and documenting progress toward IEP goals
according to the procedures and schedule on the IEP, or may provide information
to another team member who will report the progress to the child’s parent. When
a school district seeks third-party payment for occupational therapy, the therapist
follows the requirements for assessing and reporting progress as required by the
payer, in addition to those required by special education law. Prior to the annual
IEP meeting, the OT summarizes the data collected during the year on progress
OTs provide critical toward IEP goals and any changes that have occurred in the treatment plan. The
observations and OT may conduct additional assessments for the purpose of establishing baselines
contributions to the and developing IEP goals at the meeting without obtaining parental consent.
functional behavioral
assessment process Functional Behavioral Assessment
and the development Functional behavioral assessment (FBA) is a process conducted by an IEP team
of positive behavioral for the purpose of identifying (1) the function of a child’s behavior; (2) the
intervention plans. variables that influence the behavior; and (3) the components of an effective
behavioral intervention plan (BIP). (CESA 12 19 99) If a ch ild’s behavior
impedes the child’s learning or that of others, the IEP team must consider the use
of positive behavioral interventions and supports (PBIS) to address the behavior.
(34 CFR 300.324 (a) (2)) FBA is based on applied behavioral analysis and is a
foundation for determining positive behavioral interventions. It is a process that
the IEP team uses to
• identify and define a specific, observable behavior.
• determine the antecedent, that is, what precedes the behavior of concern.
• identify the consequence, or that which follows the target behavior.
The team should document a specific behavior in a way that anyone reading
the statement could identify the behavior when it occurs. Terms that are subject
to interpretation can lead to inconsistent implementation of a behavioral plan.
Antecedents may include external factors such as settings, tasks, people,
activities, or events, or internal factors such as neurological or medical

68 School-Based Occupational Therapy

conditions. Consequences may include what the student does, what other students
do, what teachers do or other adults do after the behavior occurs.
OTs provide critical observations and contributions to the FBA process and
the development of positive behavioral intervention plans. In addition to bringing
an understanding of neurology and medical conditions to the team, OTs attend to
performance patterns, activity demands, contextual factors and environmental
features of which other school staff may not be aware. For example, the motor
demands of an activity or the sensory impact of a room or a teacher’s voice may
be antecedents to a b ehavior that interferes with learning. Prevention of the
behavior through manipulation of antecedents, intervention through the use of
self-regulatory strategies, and skill building by increasing self-awareness may be
ways that OTs can contribute to PBIS for students and capacity building for
teachers.

Intervention
Intervention refers to the skilled actions that the OT and OTA take to help the
child meet his IEP goals. (AOTA 2008, 652) It is the step in the occupational
therapy process that takes place after the IEP team writes occupational therapy
into a child’s IEP and sets a d ate for implementing services. The first phase of
intervention is planning. The OT meets the program planning requirements The OT meets
described in Chapter OT 4.03(4), Wis. Admin Code, by participating in the IEP program planning
team meetings to develop each child’s IEP, as well as by writing a separate requirements by
occupational therapy treatment plan for each child as required by Chapter PI participating in the
11.24, Wis. Admin Code. The OT may collaborate with the OTA, the teacher, the IEP team meetings to
student or others to derive a treatment plan from the functional, age-appropriate develop each child’s
outcomes in the child's IEP. The therapist uses the treatment plan as a tool to IEP, as well as by
guide specific interventions so they remain synchronized with the IEP, and thus writing a separate
with the provision of special education and other related services. The plan also occupational therapy
helps to guide others who may be implementing the child’s occupational therapy, treatment plan for
such as an OTA or an OT in another school if the child transfers. The treatment each child.
plan may take various forms, depending on the model of service delivery that the
team considers most appropriate and the strategies that the OT and teacher select.
Occupational therapy treatment plans commonly include short-term goals that are
written to define the expected change in occupational performance as a result of
the planned intervention. Change may take the form of
• increased frequency, duration, consistency, quality or safety of
performance.
• decreased levels of assistance, time, errors, or behaviors that interfere with
performance.
• new performance. (Moyers & Dale 2007)
The planned intervention approaches and methods are recorded on the
treatment plan. The OT alone may change the treatment plan as the child’s needs
change, as the intervention is not part of the child’s IEP. Components of the

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 69

 treatment plan that are directly from the IEP, such as IEP goals and amount and
frequency of service may not be changed without an IEP team meeting or the
agreement of the parent and school to change the IEP without a meeting.
Appendix B provides examples of school occupational therapy treatment plans.
Occupational therapy treatment plans are generally considered patient health care
records under Chapter 146, Wis. Stats. They may be stored in the therapist’s
secure files and should be shared with parents at their request.

Principles of Intervention
School OTs base their intervention with a child with a disability on s everal
principles from IDEA and occupational therapy practice. These include the
following:
• the child has access to the general curriculum in order to meet the
educational standards that apply to all children in the school district. (34
CFR s. 300.39(b)(3) (ii))
• the child is educated with children who are nondisabled to the maximum
IDEA explicitly states
extent appropriate. (34 CFR s. 300.114(a)(2)(i))
that special education
and related services • special education and related services are designed to meet the unique
are based on the needs of the child and prepare him or her for further education,
identified needs of the employment, and independent living. (34 CFR s.300.1(a))
child and not on the • related services to be provided to the child or on behalf of the child are
disability category in based on peer-reviewed research to the extent practicable. (34 CFR s.
which the child is 300.320(a)(4))
classified.
• occupation includes activities of daily living, instrumental activities of
daily living, education, social participation, play, leisure and work.
(Moyers and Dale 2007)
• the OT focuses on c hanging factors in the client, activity, context and
environments, performance skills, or performance patterns in order for the
child to achieve health and participation in life through engagement in
occupations. (AOTA 2008, 656)

Children with Speech and Language Impairments

Occasionally an IEP team questions whether or not a child who meets the criteria
for speech and language impairment and needs special education to improve
articulation may also receive occupational therapy that is unrelated to articulation
or oral motor skills. IDEA explicitly states that special education and related
services are based on t he identified needs of the child and not on t he disability
category in which the child is classified. (34 CFR Part 300.8, Analysis and
Comments) Types of services, such as occupational therapy, are not restricted to
children in specific categories.
Once the IEP team determines that a child meets eligibility in any one of the
impairment categories and needs special education, the team will develop goals
related to the child's academic and functional needs. They should consider all of

70 School-Based Occupational Therapy

the child's needs that affect educational progress and participation, but may
prioritize the needs that will be addressed in the IEP. For a child with a speech
and language impairment, the team may decide to write goals for areas of need in
addition to speech, such as written communication, social skills, mobility, or
behavior. The IEP will describe the special education services needed to
implement the goals, including the amount, location and duration. A special
education teacher other than the speech therapist may provide these special
education services. If the team decides that occupational therapy is required to
assist the child to benefit from special education, they will list it as a r elated
service. It is important for the team to discuss other reasonable alternatives to
special education and occupational therapy, such as r egular education program
modifications or supplementary aids and services. If the IEP team members
follow the process described in chapter 3, postponing a decision about the need
for occupational therapy until goals are written and special education services are
determined, they then can ask if occupational therapy is required to assist the
child to benefit from special education in meeting the goals or ensuring
participation. An occupational therapy evaluation that identified skill deficits
does not automatically mean that the child requires occupational therapy; rather,
it is up to each child’s IEP team to determine the special education and related
services that will address the child’s unique needs in order for the child to receive
a free, appropriate public education.

Intervention Approaches
The Framework identifies five categories of intervention (AOTA 2008):
The Framework
1. Create, promote. Depending on the district’s job description, this identifies five
approach may be an incidental or optional category of occupational categories of
therapy intervention in schools, as it is not specific to individuals with intervention.
disabilities. An OT may provide services that are likely to improve
occupational performance for all students in a school. In educational
terminology, this approach is often called a universal intervention.
Examples are consulting on an ergonomic seating plan, contributing to the
design of a p layground, developing a b ackpack awareness program,
mentoring teachers in a cognitive-sensory program for self-regulation, and
assisting in the development of a school wide handwriting curriculum.
Hanft & Shepherd (2008) call this approach system support and describes
is as “an opportunity to apply one’s professional wisdom and experience
to develop programs and policies to build the capacity of a school district
and its education teams.”
2. Establish, restore. With this approach, the OT's intent is to establish or
restore a child's performance skills or patterns, or change client factors
such as muscle strength. The OT uses this type of intervention to prepare
the child for more active performance in occupations. Examples are
exercise and therapeutic practice of a motor skill. Restorative approaches
are incomplete and frequently ineffective without facilitating a transfer of
the targeted skill to the performance of occupations and activities in
natural environments.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 71

 3. Maintain. The purpose of this approach is to ensure that a child’s
occupational performance remains at a f unctional level. It is often used
when the child is at risk for losing function or when therapeutic goals have
been achieved and an intense level of intervention is no longer required.

4. Modify and Compensate. In this approach, the OT develops strategies for

task or activity performance by
• teaching alternative strategies for accomplishing the desired outcome.
• altering the activity or the activity demands.
• adapting the context or environment in which the child performs.
• improving the child's performance through assistive devices.
5. Prevent. Using this approach, the OT takes action to prevent barriers to
occupational performance, such as physical deterioration or emotional
An evidence-based distress. These preventive actions frequently include positioning, task
occupational therapy adaptation, or modification of the environment. They are often directed
practice uses research toward ensuring physical safety or positive behavior.
evidence together with
clinical knowledge Evidence-Based Practices in Intervention
and reasoning to make Occupational therapy literature commonly describes evidence-based practice as a
decisions about process of reviewing published research to gather the most reliable evidence
interventions that are about the effectiveness of selected interventions or practice patterns, that is, the
effective for a specific way in which intervention is implemented, and applying that evidence to choices
client. made in practice. (Holm 2000; Dysart and Tomlin 2002) An evidence-based
occupational therapy practice uses research evidence together with clinical
knowledge and reasoning to make decisions about interventions that are effective
for a s pecific client. (Law and Baum 1998) In defining scientifically based
research, IDEA refers to section 9101(37) of the ESEA, also known as No Child
Left Behind:
Scientifically based research—(a) Means research that involves the
application of rigorous, systematic, and objective procedures to obtain
reliable and valid knowledge relevant to education activities and programs;
and (b) Includes research that—
(1) Employs systematic, empirical methods that draw on observation or
experiment;
(2) Involves rigorous data analyses that are adequate to test the stated
hypotheses and justify the general conclusions drawn;
(3) Relies on m easurements or observational methods that provide
reliable and valid data across evaluators and observers, across multiple
measurements and observations, and across studies by the same or different
investigators;
(4) Is evaluated using experimental or quasi-experimental designs in
which individuals, entities, programs, or activities are assigned to different
conditions and with appropriate controls to evaluate the effects of the
condition of interest, with a preference for random-assignment experiments,

72 School-Based Occupational Therapy

 or other designs to the extent that those designs contain within-condition or
across-condition controls;
(5) Ensures that experimental studies are presented in sufficient detail
and clarity to allow for replication or, at a minimum, offer the opportunity to
build systematically on their findings; and
(6) Has been accepted by a peer-reviewed journal or approved by a panel
of independent experts through a comparably rigorous, objective, and
scientific review.
By this definition, the availability of scientifically based research on
interventions used by OTs with children is very limited. Evidence-based practice
urges service providers to ask whether an intervention really does work in
controlled trials rather than accepting that it should work on the basis of an
understanding of its neurological or physiological principles. Evidence-based
practice also places less value on e xpert opinion that is not supported by
scientific research. A hierarchy of evidence that is commonly cited in the
literature includes these levels from the work of D.L. Sackett et al. 2000:
The evidence reviewed
I Strong evidence from at least one systematic review of multiple, well- should help the
designed, randomized controlled trials therapist decide
whether to start an
II Strong evidence from at least one properly designed randomized
intervention not
controlled trial of appropriate size
currently in use, or
III Evidence from well-designed trials without randomization, single group whether to reconsider,
pre-post, cohort, time series, or match case-controlled studies modify or continue an
intervention currently
IV Evidence from well-designed non-experimental studies from more than in use.
one center or research group

V Opinions of respected authorities, based on clinical evidence, descriptive

studies, or reports of expert committees

To begin building an evidence-based occupational therapy practice, Cope

(2005) recommends that the therapist
• pose a researchable question.
• search the literature for the best evidence available.
• critically appraise the study’s validity.
• integrate the evidence into the decision about intervention.
The evidence reviewed should help the therapist decide whether to start an
intervention not currently in use, or whether to reconsider, modify or continue an
intervention currently in use. Questions the therapist should ask about the
evidence include
• How much evidence exists?
• How much evidence is needed to make this decision?

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 73

 • Is the available evidence credible by IDEA standards?
• Can the original program design of a studied intervention be implemented
with fidelity in the educational context?
• Does the evidence support or refute providing the intervention for the
child in question with the desired outcomes?

In many instances, the term evidence-based practice reflects the efficacy of

theory-based interventions in which the therapist directly engages the child in
order to establish or restore a ch ild's performance skills or patterns, or change
In order for client factors. Evidence-based practice also applies to the way in which
intervention to be intervention is implemented. In order for intervention to be relevant to children's
relevant to children's needs in school, gains resulting from occupational therapy must become part of
needs in school, the child's daily routines. (Dunn and Westman 1995) Making intervention part of
gains resulting from the child’s routine requires that the OT support others who have daily contact
occupational therapy with the child; collaborate to create therapeutic environments where children are
must become part of working, learning, or playing; and adapt tasks and materials to enable the child to
the child's daily perform successfully. The evidence that supports integrating interventions into
routines. daily routines arises primarily from two key practices, inclusive education and
collaboration.
The first key practice, inclusive education, refers to “placement and
membership of students with disabilities in general education.” (Rainforth and
York-Barr 1997, 9) This principle, legally known as least restrictive environment
or LRE, has been an important element of IDEA since its inception. LRE means
that “to the maximum extent appropriate, children with disabilities, including
children in public or private institutions or other care facilities, are educated with
children who are nondisabled; and special classes, separate schooling, or other
removal of children with disabilities from the regular educational environment
occurs only if the nature or severity of the disability is such that education in
regular classes with the use of supplementary aids and services cannot be
achieved satisfactorily.” (CFR § 300. 114) Education policy and court cases, as
well as an increasing body of research, support inclusion in the general
curriculum and the regular education classroom with appropriate supports as the
IEP team’s first consideration for a ch ild with a disability. Students with
disabilities who have been educated with peers without disabilities in inclusive
settings have shown higher levels of social interaction, social competence,
communication, skill acquisition, grade and test achievement, and school
attendance. (McGregor and Vogelsberg 1998, Rea et al. 2002) McWilliam and
Scott (2003) report that children generalize more following in-class than pull-out
therapy. Occupational therapy models that emphasize engagement, participation
and mastery in daily activities that occur in natural contexts assist the OT to
provide services in the LRE for the child. An integrated therapy model is not an
opportunity to reduce staff time or numbers. Effective use of integrated occu-
pational therapy requires as much, and possibly more time initially, as a
traditional direct service model. (Dunn 1991)

74 School-Based Occupational Therapy

 A second key practice, school-based collaboration, is defined by Hanft and
Shepherd (2008) as “an interactive team process that focuses education, related
service, family and student partners on the academic and nonacademic
performance and participation of all students in school.” Studies in the literature
of occupational therapy report increased effectiveness of collaborative models
among general educators, special educators and related service providers
compared to isolated service provision. (Dunn 1990; Giangreco 1986)
McWilliam and Scott (2003) report that over time, both families and therapists
preferred integrated, in-class models of service provision. They found that when
therapy is provided in the classroom, teachers and specialists consult with each
other four times as much as they do when a child is pulled out for therapy.

Measuring Individual Student Outcomes

Acknowledging the limited availability of Level I and II research that is relevant
The ongoing
to school occupational therapy, Swinth et al. (2007) recommend that school OTs
measurement of
use systematic data-based decision-making to help inform their interventions.
student outcomes in
Sarracino (2002) discusses the difference as w ell as the link between applying
relation to
evidence-based interventions in daily practice and measuring functional
intervention is often
outcomes for individual students who receive special education and occupational
called progress
therapy. The ongoing measurement of student outcomes in relation to
monitoring.
intervention is often called progress monitoring. Progress monitoring is defined
as a s cientifically based practice that is used to assess students’ academic
performance and evaluate the effectiveness of instruction. (National Center on
Student Progress Monitoring 2010)
In a collaborative school community, progress monitoring is used as part of a
school-wide approach to education of all students. It is based on three key
questions:

1. What do we expect all students to be able to know and do?

2. How do we know if students are meeting expectations?

3. What do we do if students are not meeting expectations?

The way a school community answers these questions is important to an OT

providing individual service to a child with a disability and the child’s teachers.
Typically, a school district will have academic standards similar to the Wisconsin
Model Academic Standards, (DPI 2010) and a curriculum that is aligned to the
standards. A district that uses progress monitoring will develop benchmarks that
identify proficiency that students need to achieve at certain points over time, and
indicators of the critical skills that need to be measured. The collection of
performance data on a ll students reveals if instruction and universal options
benefit all students. (Dohrn, et al., 2006) Progress monitoring is not limited to
academic skills, but is critical to fostering acquisition of social, emotional and
behavioral skills. Standards, benchmarks, indicators and high quality instruc-
tional options in these areas provide educators with a systematic way to improve
student learning. Since students with disabilities are included in the general

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 75

 education curriculum and environment, they benefit from the instruction and
intervention options that are available to all students. The service that an OT
provides to a child with a disability should complement, supplement, inform and
be informed by the instruction and intervention that the general education teacher
and special education teacher provide to the child.
An example of an application of these principles to student handwriting skills
may help to clarify their relevance to school occupational therapy. In a 2000
study of Wisconsin school OTs and PTs, the primary reason OTs reported
making recommendations for therapy was written work; 92 percent of OTs
surveyed selected this area. (Chiang and Rylance 2000) One group of OTs in a
Wisconsin school district received increasing numbers of referrals for students
whose handwriting did not meet teacher expectations. Many of the children
referred did not have identified disabilities. The therapists surveyed fifteen first-
and second-grade teachers in the district and found that 70 percent of the teachers
were dissatisfied with their knowledge base for teaching handwriting. (Flood, et
The service that al. 2001) They did not know how to work on letter formation or correct poor
an OT provides writing patterns, yet expected students to complete writing tasks in a specified
should complement, amount of time (as in question 1 above, what do we expect all students to be able
supplement, inform to know and do?) Following a review of literature as well as instruction and
and be informed by mentoring by several experts in handwriting instruction, the therapists randomly
the instruction and selected three of the fifteen classrooms as a control group. They gave a pretest on
intervention that the letter formation to all 278 first- and second-grade students in all fifteen
general education classrooms (as in question 2, how do w e know if students are meeting
teacher and special expectations?) The therapists then applied a universal intervention to the study
education teacher group of twelve classrooms. They provided each classroom with 30 sessions of
provide to the child. direct handwriting instruction, designed to educate the students and model
instruction for the teacher. They also gave handwriting activity kits to each
classroom and teacher incentives to attend two in-services on ha ndwriting
instruction (as in question 3, w hat do we do if students are not meeting
expectations?). Post-testing showed that students in the study group made
consistent improvement in all areas assessed, compared to some improvement
and some worsening of performance in the control group. Of equal interest was
the change in teacher knowledge and receptiveness. Teacher dissatisfaction with
their knowledge of teaching handwriting dropped from 70 percent to 33 percent
(teachers in the control group were included). They gained confidence and
interest in incorporating handwriting instruction into writing assignments. Both
the teachers and the therapists gained knowledge about which problems can be
improved by differential instruction, and which required interventions to change
or compensate for client factors. Teachers became aware of discrepancies in
terminology, materials, and strategies across grade levels and classrooms and
implemented greater consistency. Asher (2006) found a similar effect in a review
of the practices of 47 elementary school teachers in teaching handwriting.
One approach to progress monitoring, general outcome measurement (GOM)
identifies a si ngle general task that provides an indication of change in the
general outcome desired and then repeatedly measures performance on that task

76 School-Based Occupational Therapy

over time to gauge the extent of change. (Deno 2009) Research evidence
supporting the reliability and validity of the GOM approach is extensive, and
GOM is widely used in schools for progress monitoring. The approach involves
frequent, brief, repeated sampling of student performance on a si ngle core task
from the curriculum.
A second approach to progress monitoring, mastery monitoring, uses task
analysis of a desired academic outcome like reading proficiency into small
component skills and then measures progress in attaining mastery of each of
those small component skills. Mastery monitoring measures how many and
which steps in a p rocess a student masters compared with established criteria.
Carlson (2008) described the steps of mastery monitoring used by OTs and
physical therapists (PTs) in Iowa:

1. defining the behavior

Goal Attainment
2. selecting a measurement strategy
Scaling is a way to
3. documenting the current level of function measure progress that
is meaningful and
4. setting goals and practice
functional but often
5. charting challenging to assess
using standardized
6. developing a decision-making plan
instruments.
A practical method for evaluating student progress toward a goal is Goal
Attainment Scaling (GAS). Originally developed in the field of mental health
(Kiresuk and Sherman 1968), GAS has been used with success to evaluate
effectiveness of programs in psychotherapy, mental health, education,
rehabilitation, and occupational therapy. (Ottenbacher and Cusick 1990;
Mailloux et al. 2007) It is a w ay to measure progress that is meaningful and
functional but often challenging to assess using standardized instruments. For
example, parents and teachers may seek occupational therapy for their children
for reasons such as social participation and self-regulation of behavior. In a study
by Cohn (2001), parents reported that they valued improvements in their
children’s sense of self-worth following occupational therapy intervention more
than they valued improved abilities, recognizing that improved abilities and
engagement in activities contributed to feelings of self-worth. GAS measures
individual changes in complex occupational performance over a short time with a
high degree of sensitivity. (Mailloux, et al., 2007)
The process consists of the procedures described below for a child who has
an IEP.

1. The IEP team defines the child’s current status in the target skill or
behavior and determines a target goal.

2. The team or relevant staff develops a continuum of operationally defined

behavioral benchmarks that provide steps toward the goal.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 77

 3. The staff scales the benchmarks using a seven-point scale ranging from -3
to +3. The range of benchmarks corresponds to the best possible outcome
(+3), no change (0) or worst possible outcome (-3). The benchmarks must
be clearly defined so that observers will agree on when the behavior
occurs. (Dohrn, et al. 2006) The original five-point scale used by Kiresuk
and Sherman (1968) ranged from -2 to +2. Whichever scale is used, it
should be used consistently with all students so that comparison of
interventions over time is possible. It is important to set the child’s present
level of function at 0 so that possible regression can be captured.
4. The staff monitors the child’s performance daily or weekly by graphing
the number value that best describes the performance at that data point.
(Dohrn, et al. 2006)
Fidelity refers to 5. The staff evaluates the student outcomes and process, and develops next
providing the steps.
intervention in a way
that compares It is important to assess whether or not the intervention was implemented
favorably with the with fidelity. Fidelity refers to providing the intervention in a way that compares
original design of the favorably with the original design of the evidence-based practice. Reliability can
evidence-based be increased by including multiple measurement periods, training the staff in
practice. specific progress monitoring practices, and developing explicit definitions or
examples of the child’s performance. (Ottenbacher and Cusick 1990) Guiding
questions for this phase of evaluation are:
• Did we teach or intervene with what we agreed upon, assess what we
agreed to assess, and follow the intervention and assessment guidelines?
• Did we provide the intervention with the planned frequency or exposure?
• Is the intervention evidence-based?
• Are we being true to the intention of the intervention as designed?
• Does the assessment measure what we say we are measuring?
The staff should look at the trend in the data and decide if it warrants
continuation of the intervention. Figure 18 on the next page is a example
worksheet that uses the GAS process and can serve as a model. Therapists can
use raw benchmark scores to evaluate individual goals. Ottenbacher and Cusick
(1990) provide an explanation of how to evaluate a student’s overall progress in
multiple goals, using a mathematical formula and prioritizing goals.

Common Areas of School Occupational Therapy Intervention

School personnel commonly request occupational therapy services when a child
has difficulty with written communication skills, and a growing body of evidence
is available to guide effective collaborative practices in this area. Wisconsin
school OTs who were surveyed on the nature of their work reported
recommending intervention for children in these major activities. (Chiang and
Rylance 2000)

78 School-Based Occupational Therapy

 • Written work: 92 percent of OTs surveyed
• Computer and equipment use: 63.2 percent
• Material Use: 61.8 percent
• Manipulation with movement: 52.0 percent
• Eating and drinking: 44.0 percent%
• Maintaining and changing position: 43.2 percent
• Behavior regulation: 40.8 percent
• Adaptations: 31.6 percent
• Task behavior and completion: 28.0 percent
• Functional communication, socialization, hygiene, personal care aware-
ness and safety: 21 to 25 percent

Written work, computer and equipment use, material use, and manipulation
with movement. These are high-frequency activities in the occupational
performance area of education. They are often characterized as fine motor skills,
but in fact they involve a number of performance skills and client factors, such as
• posture, neuromusculoskeletal and movement-related functions. Written work,
• process skills, including organization of space and time. computer and
equipment use,
• attention, sequencing, perception and other mental functions.
material use, and
• sensory functions such as vision, touch, and body position. manipulation with
movement are often
Baker (1999) identified variables of motor learning as the use of feedback
characterized as fine
and practice as well as visual learning, mental practice, motivation, duration and
motor skills, but in fact
frequency of practice sessions, and part or whole transfer. Feedback is both
they involve a number
intrinsic, as in the integration of sensations from muscles and joints, and
of performance skills
extrinsic, as in seeing the outcome of the movement. When applying motor
and client factors.
learning research to classroom activities, the occupational therapy practitioner
views the child as a p roblem-solver who needs to experience motor challenges
that require the same sort of processing, as well as outcome, as functional motor
goals. To facilitate processing during practice, the OT and the classroom teacher
design random presentation of various tasks and variability within a task, and
teach the child how to estimate his or her own performance based on intrinsic and
extrinsic feedback. They plan how to reduce feedback from adults systematically,
to encourage the child’s independence. By planning and implementing the child’s
program in collaboration with the teacher, the OT ensures that practice occurs
throughout the child’s school day. “Practice that is plentiful in quantity and
variety appears to enhance motor learning, particularly if the child is allowed to
practice various skills in a random versus blocked fashion. The natural variability
of tasks and contexts in the classroom provides an opportunity for the child to
practice with variability that may be used to strengthen motor schema.” (Baker
1999)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 79

 Figure 18 Example Goal Attainment Scaling Worksheet

+3 Without adult assistance, shares with

Best possible another child and interacts with toys
outcome without banging or throwing them five
times per day for 10 minutes.

Baseline in target +2
Without adult assistance, shares with
behavior: Much
another child without physical
Able to play alone with improved
aggression, five times per day for 5
toys for two to three over baseline
minutes.
minutes; when other behavior
children are present,
cannot share or interact +1 When another child is present and
with toys without adult More than without adult assistance, interacts with
assistance but bangs toys baseline toys without banging or throwing them
on floor or throws them at behavior five times per day for 3 minutes.
other children. 0 Plays alone with toys for 2-3 minutes;
No change in with other children present, cannot
behavior share or interact with toys without adult
Target goal: assistance but bangs toys on floor or
Share with another child (baseline)
throws them at other children.
and interact with toys
without banging or -1 Plays alone with toys for less than 2
throwing them, without Less than minutes.
adult assistance five times baseline
per day for 10 minutes. behavior
-2 Requires adult assistance to play with
Much less toys when no other children are present
Intervention period:
20 sessions than baseline
behavior
-3 Does not interact with toys. Engages in
Worst hitting or kicking others or screaming
possible when other children are playing nearby.
outcome

Activity demands, environments and context influence a child’s performance

in these educational occupations. For example, a child who may produce legible
handwriting during an untimed practice session may not do so when time limits,
distractions, or testing conditions are present. Some level IV and V evidence as
described by D.L. Sackett is available that supports the effectiveness of
occupational therapy intervention in improving performance in these school
activities. (Swinth, et al. 2007)
Eating and drinking. Children with severe disabilities may have educational
needs related to eating. Eating is usually part of the school day for all children,
and a child with a disability may be unable to participate in this activity without
special education and related services. If a child has IEP goals related to eating, it
is likely that a number of people, including a school OT, are involved in the
development of strategies to implement these goals. School staff, parents, and
medical personnel must clarify their roles related to a ch ild's eating needs in
school.

80 School-Based Occupational Therapy

 PI 11.24(9)(c) Wis. Admin Code states, “The school occupational therapist
must have medical information regarding a ch ild before the child receives
occupational therapy. ” The basis of this part of state law is to ensure that school If a child has IEP
OTs have sufficient knowledge about risk factors and medical interventions in goals related to
order to provide safe intervention to a child. Because problems related to eating, it is likely
swallowing as well as nutritional intake can be life-threatening for some children, that a number of
it is critical for school districts to obtain medical authorization for feeding people, including a
children who have not yet begun oral feeding or have school OT, are
involved in the
• frequent respiratory illnesses.
development of
• weight loss or poor weight gain. strategies related
• crying or resistance when food approaches the mouth. to a child's eating
needs in school.
• a history of dehydration.
• frequent gagging, choking, or coughing either with food, liquid or their
own secretions. (Clark 1992)

A report from a swallow study or clearance from a physician based on a

swallow study is the most definitive information related to safe oral feeding. The
IEP team, including the parent, may consider developing an individualized health
plan with assistance from the school nurse, along with the IEP if the child's
feeding needs warrant detail that all involved personnel need to know.
Each child's program must be based on individual needs. In general, if the
activity is still in the therapeutic phase when the judgment of an OT or OTA is
required, the therapist will feed the child. (AOTA 2009) If oral feeding is a safe,
learned skill that only requires routine physical assistance such as b ringing the
food to the mouth, trained classroom staff can provide it. If a child is able to feed
himself but not within the time allotted to typical peers, the IEP team should A report from a
consider how much of a p riority self-feeding is among the child's other swallow study or
educational and future transitional needs. clearance from a
Maintaining and Changing Position. Children in school typically stand, physician based on a
move around and sit on f loors and seats in classrooms, lunchrooms, busses, swallow study is the
bathrooms and other environments. School activities can range from sitting most definitive
quietly for an hour to moving every few minutes. For some children, sitting for information related
long periods is a challenge to posture and stability, as well as attention. For to safe oral feeding.
others, moving from place to place takes maximum effort. Maintaining and
changing positions are necessary for physical health and well being, but also
enable children to participate in necessary and preferred occupations. Some
children with disabilities must rely on adults to move them and secure them
safely. Therapy interventions address emerging mobility needs of children that
have an impact on safe engagement and participation in the school environment.
(AOTA 2008) These situations may include sitting in standard or adapted seating
during classroom instruction or writing assignments, sitting on t he floor and
getting up, moving from a wheelchair to another chair or toilet, or boarding,
traveling in, and disembarking from a vehicle. (Coster et al., 1998) OTs
collaborate with other school staff to ensure stability and mobility that is

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 81

 appropriate to the child’s needs. These skills and accommodations provide the
foundation for community mobility, recreational movement, and the ability to use
and control objects in the environment.
Children with disabilities may have special securing or positioning needs in
school or in vehicles. These physical modifications are provided only to maintain
orthopedic, medical, or ergonomic positions. They are never used as a restraint to
control the child’s behavior in school environments. (Wisconsin Department of
Public Instruction, 2009) Chapter 7 describes wheelchair and vehicle mobility in
more detail.
Behavior regulation. Positive Behavioral Intervention and Supports (PBIS)
is a systemic approach to proactive, school-wide behavior based on a Response
to Intervention (RtI) model. (Wisconsin Department of Public Instruction 2010b)
It is mentioned earlier in the chapter under Functional Behavioral Assessment.
PBIS apply evidence-based programs, practices and strategies for all students to
increase academic performance, improve safety, decrease problem behavior, and
Positive Behavioral establish a positive school culture. The PBIS model has resulted in dramatic
Intervention and reductions in disciplinary interventions and increases in academic achievement.
Supports apply evidence- PBIS applies a team-based, problem-solving process that considers systems, data,
based programs, practices, and outcomes.
practices and strategies
• Systems refer to the policies, procedures, and decision-making processes
for all students to
that consider school-wide, classroom, and individual student systems.
increase academic
Systems support accurate and durable implementation of practices and use
performance, improve
data-based decision-making.
safety, decrease problem
behavior, and establish a • Data are used to guide decision-making processes and measure outcomes.
positive school culture. Data support the selection and evaluation of practices and systems.
• Practices include the strategies and programs that are used to directly
enhance student learning outcomes and teacher instructional approaches.
• Outcomes are academic and behavioral targets that are endorsed and
emphasized by students, families and educators and are measured using
the gathered data. (Wisconsin Department of Public Instruction 2009)

Following school rules, resolving ordinary peer conflicts, making and

keeping friends, coping with frustration and anger, problem solving, and
understanding social etiquette are examples of social competence. Social
competence refers to having the social, emotional, and cognitive skills to be able
to participate in the many different relationships in a person’s everyday life.
(AOTA, 2008) School OTs collaborate with other school staff to
• enable the child to develop social and cognitive skills through playground
skill groups, social-emotional learning activities, social stories,
explorations of the role of friend, and activities that help a child adapt to
unalterable aspects of his or her disability.
• help the child learn to regulate overactive or underactive sensory systems.

82 School-Based Occupational Therapy

 • help the child incorporate sensory and movement activities to support
attention and learning.
• break down learning tasks and homework routines.
• organize supplies and the environment to improve attention and decrease
the effect of sensory overload.

Sensory integration is a term that is often used by OTs in relation to

behavioral self-regulation. It describes a normal part of human development and
ongoing daily life. It refers to the neurological process of receiving information
from any of the senses and organizing it for use. The term sensory integration
can be used to describe
• a general process that occurs naturally in most children and matures
through typical childhood activities.
• a specific theory of learning and behavior developed by A. Jean Ayres,
Ph.D., author of Sensory Integration and Learning Disorders. Sensory integration is a
• a specific set of occupational therapy treatment activities. term that is often used by
OTs in relation to
The senses described in sensory integration theory by Ayres and others are behavioral self-
• visual and auditory, the far or distal senses most frequently used in regulation. It refers to
classroom learning. the neurological process
of receiving information
• tactile and proprioceptive, the near or proximal senses of touch and body from any of the senses
movement involved in kinesthetic learning. and organizing it for use.
• vestibular, the sense of head movement and head position that is closely
related to vision, hearing and other neurological processes .
• olfactory and gustatory, the senses of smell and taste, which are closely
related to alertness and emotion. (Ayres 1972; Fisher, et al. 1991)

A fundamental assumption of sensory integration theory is that learning is

based on the ability to filter, integrate, and respond to sensory information. The
efficiency of sensory integration varies from child to child. When a ch ild has
severely inefficient sensory integration, the child's interaction with people,
places, objects, or events in the educational environment is likely to be impaired.
A child with any disability may have impaired sensory integration. This is
sometimes called sensory integration dysfunction, or sensory processing disorder.
School OTs have various levels of training in sensory integration theory and
intervention. It is not necessary for an OT to have a specialized certification in
sensory integration test administration to be able to assess children with impaired
sensory integration or sensory processing disorder (SPD). Many OTs do find
such training beneficial. Intervention focused on prevention or compensation
involves modification of the environment or the child's routines, as well as
collaboration with the child's teachers and parents. AOTA recognizes sensory
integration as one of several theories and methods used by OTs and OTAs
working with children in school towards the desired outcome of health and

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 83

 participation through engagement in occupations that allow participation in a
child’s daily life. (AOTA 2008) A growing body of research supports a link
between sensory processing disorders and childhood coping skills, such as
handling new situations, shifting plans, controlling impulses and activity level,
using self-protecting behaviors, applying learning to new situations and
balancing independence with dependence on others. (May-Benson 2000) These
are functional skills in which the effectiveness of intervention may be measured
by goal attainment scaling or other progress monitoring.
Movement and exercise are also important components in self-regulation,
mental health and cognitive learning. Aerobic activity has been shown to be as
effective as psychotropic medication in balancing the effects of stress hormones
in many individuals. (Ratey 2008) OTs collaborate with physical education
teachers, classroom teachers and PTs to ensure that children with disabilities
have movement experiences that support their health and learning.
A growing body of In the past ten years, interest in the use of sensory modalities to improve
research supports a link coping strategies of individuals with behavioral challenges began to increase.
between sensory Inpatient mental health units across the nation became actively involved in
processing disorders and seclusion and restraint reduction programs (Champagne and Stromberg 2004;
childhood coping skills. Leadholm 2007) Controversy surrounds the use of seclusion and physical
restraint in school-based programs, and use of these interventions carries a high
degree of risk for being misunderstood. Both techniques are used only as a last
resort in cases of danger to the student or others. (DPI, 2009) Like mental health
units, schools have sometimes developed sensory rooms to provide environments
and activities that are conducive to positive responses and a d ecrease in the
student’s sense of distress. Sensory rooms are quite different from seclusion
rooms. They are used as a preventive measure and furnished with the sensory
needs and limitations of particular children in mind. OTs usually regulate and
often supervise the child’s initial interactions with the specially designed
environment. When they develop and use sensory rooms and sensory modalities,
school personnel should adhere to the guidance in Chapter 7 related to safe use of
equipment by trained personnel, documentation of equipment use, and
maintenance of equipment.
Adaptations. A school OT may be involved in providing an assistive
technology service. A complete discussion of assistive technology is in chapter 7.
Assistive technology includes devices that range from low to high in technical
complexity. Usually referred to as accommodations, they are part of changes to
the environment that provide students with an opportunity to be successful and
demonstrate what they know or have learned. Accommodations do not change
the standard or the expectations of the student compared to nondisabled peers. As
such, they may be provided to students as part of standardized testing and
described on the student’s IEP. They may also be provided as part of the
student’s daily education, and described on the student’s IEP as supplementary
aids and services. These may include architectural or transportation accommoda-
tions, as well as accommodations for behavior, cognition, communication,
activities of daily living, and classroom work. Other types of adaptations may be

84 School-Based Occupational Therapy

called modifications. Modifications do change curricular or behavioral expecta-
tions, or standards for individual students. These may be described on the
student’s IEP as program modifications.

Task Behavior and Completion. Some of the activities required of children in

school include listening and watching with attention, initiating and completing
assignments, finding and storing materials, recording information, studying, and
asking for help. (Coster et al. 1998) Children with disabilities may have
performance skills and patterns that do no t match the demands of school
activities and environments. This mismatch may make it difficult for a child to OTs collaborate with
organize and complete required tasks. OTs collaborate with other school staff to other school staff to
assess the purpose of a t ask; task demands such as objects, space and time assess the purpose of a
required to complete the task; the roles and expectations of others involved in the task, task demands, the
task; and the discrepancies between the way a sp ecific child performs the task roles and expectations of
and the way most other children perform the task. (Griswold 1994; Rainforth and others involved in the
York-Barr, 1997) Compensatory strategies are specific to the activity, context, task, and the
and student. They include discrepancies between
• teaching the child alternative strategies for accomplishing the task. the way a specific child
performs the task and the
• changing the amount of time allotted to the task (altering the activity or way most other children
the activity demands). perform the task.
• structuring the spatial nature of the task (adapting the context or
environment in which the child performs).
• adapting objects used (improving the child's performance through
assistive devices).
• eliminating the task entirely.
Functional communication, socialization, play. Play or leisure is another
primary occupational performance area in occupational therapy. Among young
children in school, play is an important means of exploring the environment,
interacting with others, and developing sensory motor skills. As children get
older, social interaction skills and a sense of self continue to develop through
play and leisure skills. OTs collaborate with other educators to assess
components of a child's play and leisure activities in early childhood classrooms,
in physical education classes, during extracurricular activities, and at recess.
Therapists and educators may provide intervention that has an impact on play and
leisure skills or use play to improve other performance areas. Examples of
occupational therapy intervention include
• adapting toys for a young child who has difficulty using her hands.
• collaborating with a p hysical education teacher to design activities for a
child who has a low tolerance for touch and movement.
• teaming with a special education teacher to help adolescents explore adult
leisure activities and modify them for successful performance.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 85

 Hygiene and personal care awareness, and safety. Activities of daily living
(ADL) are a primary performance area in occupational therapy. Children perform
ADL in school when toileting, washing hands, and engaging in other personal
care activities. Youth learn more advanced independent living skills and
instrumental activities of daily living as they prepare for adult life. Teachers and
paraprofessionals are usually the persons who supervise ADL in school, and
special education teachers often teach ADL. OTs work with teachers to assess
functional abilities and deficits in ADL and related performance components.
Occupational therapy intervention frequently involves collaborative service to
those who are with the child on a daily basis, and the use of compensatory
strategies. Direct services may also be required when children are developing
performance components or need specialized strategies.
Transition. Transition services are the coordinated set of activities that help
prepare a student for life after high school graduation. In Wisconsin, students
who are fourteen years of age or older within the timeframe of their current IEPs
School OTs address must have transition requirements addressed in their IEPs. The transition
activities that are requirements include having measurable postsecondary goals based on age-
unique to youth, appropriate transition assessments related to training, education, employment
including job and, where appropriate, independent living skills. A description of transition
analysis, functional services, including courses of study, needed to assist the students in reaching the
capacity evaluation, goals is also required. In addition to the areas of intervention described in the
independent living previous pages, school OTs address activities that are unique to youth with
skills, and driving disabilities in school. They include job analysis, functional capacity evaluation,
assessment and independent living skills assessment and training, and driving assessment and
modifications. modifications.
The definition of Activity Demands in the Framework illustrates how OTs
are skilled in conducting activity analysis for job requirements and internships in
both school programs and community-based partnerships. (AOTA 2008) When
OTs assess activity demands, they consider the
• tools, materials, and equipment used in the process of carrying out the
activity.
• physical environmental requirements of the activity ( size, arrangement,
surface, lighting, temperature, noise, humidity, ventilation).
• social structure and demands that may be required by the activity.
• process used to carry out the activity (specific steps, sequence, timing
requirements).
• usual skills that would be required by any performer to carry out the
activity.
• physiological functions of body systems required to support the actions
used to perform the activity.
• anatomical parts that are required to perform the activity.

86 School-Based Occupational Therapy

 OTs complement the assessment of job requirements by performing a
functional capacity evaluation (FCE) of the student. This is a physical assessment
of an individual's ability to perform a work-related activity. An FCE usually
consists of medical record review, musculoskeletal screening and physical ability
testing.
Physical ability testing may include graded strength activities such as lifting,
carrying, pushing and pulling; position tolerance activities such as standing,
sitting, and stooping; and mobility activities such as walking, crawling, and
climbing. An FCE may also include information about an individual's dexterity,
coordination, balance, endurance, and other job-specific testing. The FCE report
typically includes an overall level of work, a summary of physical abilities in the
language used by the U.S. Department of Labor (2011), information about
consistency of effort, job match information, and recommendations. (Page et al.
2007)
A third area of transition where OTs provide service is independent living.
School OTs may conduct transition assessments of life skills that promote
independent living. They may also participate in curriculum development and
instruction of life skills. The Framework (AOTA 2008) divides independent School OTs may
living skills into activities of daily living (ADL) and instrumental activities of conduct transition
daily living (IADL) ADL are oriented toward taking care of one’s own body and assessments of life
include: skills that promote
independent living.
• Bathing
• Showering
• Bowel and bladder management
• Dressing
• Eating
• Feeding
• Functional mobility
• Personal device care
• Personal hygiene and grooming
• Sexual activity
• Sleep and rest
• Toilet hygiene
IADL are oriented toward interacting with the environment and are often
complex and generally optional in nature, in that they may be delegated to
another. IADL include:
• Care of others (including selecting and supervising caregivers)
• Care of pets
• Child rearing

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 87

 • Communication device use
• Community mobility
• Financial management
• Health management and maintenance
• Home establishment and management
• Meal preparation and cleanup
• Safety procedures and emergency responses
• Shopping
Community mobility is defined by the Framework as “moving around in the
community and using public or private transportation, such as driving, walking,
bicycling, or accessing and riding in buses, taxi cabs, or other public
transportation systems.” (AOTA 2008) The assessment of transportation needs
has an impact on a student’s access to employment, housing, social, educational,
and recreational opportunities. (AOTA 2008) For youth in transition, driving is
When the IEP team
an age-appropriate activity that is often of great interest. A school district that
considers a student’s
offers driver education to the general student population must also offer it to
potential for learning
students with disabilities who have the capacity to drive. (Thiel, 2005) Students
to drive, the school OT
with disabilities may encounter barriers to driving in the areas of executive
may provide a pre-
function, visual, sensory or motor skills. When the IEP team considers a
driving screening.
student’s potential for learning to drive, the school OT may provide a pre-driving
screening. The OT can identify potential barriers and recommend interventions
prior to a formal driving evaluation by a driving rehabilitation specialist.

Record Keeping
School OTs should keep regular, ongoing documentation of each child's
occupational therapy intervention. In addition to evaluation reports and treatment
plans, standard documentation for school occupational therapy includes
• attendance records that document the amount and frequency of service the
therapist provides to the child.
• progress notes on treatment plans and data collection on responses to
intervention.
• notes on contacts with parents.
• notes on contacts with physicians and recommendations.
• notes on contacts with teachers and recommendations.
• discontinuance reports.
These records help the OT focus on educationally relevant intervention as
well as provide helpful background and historical treatment information when a
child transfers from one therapist to another. Records form a basis for the OT to

88 School-Based Occupational Therapy

assess the quality of the occupational therapy service, as w ell as determine
typical amounts of therapy needed to accomplish similar outcomes with other
children. Medicaid and other medical insurance providers may require OTs to
keep other specific records to obtain third-party payment for occupational
therapy.

Ethics
AOTA revised the Occupational Therapy Code of Ethics in 2010. The Code of
Ethics is a public statement of principles used to promote and maintain high
standards of conduct within the profession. Members of AOTA are committed to
promoting inclusion, diversity, independence, and safety for all recipients in
various stages of life, health, and illness and to empower all beneficiaries of
occupational therapy. This commitment extends beyond service recipients to
include professional colleagues, students, educators, businesses, and the
community. The specific purpose of the AOTA Occupational Therapy Code of
Ethics is to
• Identify and describe the principles supported by the occupational therapy
Members of AOTA are
profession.
committed to promoting
• Educate the general public and members regarding established principles inclusion, diversity,
to which occupational therapy personnel are accountable. independence, and safety
• Socialize occupational therapy personnel new to the practice to expected for all recipients in
standards of conduct. various stages of life,
health, and illness.
• Assist occupational therapy personnel in recognition and resolution of
ethical dilemmas. (AOTA 2010)

Appendix D contains a link to the Occupational Therapy Code of Ethics.

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Disability and Health, ICF.” http://www.who.int/classifications/icf/en/ (accessed
March 9, 2010)

Other Resources
American Occupational Therapy Association (AOTA). 2003. “Applying Sensory
Integration Framework in Educationally Related Occupational Therapy Practice.”
American Journal of Occupational Therapy 57:652-59.

Bar-Lev, N., P. Bober, G. Dietz, C. Salzer, S. Endress, and E. Weiman. 2007.

Special Education in Plain Language: A User-friendly Interactive Handbook on
Special Education Laws, Policies and Practices in Wisconsin, Third Edition.
Madison, WI: Wisconsin Department of Public Instruction.
http://www.specialed.us/pl-07/pl07-index.html (accessed August 2, 2010).

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 93

 Bober, P. 2002. “ Moving Toward Evidence-Based Practice in Schools:
Wisconsin’s Model.” School System Special Interest Quarterly, 9 (4): 1-3, 6.

Leadholm, B. 2007. “ Seclusion and Restraint Philosophy Statement.

“Commonwealth of Massachusetts Department of Mental Health.
http://www.mass.gov/Eeohhs2/docs/dmh/rsri/sr_philosophy_statement_9_2007.p
df (accessed August 2, 2010).

Telzrow, C. F., and J.J. Beebe. 2002. “Best Practices in Facilitating Intervention
Adherence and Integrity,” in A. Thomas & J. Grimes (Eds.), Best Practices in
School Psychology IV: 503-16. Bethesda, MD: National Association of School
Psychologists.

University of Oklahoma Health Sciences Center. 2007. “School Outcomes

Measure Administrative Guide.”

Department Of Rehabilitation Science, P.O. Box 26901, Oklahoma City, OK

73190-1090. http://www.ah.ouhsc.edu/somresearch/adminGuide.pdf (accessed
August 2, 2010).

Wisconsin Department of Public Instruction. 2010. “Positive Behavioral

Intervention and Supports (PBIS).” http://www.dpi.wi.gov/rti/pbis.html (accessed
August 2, 2010).

94 School-Based Occupational Therapy

 5
School-Based
Physical Therapy
Physical therapists (PTs) in school-based practice discover that working in
schools requires knowledge of pediatric physical therapy; collaboration with
other team members including parents, educators, and staff; and provision of
interventions that help students perform functional tasks at school. A unique
challenge for school-based PTs is providing services to students in accordance
with special education law and within the context of the practice of physical
therapy.

Competencies for School-Based PTs

The American Physical Therapy Association (APTA) Section on P ediatrics
identifies nine competency content areas for PTs working in schools. These
competencies give an overview of the roles and responsibilities of the school A unique challenge for
based PT. Figure 19 on pages 98-99 describes the competencies. school-based PTs is
providing services to
students in accordance
Conceptual Frameworks with special education
National health organizations adopt conceptual frameworks to describe the law and within the
consequence of disease and injury on the person and society. Such organizations context of the practice of
include the National Center for Medical Rehabilitation Research (NCMRR),
physical therapy.
National Institutes of Health, and the World Health Organization. One of the
original frameworks is the disablement model, also known as the Nagi model or
NCMRR model. The APTA applies this model in the Guide to Physical
Therapist Practice (APTA 1999), its standard publication and a main resource for
this chapter.

Disablement Model
The basic concepts of the disablement model are that pathology leads to
impairment which may result in functional limitations and cause disability. The
list below describes disablement model terminology.
Pathology refers to the conditions of the disease or the disease process. An
example is the decrease in the muscle protein dystropin in children with muscular
dystrophy.
Impairment refers to the loss or abnormality of physiological, psychological,
or anatomical function. An example is decreased muscle strength or balance
problems.
Functional Limitation refers to the restriction of the ability to perform a
physical action, activity, or task in an efficient, typically expected, or competent
manner. Examples include the inability to put on a coat, walk up bus steps, or
walk down a hallway.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 95

 Figure 19 Competencies for School-Based Physical Therapists
Competency Area 1: Context of Therapy Practice in Education Settings

• Know the structure, global goals, and responsibilities of the public

education system including special education.

• Know federal, state, and local laws and regulations that affect the delivery
of services to students with disabilities.

• Know theoretical and functional orientation of a variety of professionals

serving students within the educational system.

• Assist students in accessing community organizations, resources and

activities.

Competency Area 2: Wellness and Prevention in Schools

• Implement school-wide screening program with school nurses, physical

education teachers, and teachers.

• Promote child safety and wellness using knowledge of environmental

safety measures.

Competency Area 3: Team Collaboration

• Form partnerships and work collaboratively with other team members,

especially teachers, to promote an effective plan of care.

• Function as a consultant.

• Educate school personnel and family to promote the inclusion of students

within the educational experience.

• Supervise personnel and professional students.

Competency Area 4: Examination and Evaluation in Schools

• Identify strengths and needs of students.

• Collaboratively determine examination and evaluation process.

• Determine students’ ability to participate in meaningful school activities.

• Utilize valid, reliable, cost-effective, and nondiscriminatory evaluation

instruments.

Competency Area 5: Planning

• Actively participate in the development of IEPs.

96 School-Based Physical Therapy

Competency Area 6: Intervention

• Adapt environment to facilitate access to and participation in student

activities.

• Use various types and methods of service provision for individualized

student interventions.

• Promote skill acquisition, fluency, and generalization to enhance overall

development, learning, and student participation.

• Imbed therapy intervention into the context of student activities and

routines.

Competency Area 7: Documentation

• Produce useful written documentation.

• Collaboratively monitor and modify IEPs.

• Evaluate and document the effectiveness of therapy programs.

Competency Area 8: Administrative Issues in Schools

• Demonstrate flexibility, priority setting, and effective time management

strategies.

• Obtain resources and data necessary to justify establishing a new therapy

program or altering an existing program.

• Serve as a leader.

• Serve as a manager.

Competency Area 9: Research

• Demonstrate knowledge of current research relating to child development,

medical care, educational practices, and implications for therapy.

• Apply knowledge of research to the selection of therapy intervention

strategies, service delivery systems, and therapeutic procedures.

• Partake in program evaluation and clinical research activities with the

appropriate supervision.

Effgen, Chiarello, and Milbourne, 2007, 266-74. Adapted with permission from
Wolters Kluwer Health, Lippincott Williams and Wilkins.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 97

 Disability is the inability to engage in age-specific, gender-related roles in a
particular social context and physical environment such as student, athlete, or
worker. Disability occurs when there is a d iscrepancy between the child’s
performance and the demands of the environment. An example is the inability of
a student to move around the classroom to participate in class activities.
Handicap is a societal limitation. An example is the inability of a student to
use the library because it is not accessible by wheelchair.

Guide to Physical Therapist Practice

The APTA’s Guide to Physical Therapist Practice describes accepted PT
practice, standardizes terminology, and delineates preferred practice patterns.
The disablement model is the conceptual basis for the Guide to Physical
Therapist Practice, so understanding disablement allows professionals to
understand and organize physical therapy practice. The Guide to Physical
Therapist Practice describes and emphasizes the role of prevention and wellness
strategies in optimizing function. Familiarity with the Guide to Physical
Therapist Practice is important as the concepts and terminology in the Guide to
The PT determines the
Physical Therapist Practice also appear in the Physical Therapy Practice Act, the
interrelationships among
state statute that governs physical therapy practice in all settings including
the severity of
schools. (Chapter 448.50, Wis. Stats.)
impairment, extent of
The Guide to Physical Therapist Practice states that the PT alleviates or
functional limitation, and
prevents impairment, functional limitation, and disability. Through patient/client
degree of disability. management, the PT determines the interrelationships among the severity of
impairment, extent of functional limitation, and degree of disability. Impairment
may lead to loss of function and loss of function may lead to disability. However,
one does not always lead to the next. Impairment does not always result in the
inability to perform a task. Likewise, limited function does not necessarily
prevent performance of a sp ecific role. Remediation of impairments is not the
outcome or goal of physical therapy intervention. The PT only addresses
impairments as they relate to functional outcomes, disability, or secondary
prevention. For example, a PT works with two students. Both have leg muscular
weakness, which is a limitation at the impairment level. The first student moves
independently around the school with crutches, but is unable to manage the
school bus steps. Through evaluation, the PT determines the student’s leg
weakness interferes with the ability to manage the bus steps. The PT would
intervene at the impairment level and work with this student on leg strengthening
exercises to enable the student to manage the bus steps, a functional activity. In
contrast, the second student moves independently throughout the school building
with a regular wheelchair, but is unable to maneuver on the exterior school
grounds. The PT would not work with the second student on l eg strengthening
exercises. Instead the PT would work with this student only at the functional
activity level and would develop sessions for the student to practice wheelchair
mobility on uneven surfaces, ramps, and curbs.
The Guide to Physical Therapist Practice defines the five elements of
patient/client management: examination, evaluation, diagnosis, prognosis,
intervention, and outcome.

98 School-Based Physical Therapy

 • Examination includes data gathering through patient history, relevant
systems reviews, and tests and measures.

• Evaluation is the process in which the PT makes clinical judgments based

on gathered data.

• Diagnosis is the organization of the information into categories or clusters

to help determine interventions.

• Prognosis is the determination of the level of expected improvement

through intervention and the amount of service required.

• Intervention is the use of physical therapy methods and techniques.

• Outcome is the result of intervention in alleviating or preventing the

patient’s functional limitations and disability.

The Guide to Physical Therapist Practice describes the types of tests and Disablement models,
measures that PTs use and the interventions they provide. The Guide to Physical described earlier,
Therapist Practice also identifies preferred practice patterns for four categories have evolved into the
of conditions: musculoskeletal, neuromuscular, cardiopulmonary, and integu- enablement model.
mentary (related to the skin.) The practice patterns describe common sets of
strategies that PTs use for selected patient diagnostic groups. These practice
patterns identify the range of current care options.
The basic disablement models, described earlier, have evolved into the
current International Classification of Functioning, Disability, and Health (ICF),
also referred to as t he enablement model. ICF provides an internationally
accepted framework for the description of human functioning and disability and
describes the complex interaction between health, the environment, and personal
factors. Although its Guide to Physical Therapist Practice currently uses the
disablement model, the APTA in June 2008 joined other world and national
health organizations in endorsing the ICF model. APTA will now incorporate
ICF language into all its publications, documents, and communications through
existing planned review and revision.

International Classification of Functioning, Disability, and Health (ICF)

The ICF provides a description of how a person with a health condition functions
in daily life. ICF is a member of the World Health Organization (WHO) Family
of International Classifications. ICF is a classification of health and health-
related domains that describe body functions and structures, activities, and
participation. (WHO 2002) The domains are classified from body, individual and
societal perspectives. ICF emphasizes function, health, and participation rather
than disease. Since an individual’s functioning and disability occurs in a context,
ICF also includes a list of environmental and personal factors. The following is a
list of ICF terms and their definitions.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 99

 • Body Functions are physiological functions of body systems.

• Body Structures are anatomical parts of the body such as organs, limbs,
and their components.

• Impairments are problems in body function or structure.

• Activity is the execution of a task or action by the individual.

• Participation is involvement in a life situation.

• Environmental Factors make up t he physical, social, and attitudinal

environment in which people conduct their lives.

ICF emphasizes a person’s functional ability to perform activities and tasks

and participate in life. This parallels IDEA requirements that emphasize a
student’s functional performance as well as participation in the classroom,
general curriculum, and grade-level assessments. PTs focus their interventions at
the activity and participation levels to allow the student to participate in
classroom routines and school activities. At the impairment level, the PT
sometimes works with a student on a dimension of movement such as flexibility,
strength, accuracy, speed, adaptability, or endurance (Allen, 2007) only when the
impairment interferes with the student’s function or participation at school. The
ICF model also indicates that activities and participation can influence
impairments and pathology. This aspect of the model allows PTs to intervene to
prevent impairments. For example, a child who uses a wheelchair may develop
A medical referral is not pressure sores. A therapist can use the model preventatively to design a
required when evaluating positioning program to stop the development of pressure sores.
or serving a child with a
disability under IDEA. A
Medical Referral and Medical Information
medical referral is also
not required for other A medical referral is not required when evaluating or serving a ch ild with a
students, such as those disability under IDEA. A medical referral is also not required for other students,
with a 504 plan. such as those with a 504 plan, when services meet the requirements in Chapter
PT 6.01, Wis. Admin Code. This state law declares that a written referral is not
required to provide services related to educational environments for conditioning,
injury prevention, and application of biomechanics, treatment of musculoskeletal
injuries except acute fractures, or soft tissue avulsions (the tearing of skin or
other soft tissue). For provision of other services, the PT needs a written referral
from a physician, chiropractor, dentist, podiatrist or advanced practice nurse
prescriber.
Although it is the district’s responsibility to provide physical therapy, the
district may bill the child’s Medicaid under School-Based Services (SBS) or
other medical insurance under certain circumstances. If the school district has a
Request for a Waiver to Wisconsin Medicaid Prescription Requirements Under
the School-Based Services Benefit form on f ile with Wisconsin Medicaid, a
prescription is only required under limited circumstances. Chapter 8 includes a
link to the Medicaid waiver form.

100 School-Based Physical Therapy

 The PT may evaluate a child without medical information; but before
providing services, the PT must have medical information from a licensed
physician. Most students have current medical information which parents share
with the district. For a transfer student, medical information from a l icensed
physician in the state of origin or other Wisconsin community may be available.
Some students may come to school with little or no m edical information.
Children who are homeless or who are displaced due to natural disasters enroll in
school and may bring transfer records or have no medical records. Existing data
in the child's transfer records, out-of-state IEPs, or other pupil records may
include information from a licensed physician. When this information is
unavailable, an examination by a licensed physician is required. The district must
ensure it is obtained at no cost to the parent.
The PT uses professional judgment to determine what, and how much
The PT uses
information is needed in order to provide safe and appropriate services to the
professional judgment
child, and this may vary considerably from child to child. For example, when a
to determine what,
child's medical condition is stable or uncomplicated, as is true of some children
and how much
with specific learning disabilities, the therapist may need to check periodically
information is needed
with the parents to see if new medical information is available. However, if the
in order to provide
child experiences significant changes due to degenerative processes or surgical
safe and appropriate
intervention, the therapist will require current medical information. The therapist
services to the child.
must know about possible contraindications to interventions as well as the child's
current status.
If the therapist needs to contact the physician directly, the therapist or other
designated school employee must ask the child's parents to sign a consent or
release-of-information form. The therapist can contact only the specific agencies
or individuals designated on t he form and only during the period of time
specified on the form. Some districts request that parents sign the release-of-
information form at the IEP meeting so the form is available and on file. Schools
must treat as confidential the written records health care providers send to the
school or the therapists prepare from verbal information given by health care
providers. School district employees may have access t o those records only if
they need them to comply with a requirement in federal or state law or if the
child’s parent gives informed consent. (Chapter 146, Wis. Stats.)
Occasionally when therapists seek permission for communication with a
physician or other health care providers, the parent responds that the child does
not have a doctor, the physician responds that he or she has not seen the child
recently enough to provide relevant information, or the parent denies access. The
therapist should seek assistance from the director of special education to work
with the parent to obtain medical information, explaining the district must
provide safe and legal therapy. The school district cannot deny related services to
a child due to the difficulty in obtaining medical information, so it is helpful to
try and work out a solution with the parent. The district may suggest that only
pertinent information is released, as the parent may be reluctant to share all
medical information. The district may ask for assistance of the parent liaison in
communicating with the parent or seek mediation. The district may be required to

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 101
 provide transportation to a doctor’s appointment or provide financial assistance
for the appointment to the parents. Figure 17 in chapter 4 is a sam ple medical
information worksheet that may clarify the exchange of information between the
therapist and physician.

Initial Evaluation and Examination

Initial evaluation in special education corresponds to evaluation and examination
in physical therapy. A special education evaluation helps the IEP team answer
the following questions.

• What is the child doing in school now?

• What are the child’s strengths?

• What are the child’s academic needs?

• What is the child’s functional performance?

• What are the parents’ concerns?

An initial evaluation begins with the review of existing data, which helps the
IEP team determine the need for additional tests and avoid unnecessary testing.
Existing data may provide information about the student’s communication skills,
cognitive abilities, and learning styles. As part of the IEP team, the PT reviews
this information and decides whether additional data are required. Existing data
may provide information about the student’s history in terms of general health
The PT gathers data status, pertinent surgical procedures, growth and development, current functional
about the student’s activity level, cultural background, and medication. Existing data may provide
ability to perform systems review data regarding the student’s general health including cardiopul-
functional school monary, musculoskeletal, neuromuscular, and integumentary status. Existing data
tasks and to may also include recent physical therapy assessments, tests, or measures that the
participate in school-based PT reviews. Perhaps the student had recently been seen at a
classroom and multidisciplinary pediatric clinic, and the clinic assessments are available. These
school activities. tests and measures need not be repeated. As part of the physical therapy
evaluation for school-based services, the PT proceeds with examination, focusing
on the student’s functional performance within the school environment. The PT
gathers data about the student’s ability to perform functional school tasks and to
participate in classroom and school activities. The PT considers

• the student’s current and anticipated functional expectations.

• the student’s current level of participation in educational programs.

• the extent to which the student depends upon help and task modifications
to succeed.

• the tasks and skills that limit the student’s participation in classroom and
school activities.

102 School-Based Physical Therapy

Tests and Measures
School-based PTs use specific tests and measures to gather data regarding the
student’s functional performance within the school environment. Pediatric
assessment tools may target a p articular age group. For students in early
childhood (3-5 years), the PT might choose the Functional Independence
Measure for Children (WeeFIM) to measure the assistance needed for the child to
perform functional activities. The PT may measure the child’s level of motor
function with the Gross Motor Function Measure (GMFM) or measure the
child’s functional performance with the Pediatric Evaluation of Disability
Inventory (PEDI).
Other assessments are specifically designed for school settings. An example
is the School Function Assessment (SFA). The SFA is a standardized criterion-
referenced test for children in kindergarten to grade six. The SFA measures a
student’s performance of functional tasks at school. (Coster et al. 1998) The SFA
is divided into three parts.

I. Participation examines the student’s level of participation in six school

settings.

II. Task Supports determines the supports currently provided to the student
when he or she performs functional tasks.

III. Activity Performance looks at the student’s ability to initiate and complete
specific functional tasks. The SFA encourages a
collaborative approach
The SFA encourages a collaborative approach to assessment because the PT, to assessment because
parent, teacher, occupational therapist (OT), and speech therapist can all the PT, parent, teacher,
contribute to completing the assessment. Or the PT may administer selective SFA occupational therapist
scales specific to the difficulty in movement that the student is experiencing. For (OT), and speech
example, if the student experiences problems moving in the classroom and therapist can all
throughout the school environment, the PT may complete the section on Travel, contribute to completing
Maintaining and Changing Positions, Recreational Movement, and Up/Down the assessment.
Stairs.
For older students, the Enderle-Severson Transition Rating Scale (ESTR) is a
criterion-referenced assessment of student performance and student future
outcomes and goals. (Enderle and Severson 2003) The ESTR provides
information about the student’s strengths, needs, preferences, and interests to
assist in transition plans. The PT, as part of the IEP team, works collaboratively
with school personnel to complete the scale. This is combined with information
from the parent and student to develop the student’s transition plan.

Use of Standardized Tests

In the Physical Therapy Practice Act, testing means standardized methods or
techniques for gathering data. The child is assessed in all areas of suspected
disability including motor abilities. When administering a st andardized test, the
therapist considers its reliability, validity, standard error of measurement, age
range covered, and population on which the test was standardized. Any

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 103
 modifications to the standardized administration of the test require notation.
When selecting a t est, the therapist considers whether the test is designed to
identify delay or whether the test measures change and would monitor progress
over time.
More standardized pediatric physical therapy assessment tools are now
available. Examples of new functional measures are the Standardized Walking
Obstacle Course (SWOC), Timed Up and Go (TUG), Timed Up and Down Stairs
Test (TUDS), Pediatric Balance Scale, and the Functional Reach Test (FRT).
There are norms for walking 50 feet in elementary school hallways and norms for
a six-minute walk test for children. Appendix C provides a list of pediatric
physical therapy assessment tools. The list is organized using the ICF model.
“Standardized tests especially those normed against typically developing
children often do not help us to identify what the student really needs to access
and or participate in the school or community setting. The literature now is
The literature now is
supportive of top-down assessments, those tools that help us recognize what the
supportive of top-
child can do and what he/she needs to do next in order to be successful in
down assessments,
school.” (Cecere, 2007) PTs may gather and document baseline data for purposes
those tools that help
of evaluation, program planning, and progress monitoring by using non-
us recognize what the
standardized assessments such as ecological inventories or skilled observation.
child can do and what
Functional classification systems provide information for program planning,
he/she needs to do
research, and predicting service needs. Functional classification systems also
next in order to be
enhance communication among therapy providers. The expanded Gross Motor
successful in school.
Function Classification System (GMFCS-E&R) is based on s elf-initiated
movement, with emphasis on s itting, transfers, and mobility for children with
cerebral palsy. Emphasis is on current level of performance in home, school, and
community settings. GMFCS distinguishes five levels and each level describes a
range of functional abilities and limitations. The general headings for each level
are:

I. walks without limitations

II. walks with limitations

III. walks using a hand-held mobility device

IV. self-mobility with limitations, may use powered mobility

V. transported in a manual wheelchair

The focus of the GMFCS is on determining the level which best represents
the child’s present abilities and limitations in gross motor function. Age groups
are described for before the second birthday, between the second and fourth
birthday, between the fourth and sixth birthday, between the sixth and the twelfth
birthday, and between the twelfth and eighteenth birthday. The GMFCS - E&R
provides an estimate of a child’s future motor capabilities and a prediction of a
child’s functional status.

104 School-Based Physical Therapy

 Another functional classification system is the Manual Ability Classification
System (MACS) for children with cerebral palsy, 4 to 18 y ears. Similar to the
GMFCS, the MACS distinguishes five levels of the child’s ability to handle
objects in daily activities:

I. handles objects easily and successfully

II. handles most objects but with somewhat reduced quality and/or speed of
achievement

III. handles objects with difficulty; needs help to prepare and/or modify
activities

IV. handles a limited selection of easily managed objects in adapted situations

V. does not handle objects and has severely limited ability to perform even
simple actions

Physical Therapy Evaluation

The PT’s evaluation involves making clinical judgments based on gathered data,
which is then shared with the IEP team. The PT considers

• “whether or not clinical finding (impairments, functional limitations, or

disabilities) impact on the child’s function or participation at school.

• clinical judgment of student’s status in relation to needs at school.

• priorities of the student, family and school personnel.

• stability of the condition in relation to function and participation at school.

• chronicity or severity of the current problem.

• developmental expectations in relation to the child’s disability and based

on most recent research evidence.

• physical environment of the school (e.g. need to negotiate stairs, distances

between classes, etc.) in relationship to the student’s function.

• strengths and needs of the child in relation to function and participation in

the school setting.

• child’s progress toward IEP goals.” (G. Birmingham, et al. 2006, 24.)

During the IEP team discussion, the PT shares information about the child’s
strengths, the child’s current abilities, and the child’s needs for participation in
school and classroom activities. This correlates with diagnosis in the Guide to
Physical Therapist Practice as the therapist considers the impact of student’s
condition on f unction at school. At the IEP meeting, the PT also shares the
determination of the level of improvement that might occur through intervention
within the specified time in the IEP. This assists with IEP goal development and
correlates with prognosis in the Guide to Physical Therapist Practice.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 105
 Physical Therapy Intervention Plan
The intervention or treatment plan is the framework for implementing the
physical therapy required by the child’s IEP. PI 11.24 of the Wisconsin
Administrative Code requires school PTs to develop physical therapy treatment
plans for the child. The IEP sets the direction of physical therapy intervention for
a child, and the annual goal states the desired functional outcome. The physical
therapy intervention plan includes the following:

• name, birth date, and diagnosis

• precautions

• current functional abilities, movement skills, and physical status

The PT develops the
intervention plan and • a restatement of the IEP goals which the therapist will help the child meet
modifies the plan
when indicated. • interventions

• indirect services such as collaboration and coaching

• supervision of assistant, if appropriate

• coordination with outside therapist

• documentation of progress

The PT develops the intervention plan and modifies the plan when indicated.
The intervention may be solely used by the therapist who developed it; by a
therapist who is substituting for another therapist or receiving a child from
another therapist’s caseload; or by the PTA who is implementing the intervention
developed by the PT. Sample physical therapy intervention plans are included in
Appendix B.

Interventions
PTs use various interventions and techniques that encourage functional
independence, emphasize student participation in classroom and school activities,
and promote fitness and health. Figure 20 on the following page describes
common physical therapy interventions.

106 School-Based Physical Therapy

Figure 20 Physical Therapy Interventions
Type of Physical Examples of Interventions in
Therapy Intervention School-Based Practice
Therapeutic exercise Balance, coordination, gait, and mobility training;
aerobic endurance activities; motor learning;
strengthening exercises
Functional training in Activity performance of motor tasks for travel,
school activities maintaining and changing positions, recreational
movements, manipulation with movement, using
materials, setup and cleanup, eating and drinking,
hygiene, clothing management, up and down stair
movement, safety
Functional training in Transfer training from wheelchair to desk, chair, lab
self-care stool, floor, or toilet; overuse prevention; orthotic or
prosthetic equipment training
Functional training in Injury prevention, performance or adaptation of
community motor tasks related to job training experience (as part
of transition)
Prescription, Assistive devices: crutches, canes, walkers,
application, and wheelchairs, scooter boards
training in use of Power devices: motorized wheelchairs and scooters
adaptive equipment Adaptive devices: seating systems, raised toilet seats,
grab bars; supine, prone, or dynamic standers
Orthotic devices: braces, shoe inserts, splints
Prosthetic limbs
Protective devices: cushions, helmets
Supportive devices: compression garments, collars,
taping
Respiratory and rib Breathing strategies, positioning, movement, and
cage exercises exercises to improve function
Manual therapy Hands-on techniques for joint and soft tissue
mobilization

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 107
 Physical Agents and Electrotherapeutic Modalities
In clinical and hospital settings, PTs use physical agents (paraffin baths, hot
packs, cold packs, whirlpool, and ultrasound) and electrotherapeutic modalities
(functional electrical stimulation, neuromuscular electrical stimulation, and
biofeedback). Schools generally do not maintain such equipment. School
physical therapy often occurs in a classroom setting, and a separate clinical area
for providing these interventions seldom exists. The safe use of these modalities
in the school environment, their maintenance, and storage also are reasons for not
using these interventions in the school setting. For these reasons, school PTs use
a variety of interventions other than physical agents and electrotherapeutic
modalities to meet treatment or intervention goals. For example, instead of using
neuromuscular electrical stimulation to improve ambulation, the school PT
develops balance and coordination activities, uses strengthening exercises, or
offers practice in body weight support gait training to improve walking.
There is nothing in the law that specifically states that modalities cannot be
used in school-based practice. Legal decisions support a d istrict's choice of
intervention as long as t he district is able to verify that the student is making
progress toward IEP goals with the intervention provided. Below are some
questions to help guide therapists in deciding whether to use a modality as an
intervention for a student at school.

• Modalities often focus on an impairment area rather than a s tudent’s

functional level, so what is the functional outcome (IEP goal) that the
modality supports?

• Is there a different therapy intervention that could help the student reach
the same functional outcome?

• Is there a safe place to use the equipment?

• Who will supply and fund the equipment (school, student's insurance)?

• Where will the equipment be stored?

• How will the equipment be maintained?

• Who will maintain and inspect the equipment?

• In the context of evidence-based practice, is there evidence to support the

use of the modality?

• What data will be collected to demonstrate the student's response to the

modality?

• Does the student show progress in terms of functional outcomes and IEP
goals?

108 School-Based Physical Therapy

Motor Control, Motor Learning, and Motor Development
PTs help students solve movement problems. In order to do this, PTs must have
an understanding of the scientific theories and research in the areas of motor
control, motor learning, and motor development. The following is adapted with
permission from Patricia C. Montgomery, Ph.D., PT, FAPTA from her
presentation, Motor Control, Motor Learning, and Motor Development: Implica-
tion for Effective Treatment in Pediatrics. (October 2003)

Motor Control
Motor control refers to the control of posture and movement as part of a dynamic
system. System models consider multiple variables that influence motor Contemporary system
behavior. Instead of a f ixed set of equilibrium reflexes, contemporary system models consider
models consider postural responses as flexible, functional motor skills that can postural responses as
adapt with training and experience. A child’s postural responses are proactive, flexible, functional
centrally organized, and based on prior experience and intention. The implication motor skills that can
for intervention is to facilitate balance in a variety of tasks and contexts. adapt with training
In contemporary system theories, functional motor behaviors are critical and experience.
within the context of a meaningful environment. The PT analyzes the student’s
postural and movement skills in the context of the school environment. This
approach aligns with IDEA 2004 a nd the emphasis on t he student’s functional
performance. The PT sees how the student is able to control posture and balance
in the classroom, hallways, lunchroom, playground, gymnasium, and school
grounds. The PT may work with the student on developing ankle strategies, hip
strategies, stepping, or grasping to maintain posture and balance, and on
integrating and practicing these motor behaviors in routines within the school
setting.

Motor Learning
Motor learning is the acquisition of a motor behavior or skill achieved by periods
of practice and experience. Motor learning is in contrast to motor performance.
Motor performance is a skill learned during a practice session, which does not
result in long-lasting change. Motor learning is a set of processes for acquiring
capability for producing skilled action that lasts and that is part of everyday
function. Motor learning is a direct result of practice and is relatively permanent.
Variables that assist motor learning include:

1. Comprehension of the task through verbal instruction, demonstration,

modeling by other students or practice

2. Motivation through activity that is meaningful or functional

3. Practice, practice, practice

4. Attention and effort

5. Specific goal setting with the student’s involvement

6. Knowledge of results

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 109
 7. Random practice rather than concentrating on a s ingle task, especially
with children

8. Learning the activity in environment where it naturally occurs

9. Practicing the task in multiple settings to avoid difficulties in

generalizing or transferring skills to a new setting

10. Cooperation and competition

11. Mental practice such as social stories before trying the task or skill

12. Feedback from movement errors

Motor learning lends itself to integrated therapy where motor skills are
practiced in the environment in which the task naturally occurs. As such,
integrated therapy offers practice opportunities and supports motivation and
attention.

Instead of the therapist Motor Development

providing hands-on Motor development refers to changes in motor behavior during a person’s life
treatment, the therapist span. In the context of the enablement (ICF) model, motor development is
guides the movement or considered part of health, fitness, and life-long leisure skills.
task and then allows the School-based PTs require knowledge of the development of gross motor
student to learn functional movement from early childhood through young adulthood. New,
movement through trial documented research indicates that there is no single best developmental
and error, making the sequence. Development is simultaneous, not strictly sequential. Therapeutic
student an active interventions include age-appropriate activities based on the child’s
participant in therapy. chronological age and interest. Instead of the therapist providing hands-on
treatment, the therapist guides the movement or task and then allows the student
to learn movement through trial and error, making the student an active
participant in therapy. Preschoolers develop movement patterns or motor
programs as part of play. Practice rolling, crawling, creeping, and climbing can
be embedded in a gross motor obstacle course in the preschool class or daycare.
School-age children refine gross and fine motor skills through practice and in
response to challenges in physical education, sports, music, recess, and the
classroom. The student may practice moving with crutches up and down
classroom aisles, hallways, and ramps. For high school students, transition plans
may include part of community participation, recreation, and leisure. For
example, the PT may work with a student on developing the motor skills needed
to open and close the car door and to get in and out of the car so the student can
begin drivers education.

110 School-Based Physical Therapy

Evidence-Based Practice and Critical Inquiry
IDEA 2004 requires that special education and related services must be based on
“peer-reviewed research to the extent practicable.” “Scientifically-based research
means research that involves the application of rigorous, systematic, and
objective procedures to obtain reliable and valid knowledge relevant to education
activities and programs.” (20 USC sec. 7801(37)) This corresponds to evidence-
based practice in physical therapy. Evidence-based practice in physical therapy
evolved from the move to evidence-based medicine. Evidence-based medicine is
defined as “the integration of best research evidence with clinical expertise and
patient values.”

Evidence-Based Practice
The five steps of evidence-based practice for a PT are:

1. Formulate the clinical question.

2. Obtain the evidence with searches.

3. Evaluate the evidence for clinical validity.

4. Combine evidence with clinical judgment.

Levels of evidence
5. Evaluate the fidelity of implementation. Fidelity refers to providing the
come from the
intervention in a way that compares favorably with the original design of hierarchies developed
the evidence-based practice. (American Physical Therapy Association in medicine to rate the
2007, 1-3; Ottenbacher and Cusick 1990) strength of the
research designs
Levels of evidence come from the hierarchies developed in medicine to “rate
being used to generate
the strength of the research designs being used to generate the evidence.” D. L.
the evidence.
Sackett, et al. (2000) are usually cited as the source of this approach, although
similar hierarchies appear across the healthcare literature. Research design levels
from strongest to weakest are

I Strong evidence from at least one systematic review of multiple, well-

designed, randomized, controlled trials

II Strong evidence from at least one properly designed, randomized,

controlled trial of appropriate size

III Evidence from well-designed trials without randomization, single group,

pre-post, cohort, time series, or match case-controlled studies

IV Evidence from well-designed non-experimental studies from more than one

center or research group

V Opinions of respected authorities, based on clinical evidence, descriptive

studies, or reports of expert committees

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 111
 Besides research design, the other factors to appraise are sample size, internal
validity, and external validity. Sample size is rated A (sample size greater or
equal to 20) or B (less than 20). Internal validity is rated 1 (high), 2 (moderate),
or 3 (low). External validity is rated a (high), b (moderate), or c (low). Research
with the strongest evidence is IAla. (Cope 2005)
How is the busy school-based PT able to find the time to apply an evidence-
based approach to day-to-day practice? Some school-based therapists address this
challenge by forming therapy groups to research a practice issue. Therapists in
the Waukesha School District collectively develop a clinical question and then
individually search for evidence in one article to answer this question. Each
therapist reviews one article, rates the level of evidence, and reports the findings
Besides research at the next therapists’ meeting. In this way, therapists learn from several articles
design, the other and discuss the application of this evidence to practice.
factors to appraise Concordia University of Wisconsin and a private practice group, Dominiczak
are sample size, Therapy Associates LLC, both based in the Milwaukee area, partnered to explore
internal validity, and evidence-based practice. Dominiczak Therapy Associates contracts with school
external validity. districts to provide school-based therapy services. The Dominiczak Therapy
Associates’ therapists developed clinical questions. Concordia University DPT
(Doctor of Physical Therapy) students from the Tools for Evidence-Based
Practice class (taught by Kathryn Zalewski, PT, Ph.D.) researched and reviewed
the literature for articles addressing the clinical questions and then rated the level
of evidence in the articles. Concordia and Dominiczak expanded this
collaboration by inviting school-based PTs, OTs, and directors of special
education to attend a half-day presentation on E vidence in School-Based
Therapy. The DPT students shared their evidence-based practice findings on
therapeutic interventions used by school-based therapists. This collaboration is an
innovative way for therapists to learn about evidence guiding and informing
practice and for the therapists to earn continuing education credits.
Journals and databases provide access to articles and summaries of evidence.
The Occupational Therapy and Physical Therapy pages on t he Wisconsin DPI
website provide a link to online databases for finding abstracts and citations for
individual articles and systematic reviews. Professional organizations provide
access to evidence. Members of the American Physical Therapy Association
(APTA) can access Hooked on Evidence and other resources from the APTA
website as well as receive professional journals which contain recent research on
effective interventions.
Continuing education courses are another means for therapists to keep
current on evidence-based practice. To assure that course content is evidence-
based and not just the presenter’s opinion, the therapist may request that the
instructor provide supporting evidence for course content.

Choosing Interventions
School-based PTs use activity-focused motor interventions for children in
preschool and school-based settings. Activity-focused interventions involve
structured practice and repetition of functional actions and are directed toward
the learning of motor tasks that will increase the student’s participation in daily

112 School-Based Physical Therapy

routines. Activity-focused motor interventions are integrated in everyday class-
room and school activities. (Rapport 2009) The PT chooses interventions based Activity-focused motor
upon interventions are
integrated in everyday
• IDEA, which emphasizes functional performance. classroom and school
activities.
• peer-reviewed research and evidence-based practice.

• contemporary research on motor control, motor learning, and motor

development.

• preferred practice patterns (Guide to Physical Therapist Practice).

• enablement models, which emphasize function, participation, and

community integration.

When parents disagree with the choice of intervention, court rulings have
supported districts’ choices of methodology or intervention. If a district offers a
student an appropriate educational program, it can choose the methodology.
Under IDEA, districts do not have to document a particular methodology or
intervention on a student’s IEP. Instead, the IEP team addresses the student’s
goals, not a particular intervention. This gives the therapist more flexibility in
trying new strategies to meet the student’s needs and changing status. However,
districts must be able to verify that the student is making progress toward IEP
goals with the intervention provided. Data collection and progress monitoring are
ways to document progress. With peer-reviewed research in IDEA 2004, PTs
may corroborate the selection of a particular intervention based upon evidence in
research. Parents may pursue private therapy or community-based services for a
particular intervention, in addition to the therapy the school district provides.

Progress Reports and Re-examination

According to the APTA’s Guide to Physical Therapist Practice, PTs routinely
perform re-examinations of a student’s progress to modify or redirect
interventions. This may include the student’s response to intervention, communi-
cation with staff or others, progression, precautions, and plans for the next
session. Re-examination corresponds to IDEA’s requirement that the IEP team
informs parents about their child’s progress on IEP goals. PTs contribute to the
IEP team progress report to parents.

Discontinuation
As noted in chapter 3, dismissal from physical therapy occurs when the student
no longer requires the therapy to benefit from special education. “The results of a
recent nationwide survey of school-based PTs found that the most important
factor in determining service termination was whether the student met functional
goals. This is accepted professional practice and aligns with discontinuation of

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 113
 other IEP services. This study also found that the influence of the parents/
caregiver was usually the most difficult factor in discontinuing physical therapy.
Therapists need to continually collaborate with parents to foster understanding
and trust and help prepare parents for termination of services.” (Effgen 2000,
12:121-26.) The Guide to Physical Therapist Practice states that PTs provide a
summation of the outcome of physical therapy services at the point of
discontinuation of therapy. In school-based practice this would include noting the
student’s progress, current functional status, and goal achievement (IEP goal that
the therapist supported). Documentation requirements that are part of special
education and physical therapy practice follow.

Post-high School Transition

One of the stated purposes of IDEA is to prepare children with disabilities for
further education, employment, and independent living. Transition service means
Therapists need to
a coordinated set of activities for a child with a disability that
continually collaborate
with parents to foster • is designed to be within a results-oriented process.
understanding and trust
and help prepare • is focused on improving the academic and functional achievement of the
parents for termination child with a disability to facilitate the child's movement from school to
of services. post- school activities, including post-secondary education, vocational
education, integrated employment (including supported employment),
continuing and adult education, adult services, independent living, or
community participation.

• is based on t he individual child's needs, taking into account the child's

strengths, preferences, and interests.

• includes instruction, related services, community experiences, the

development of employment, and other post-school adult living objec-
tives, and, when appropriate, acquisition of daily living skills and
functional vocational evaluation.

Recognizing that starting the transition planning early is important,

Wisconsin law requires the IEP team to develop post-secondary goals for a
student at age 14 rather than waiting until age 16 as required by IDEA. The
district invites the student to the IEP meeting as the student’s input is vital.
Transition planning is an opportunity for the student to begin thinking about or
deciding career choices, training needs, employment possibilities, and housing
options post-high school. When the student is unable to attend, the IEP team
considers the student’s preferences and interests. An IEP team member meets
with the student to discuss the student’s plans for post-high school and brings the
information to the IEP meeting. Parental involvement in transition planning is
essential as an opportunity for parents to consider what life will be like for their
child post-high school, and to have a voice in decisions.

114 School-Based Physical Therapy

 Assessment tools include criterion-referenced assessments, student interest
surveys, structured ecological assessments, and observations in natural contexts.
These assessments help the entire team evaluate the student in the areas of
training, education, employment, and independent living skills. Examples of
criterion-referenced instruments are the Enderle-Severson Transition Rating
Scale-Third Edition (ESTR III), which is designed for learners with moderate to
severe disabilities, and the Enderle-Severson Transition Rating Scale-Form J-
Revised, which is designed for learners with mild disabilities. Both evaluate
student performance in the areas of employment, recreation and leisure, home
living, post-secondary education, social/vocational behavior, and community
participation. Teachers, parents, therapists, and the student complete the
assessment, which identifies the student’s strengths, the areas requiring
assistance, and the ongoing supports the student will require to participate in
post-high school environments.
Based upon the specific transition issues from the assessment, the IEP team
collaboratively determines outcomes and writes these as measurable goals in the The team looks for
IEP. Goals address high school completion; productive activity including opportunities that
community employment, supported employment, or post-secondary education; offer direct experience
community leisure involvement including friendship and community in real life for work,
participation; and community living. The team looks for opportunities that offer social interaction, and
direct experience in real life for work, social interaction, and a p lace to live. a place to live.
Opportunities may be at school, home, work, or the community. The team
considers accountability in terms of student outcomes through periodic review of
the student’s actual performance. (Spencer 2006)
PTs are uniquely qualified to be a part of the IEP team as PTs understand

• Function and performance.

• Activity demands and contexts.

• Effects of disability.

• Self-sufficiency and self-determination.

• Accommodation, modification, and adaptation.

Figure 21 on the following page shows effective intervention approaches for
youth in transition.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 115
 Figure 21 Effective Intervention for Youth in Transition
Type of Physical
Therapy Intervention Examples of Interventions in Transition
Teaching skills, habits, Provide motor learning opportunities for mobility
behaviors in the community and using public transportation

Compensation/adaptation
Use biomechanics for positioning and assistive
• Changing task:
technology to access the environment.
objects, methods
Recommend modifications such as grab bars in
• Changing restrooms, ramps for access
environment: social,
physical Collaborate with community-based agency staff
and offer training
• Training others to
support

Preventing disability Educate students about prevention of secondary

impairments

Promoting health Develop lifelong fitness activities for the student

116 School-Based Physical Therapy

Documentation
School-based PTs must meet documentation requirements for special education
and for physical therapy practice. Special education laws require that the PT

• develop IEP goals with the team.

• contribute to progress reports on IEP goals.

• provide written information that can be used in developing or revising the

IEP when physical therapy will be discussed at an IEP meeting but the PT
is excused from attending.

• develop a physical therapy treatment plan.

• provide a written policy and procedure for written and oral communica-
tion for general supervision of a physical therapist assistant (PTA).

The Practice Act requires the PT to create and maintain a patient record for
every patient that the PT examines or treats. The content of the patient record is
not defined. Direction is given in the Guide to Physical Therapist Practice which
states the Guidelines for Physical Therapy Documentation include

• initial examination and evaluation.

• intervention or service provided.

• status, progress, or regression.

• reexamination and reevaluation.

• discontinuation of service or episode of care.

Even though IDEA 2004 no l onger requires a summary of findings, the PT

may write an evaluation report. The local district may develop a form for this
purpose. Other helpful recordkeeping includes regular, ongoing documentation of
each child’s physical therapy intervention and the child’s response. Standard
documentation for school physical therapy also includes

• attendance records that document the amount and frequency of service

that therapist provides to the child.

• progress notes on intervention plans and data collection on IEP goals.

• notes on contacts with parents, physicians, teachers and vendors.

• summation of care (discharge summary).

Records help the PT focus on educationally relevant intervention as well as

provide helpful background and historical treatment information when a child
transfers from one therapist to another. Records form a basis for the PT to assess

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 117
 the quality of the service and determine typical amounts of therapy needed to
accomplish similar outcomes with other children. Medical assistance and other
medical insurance providers may require PTs to keep other specific records to
obtain third-party payment for physical therapy.

Communication
The school PT communicates with students, families, school staff, and outside
agencies. PTs motivate students by communicating clearly at age-appropriate
levels and with cultural sensitivity. PTs contribute to good parent and school
relationships by providing parents with updates on their child’s progress. A
A telephone call, e-mail telephone call, e-mail message, or note home in the student’s backpack is a quick
message, or note home in and efficient way to keep parents informed about how their child is doing. The
the student’s backpack PT helps build collaborative teams by avoiding jargon and by using active
are quick and efficient listening skills when working with school staff. Effective communication with
ways to keep parents administrators is clear, concise, and supported with data and evidence.
informed about how their The PT also bridges communication between the educational and medical
child is doing. communities. The school PT can help health care providers understand the school
district’s services and legal responsibility to provide physical therapy. When
physicians and other health care providers furnish medical information to the
school, the PT summarizes and interprets the information related to physical
therapy for students, families, caregivers, and school staff. The school PT also
can share with medical providers’ information about the child’s function at
school, need for adaptive equipment, and any changes in the child’s physical
status that may require further diagnostic intervention.

Fitness and Health

PTs design prevention, fitness, and wellness activities. Therapeutic exercise is
part of fitness and wellness programs. PTs may design exercise to promote
overall health or prevent complications due to inactivity or overuse of muscles
and joints. School therapists design and modify fitness and health as part of
universally designed programs for all students, as selective options for some
students, or as a targeted, individualized program for a student with a disability.
APTA’s FUNfitness is a screening kit to assess children’s flexibility, strength,
and balance and is designed for children and youth with and without disabilities.
FUNfitness was initially developed for the Special Olympics Healthy Athletes
program. (APTA 2001)
IDEA 2004 includes universal design as a m eans to maximize access t o
general education curriculum for all students. Universal design involves
designing and delivering products and services that are usable by all people with
the widest possible range of functional capabilities. An example of a program
with universal design that the school PT provides is the backpack program to
prevent back pain and stress for all students. When the PT collaborates with the
physical education instructor to develop curriculum that provides fitness
activities for students with varying levels of strength, stamina, and endurance is

118 School-Based Physical Therapy

also an example of universal design. This curriculum offers options so students PTs design
can select activities that match or challenge their fitness level. The PT might prevention, fitness,
participate on a district-wide committee for playground design or redesign and and wellness
choice of equipment to allow for accessibility by many students. activities.
In Wisconsin public schools, physical education must be made available to
all children, including children with disabilities. Physical education is required
for children with disabilities when the school provides it to their peers or when
the IEP team determines the student needs physical education. The IEP team
determines whether the student receives regular, adapted, or specially designed
physical education. The PT can measure the child’s flexibility of arms and legs,
functional strength of abdominal and leg muscles, and balance. The PT may
collaborate with the physical education instructor to adapt the gym environment,
equipment, or curriculum so the student is able to participate in wellness and
fitness activities in regular or specially designed physical education. The PT and
physical education teacher can design an individualized program tailored to
provide aerobic conditioning to meet the child’s fitness needs.

Privacy
It is accepted practice in a clinical setting for a patient to partially disrobe during
evaluation or intervention. This allows the PT to observe joint alignment, palpate
for muscular contraction, and assess movement. The school PT may need to ask a
child to remove some clothing to perform an accurate evaluation, examination, or
intervention. The removal of a child's clothing during a physical therapy
evaluation or intervention session may raise concerns in the school setting. Some
children, parents, and administrators have questioned the practice, and some
therapists are concerned about accusations of sexual abuse. To avoid these
misunderstandings, the district can implement these policies:

• During the orientation process, the special education director discusses

with the PT the accepted practices for disrobing children and providing
hands-on therapy in the school setting. PTs who previously worked in a
hospital or clinical setting especially need to discuss these practices.

• At school, the child dresses in regular school clothes for most physical
therapy.

• The child brings gym clothes, shorts, and T-shirt for the therapy sessions.

• The district provides a setting that allows for appropriate privacy,

especially for evaluation sessions.

• The therapist explains to the parent and child prior to an evaluation or

therapy session that at times partial disrobing of the child may be part of
the assessment and hands-on therapy.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 119
 • Districts prepare a written policy to share with staff and parents, and ask
for signed, parental permission prior to a hands-on physical therapy
evaluation and intervention.

• The district invites parents to observe the physical therapy evaluation and
intervention.

• Another school staff member is present during the evaluation or

examination.

Ethics
APTA established a code of ethics for PTs and standards of ethical conduct for
PTAs. APTA offers accompanying guides for professional conduct for PTs and
PTAs. PTs and PTAs are responsible for maintaining and promoting an ethical
practice. Responsibilities to the consumer, the profession, the law, the public, and
themselves underlie the principles that make up these documents. Chapter PT 9,
Wis. Admin Code reinforces the importance of ethical conduct by requiring four
hours of continuing education in ethics and jurisprudence for biennial license
renewal.
It is a professional It is a professional expectation that PTs and PTAs who work in the school
expectation that PTs setting will adhere to the principles guiding the profession in a manner that will
and PTAs who work in promote the welfare of children and strive for excellence in practice. Appendix D
the school will promote contains the APTA Code of Ethics for the Physical Therapist and the Standards
the welfare of children of Ethical Conduct for the Physical Therapist Assistant.
and strive for
excellence in practice. Cultural Competency
Therapists need to be cognizant of cultural influences on the development of a
child’s motor skills and the values parents place on disability and therapeutic
interventions. Therapists “…must recognize the influences of culture in the
development of gross motor skills. Data generated by such instruments may need
to be interpreted with caution when assessing a child of different cultural
backgrounds and should always be used in conjunction with other evaluative
measures to determine levels of gross motor development.” (Cohen, et al. 1999,
197) In this study, “the sample of children of African American background
consistently achieved more gross motor skills at an earlier age than the
established normal values (norms). The children of Hispanic background scored
closer to the normative data in most skill categories.” (Cohen, et al. 1999, 191)
Therapists need to exercise caution when interpreting standardized measures of a
student’s motor skills and consider the student’s cultural background.
In a recent study of “Values Anglo-American and Mexican-American
Mothers Hold for Their Children with Physical Disabilities,” Elizabeth Mae
Williamson concludes, “therapists should consciously seek to build strong
professional relationships and establish open, honest communication between
themselves and all caregivers. An understanding of what values are important to
individual families and recognition of perceived and true difficulties confronted

120 School-Based Physical Therapy

by individual families may reduce the covert influence of societal distinction on
the habilitative process.” (Williamson 2002, 21)

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Disorders in OTs and PTs.” American Journal of Occupational Therapy.

Effgen, S. 2005. Meeting the Physical Therapy Needs of Children. Philadelphia,

PA: F.A. Davis Company.

122 School-Based Physical Therapy

Effgen, S., L. Chiarello, and S. Milbourne. 2007. “Updated Competencies for
Physical Therapists Working in Schools.” Pediatric Physical Therapy 19(4):266-
74.

Hanft, B. and P. Place. 1996. The Consulting Therapist. San Antonio, Texas:
Therapy Skill Builders, a division of the Psychological Corporation.

Hanft, B., D. Rush, and M. Shelden. 2004. Coaching Families and Colleagues in
Early Childhood. Baltimore: Paul H. Brookes.

“Intervention for Youth Who Are in Transition from School to Adult Life.” 2006.
Developed by the Practice Committee of the Section of Pediatrics, APTA, with
special thanks to expert contributors A. Doty and L. Sylvester. Section on
Pediatrics Fact Sheet. Alexandria, VA: American Physical Therapy Association.

Jette, A. 2005. “The Changing Language of Disablement.” Physical Therapy

85(2):118-19.

McEwen, I. and M. Rapport. 2009. Providing Physical Therapy Services Under

Parts B & C of the Individuals With Disabilities Education Act (IDEA).
Alexandria, VA: Section on Pediatrics, American Physical Therapy Association.

Rehabilitation Engineering & Assistive Technology Society of North America

(RESNA) Position. “The Application of Power Wheelchairs for Pediatric Users,”
http://www.rstce.pitt.edu/RSTCE_Resources/Resna_position_on_Peds_wheelcha
ir_Users.pdf (accessed March 16, 2010).

The Special Educator. “Don’t ’Lock‘ Your District into Specific Methodology.”
LRP Publications 23(18):6.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 123
 6
Supervision of
Assistants and
Other Personnel
Occupational therapists (OTs) and physical therapists (PTs) follow specific
requirements in state law when supervising other personnel hired by school
districts to assist in the provision of occupational therapy and physical therapy.
Supervised personnel may include licensed occupational therapy assistants
(OTAs), licensed physical therapist assistants (PTAs), licensed special education
aides, and students performing fieldwork in fulfillment of university and
technical college programs. Supervision involves guidance and oversight related
to the delivery of occupational and physical therapy services for which the
respective therapists are responsible. Unlike collaborative intervention, which is
described in more detail in chapter 7, supervision requires personnel to deliver OTAs and PTAs are
occupational therapy or physical therapy in schools following the direction and educationally prepared
instruction of the respective therapist who supervises the therapy itself. This to assist the respective
occurs after the collaborative process of the IEP or other team has determined the therapists in providing
therapy needed. effective and cost-
efficient services.
Occupational Therapy Assistants and
Physical Therapist Assistants
In response to a critical shortage of OTs and PTs to provide services to students,
DPI promulgated administrative rules, effective July 1, 1 993, to license OTAs
and PTAs to work in public schools. OTAs and PTAs are educationally prepared
to assist the respective therapists in providing effective and cost-efficient
services. Both are graduates of two-year technical colleges and are licensed by
the Department of Regulation and Licensing (DRL) as well as by DPI.

Occupational Therapy Assistants

An occupational therapy assistant (OTA) provides occupational therapy under
the close or general supervision of an OT. The OT in collaboration with the OTA
determines the level of supervision. This determination is made on the basis of
the training and experience of the OTA, the familiarity of the OTA with school-
based practice, and the nature of the therapy required by specific children. No
one other than an OT can legally delegate occupational therapy treatment to an
OTA.
An OTA may collect data and assist with evaluations, but it is the respon-
sibility of the OT to conduct, interpret, and report on evaluations. Essentially, the
OTA shares the OT’s caseload. The OTA provides therapy according to a written
treatment plan that the OT alone or in collaboration with the OTA is required to
develop. Following the establishment of service competence, the OTA may
provide any facet of treatment that the OT delegates. Service competence is

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 125
 defined later in this chapter. The responsibility for the outcomes of the therapy
provided by the OTA remains with the OT.
Supervision requirements for the school-based OTA are found in Chapter PI
11, Wis. Admin Code and correspond with Chapter OT 4, Wis. Admin Code
rules. The details of supervision and caseload are provided in Figure 22 on pages
131 and 132. The supervising OT writes both a policy and procedures that the
OT will follow when supervising the OTA, including the procedure for written
and oral communication. The written procedures include each child’s name,
status and plan, and these may be incorporated into the child’s treatment plan.
Levels of supervision are either close or general. Under close supervision, the
school OT must have daily, direct contact on the premises with the school OTA.
The OTA provides The OT co-signs evaluation and intervention documents prepared by the OTA.
therapy according to Close supervision is required for all school system services provided by an entry-
a written treatment level OT. Entry-level means the person has no demonstrated experience in a new
plan that the OT position or in school system practice. The duration of close supervision is
alone or in determined by the supervising OT, based on service competence of the OTA.
collaboration with Under general supervision, the OT must reevaluate the occupational therapy of
the OTA is required each child assigned to the OTA at least once a month or every tenth treatment
to develop. day, whichever is sooner. The OTA does not have to be present. The OT and the
OTA must meet face-to-face, with or without the child present, every fourteen
calendar days to discuss progress, problems, or other issues relating to the
provision of school occupational therapy. These requirements assure that the OT
remains familiar with every child on the caseload in order to monitor progress,
adjust treatment to the child's needs, and contribute to IEP planning.
The OTA may not represent an OT on an IEP team. The OTA may attend the
IEP meeting, but only with the supervising OT present. It is highly likely that the
IEP team will ask the assistant to participate in program development, which the
assistant may not do without the supervising therapist. Many schools are
reluctant to use both the therapist’s time and the assistant’s time for the same IEP
meeting because of cost. The OTA often sees the students for therapy while the
OT attends IEP meetings, to avoid cancelling therapy sessions that the district
has an obligation to provide.

Licensure Requirements
OTAs are licensed by the Occupational Therapists Affiliated Credentialing Board
(OTACB), which is part of the DRL. OTAs must successfully complete the
academic requirements and supervised internship of an accredited educational
program in occupational therapy. All OTAs must complete two written
examinations, and an oral examination may be required. The written
examinations are the National Board or Certification in Occupational Therapy
Examination for Occupational Therapy Assistants and an open book examination
on the Wisconsin Statutes and Administrative Code. An OTA must renew a DRL
license every two years. The OTA must complete 24 ho urs of continuing
education for license renewal during this period. To work in schools, the OTA
must have a current DRL license, complete the application process for a license
from the DPI, and obtain the DPI license. Chapter 2, Figure 4 describes DRL
licensure requirements.

126 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
Physical Therapist Assistants
The PTA provides physical therapy under the direction and supervision of a PT.
The PTA provides selected components of physical therapy intervention, obtains
data related to that intervention, makes modifications in interventions as directed
by the PT or to ensure the student’s safety, and interacts with staff and others.
The PT delegates those portions of a child’s physical therapy which are
consistent with the PTA’s education, training, experience, and skill level. The PT
considers the criticality, acuity, stability, and complexity of the child’s condition
or needs. The PT also considers the predictability of the response to intervention.
After taking all of these factors into account, the PT determines the safe and
appropriate level of supervision of the PTA. Interventions that are exclusively
The PTA provides
performed by a PT and cannot be delegated include but are not limited to spinal
selected components of
and peripheral joint mobilization/manipulation, which are components of manual
physical therapy
therapy, and sharp selective debridement, which is a component of wound
intervention, obtains data
management. These interventions are typically not part of school-based practice.
related to that
Supervision requirements for the school-based PTA are found in Chapter PI
intervention, and makes
11, Wis. Admin Code and correspond to Chapter PT 5, Wis. Admin Code. The
modifications in
details of supervision and caseload are provided in Figure 22 on pages 131 and
interventions as directed
132. Requirements include a w ritten policy that describes the procedure for
by the PT.
written and oral communication. The policy and procedures also describe the
specific supervisory activities that the PT undertakes for the PTA. Levels of
supervision are either close or general. Close supervision requires that the PT has
daily, direct contact on the premises with the PTA. General supervision means
that the PT has direct face-to-face contact with the PTA at least every 14 calendar
days. This could be at the school with the PTA and student present or this could
be offsite with just the PT and PTA present. The PT provides onsite reevaluation
of each child’s therapy a minimum of one time per calendar month or every tenth
day of service, whichever is sooner and adjusts the therapy plan as appropriate.
Responsibilities of the PT include examination, evaluation, and reevaluation
of the child, participation in the development of the child’s IEP, and development
of the intervention plan. The PTA may assist with data collection but cannot
administer tests.
The PTA documents interventions performed, data collected, student
progress, equipment provided, and communication with others. However, the
PTA may not interpret this information. The PTA signs the documentation. The
documentation may be a narrative form, checklist, flow sheet, or graph,
determined by the PT. The PT authenticates all documentation. One such method
has the PT review the documentation of the PTA monthly and then sign and date
each review. These documentation guidelines come from the Guide to Physical
Therapist Practice, Appendix 7-3 (APTA 1999) and are not found in Chapter PI
11, Wis. Admin Code or Chapter PT, Wis. Admin Code. This is best practice, not
administrative rule.
The PTA may interact with the child, family, or community providers and
participate with the PT in training teachers and other educational staff. The PTA
may assist in the design and fabrication of equipment or adaptations for specific

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 127
 children as well as participate in departmental planning and management. As
such, the assistant takes part in developing internal policies and procedures, helps
with budget development, and participates in discussions regarding schedules and
assignment of children. The PTA may be assigned a number of responsibilities
unrelated to children, including the maintenance of an inventory and budget
records, and ordering equipment and supplies.
The PTA may not represent a PT on an IEP team. The PTA may attend the
IEP meeting, but only with the supervising PT present. It is highly likely that the
IEP team will ask the assistant to participate in program development, which the
assistant may not do without the supervising therapist. Many schools are
reluctant to use both the therapist’s time and the assistant’s time for the same IEP
meeting because of cost. The PTA often sees the students for therapy while the
PT attends IEP meetings, to avoid cancelling therapy sessions that the district has
an obligation to provide.

Licensure Requirements
PTAs are licensed by the Physical Therapy Examining Board (PTEB), which is
part of the DRL. PTAs must graduate from a program accredited by an agency
approved by PTEB. All PTAs must complete a written examination and an oral
examination may be required. The written examination is the National Physical
Therapist Assistant Examination. Passing scores are those recommended by the
School OTAs and Federation of State Boards of Physical Therapy. A PTA license from the DRL
school PTAs must must be renewed every two years. The PTA must complete 20 hou rs of
work under the close continuing education for license renewal, with 4 hou rs in ethics and
or general supervision jurisprudence. To work in schools, the PTA must have a cu rrent DRL license,
of the respective complete the application process for a license from DPI, and obtain the DPI
school therapist. license. Figure 4 in chapter 2 summarizes DRL licensure requirements.

Summary of Supervision
School OTAs and school PTAs must work under the close or general supervision
of the respective school therapist. Only a PT or a PTA may provide physical
therapy. Only a PT may supervise the physical therapy provided by a PTA.
Similarly, only an OT or an OTA may provide occupational therapy. Only an OT
may supervise the occupational therapy provided by an OTA. When a full-time
OT or PT works with a licensed assistant, the therapist’s caseload may increase
from a maximum of 30 to a maximum of 45 children.

128 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
Figure 22 Supervision of Assistants

OTA Supervision PTA Supervision

OT determines which PT determines which physical
Delegation
occupational therapy services to therapy services to delegate to
delegate to the OTA based on the PTA. PT delegates to the
service competence. Service PTA only those portions of a
competence means the child’s physical therapy which
determination made by various are consistent with the PTA’s
methods that two people education, training, and
performing the same or equivalent experience.
procedures will obtain the same or PT considers the criticality,
equivalent results. OT delegates acuity, stability and
only those portions of a child’s complexity of the student’s
occupational therapy which are condition/needs.
consistent with the OTA’s PT determines the safe and
education, training, and appropriate level of
experience. supervision.

Close Required for all school system PT has daily, direct contact on
supervision services provided by an entry- premises with the PTA.
level OTA. Entry-level means
OTA has no demonstrated
experience in a specific position: a
new graduate, a person new to the
38
position, or a person in a new
setting with no previous
experience in that area of practice.
OT has daily, direct contact on the
premises with OTA. No standard
exists for duration of close
supervision other than service
competence.
General OT has direct, face-to-face contact PT has direct, face-to-face
supervision with the OTA at least once every contact with the PTA at least
14 calendar days. Between direct once every 14 calendar days.
contacts, OT is available by Between direct contacts, the
telecommunication. PT is available by
OT has face-to-face, onsite telecommunication for
reevaluation of each child’s direction and supervision.
occupational therapy a minimum PT provides onsite
of one time per calendar month or reevaluation of each child’s
every tenth day of occupational therapy a minimum of one
therapy, whichever is sooner. time per calendar month or
every tenth day of service,
whichever is sooner and
adjusts the therapy plan as
appropriate.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 129
 OTA Supervision PTA Supervision

Written Includes procedure for written and Includes procedure for written
policy oral communication. Specific and oral communication.
description of the supervisory Specific descriptions of the
activities undertaken for each supervisory activities
OTA. Includes client name, status undertaken for each PTA.
and plan for each client discussed.
Documenta- When close supervision is PTA documents and signs
tion required, OT inspects actual each therapy session in
implementation of treatment plan narrative form or uses a
periodically. OT cosigns checklist, flow sheet, or
evaluation contributions and graph. Elements of
intervention documents that the documentation include the
OTA develops. student’s status, progress, or
regression as well as
interventions and equipment
provided. PT authenticates
documentation by co-signing.
Caseload 45 based on the OT’s full-time 45 based on the PT’s full-time
equivalency (FTE). A full-time equivalency (FTE). A full-
OT is employed for a full day, time PT is employed for a
five days a week. A 1.0 FTE OT full day, five days a week. A
may supervise no more than 2.0 1.0 FTE PT may supervise no
FTE OTA positions and no more more than 2.0 FTE PTA
than 3 OTAs in total. For instance, positions and no more than 3
if the OTA is .50 FTE, a PTAs in total. For instance, if
supervisory OT must be in the the PTA is .50 FTE, a
district at least .25 FTE. supervisory PT must be in the
district at least .25 FTE.
Responsi- Overall delivery and outcome of Examination, evaluation, and
bilities of occupational therapy services. reevaluation of the child.
Supervising Safety and effectiveness of the Participation in the
Therapist services provided. Evaluation and development of the child’s
reevaluation of the child and IEP. Development of the
interpretation of data. treatment plan.
Participation in development of
the child’s IEP. Development of
the treatment plan.
Responsi- OTA may collaborate with OT in PTA may assist with data
bilities of evaluation and program planning. collection, but cannot
Assistant OTA may not represent OT on an administer tests.
IEP team. PTA may modify an
intervention as directed by the
PT or to ensure the child’s
safety. PTA may not represent
a PT on an IEP team.

130 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
Service Competence
A positive, collaborative, and student-centered relationship between therapists
and assistants depends on a shared view of their respective roles. A therapist new
to working with an assistant is sometimes concerned about delegating
interventions, as the therapist is responsible for the outcomes of the service
delegated to the assistant. Service competence provides a way to ensure a unified
approach to the provision of occupational or physical therapy services. Service
competence means the determination made by various methods that two people
performing the same or equivalent procedures will obtain the same or equivalent
results. (Chapter OT 1, Wis. Admin Code) Both the therapist and assistant
benefit from a m utually designed system of establishing service competence.
Each brings a unique set of skills from which the other can learn. The systematic
description of assessment and intervention procedures, and the observation of Service competence
each other’s performance can improve the skills of both. provides a way to ensure
The methods chosen for establishing service competence vary. The therapist a unified approach to the
and assistant begin by determining which interventions are likely to be delegated provision of therapy
and are of a high priority. Next, they outline a process for determining service services.
competence. For example, an assistant learning an unfamiliar intervention may

• read about the intervention in an article or book, or online.

• observe the therapist providing the intervention.

• watch recorded sessions of children receiving the intervention.

• co-treat with the therapist so that each can discuss questions.

• provide intervention while the therapist observes.

Preparing a checklist of principles of techniques together ensures that both
therapist and assistant address necessary aspects of the intervention. Specific
problem areas are noted and revisited until both are satisfied that the chosen
approach has established service competence. Three consecutive occasions in
which competence has been demonstrated is one possible standard to establish
initial competence. After that, the therapist and assistant may periodically co-
treat for review or for new approaches. Appendix F includes sample position
descriptions for OTs, OTAs, PTs and PTAs.

Non-Licensed Personnel and Occupational Therapy

Non-licensed personnel, in the context of the provision of occupational therapy,
refers to individuals who are not licensed as OTs or OTAs by the Department of
Regulation and Licensing. This includes teachers who are licensed to provide
general or special education, but are not licensed to provide occupational therapy,
and paraprofessional teaching assistants. Under Wisconsin law, only a licensed
OT or licensed OTA can provide or claim to provide occupational therapy.
(s.448.961, Wis. Stats.) The clearest application of this is in the amount and
frequency of occupational therapy on a child’s IEP, which only an OT or an OTA

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 131
 may deliver. Teachers and paraprofessional teaching assistants make accommo-
dations and prepare a child for activities that take place on a d aily basis in the
classroom or other school environments. When an OT designs the accommo-
dations and preparation that will be implemented by others, the OT must ensure
that they are specific tasks that are within the capacity of teachers and parapro-
fessional teaching assistants. Neither an OT nor an OTA is permitted to delegate
maintenance or restorative tasks that require the judgment, decision-making or
skill of an OT. (OT 4.05, Wis. Admin Code) Figure 23 on the following page
summarizes the supervision requirements for non-licensed personnel.

Non-Licensed Personnel and Physical Therapy

In the context of the provision of physical therapy, non-licensed personnel are
Non-licensed personnel individuals who are not licensed as P Ts or PTAs. In both cases, this includes
refers to individuals who teachers and paraprofessional teaching assistants. Teachers and paraprofessional
are not licensed as OTs, teaching assistants are DPI-licensed personnel under Chapter PI 34, Wis. Admin
OTAs, PTs or PTAs. This Code, but they are not licensed by the DRL to provide physical therapy. School
includes teachers and personnel sometimes ask if teachers and paraprofessional teaching assistants can
paraprofessional assist students with school activities and routines that incorporate motor learning.
teaching assistants. A student’s motor skills are not solely the domain of physical therapy, as these
skills fall within the larger context of school functions that all children perform.
As described in the School Function Assessment (Coster et al. 1998), students
travel throughout the school environment, maintain and change positions, move
up and down stairs, manipulate objects while moving, and participate in
recreational activities. PTs collaborate with teachers and paraprofessionals to
provide accommodations, adaptations, or strategies that help the student
participate in classroom routines and school activities. “Other team members
whom a PT teaches do not provide physical therapy services. Rather, they carry
out educational activities that the PT recommends to help a child learn motor
skill, function more effectively in the classroom, and so forth. This should not
become a concern when goals are discipline free and reflect a st udent’s overall
educational program. Classroom assistants, for example, do not work on physical
therapy goals.” (McEwen 2009, 111–12)
A student’s IEP goal may be to transfer from the wheelchair to the toilet with
assistance of one person. Initially, the PT works with the student on interventions
and strategies that allow the student to move from the wheelchair to the toilet.
Intervention may start with strengthening and balance activities and progress to
instruction in using adaptive equipment such as a raised toilet seat or grab bars.
When the student learns how to perform the transfer safely, the PT teaches the
paraprofessional and teacher how to assist a s tudent with moving from
wheelchair to toilet. During the training, the PT provides direct, on-premise
supervision. When the student has learned the safe transfer skill, it is a s chool
function in bathroom hygiene. It is no longer a physical therapy intervention and
the PT discontinues providing direct service toward this goal. The parapro-
fessional helps the student with the transfer under the supervision of the teacher

132 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
as part of school routines. At that time, the IEP may include adult assistance for
all toilet transfers as a supplementary aid and service.
The IEP team determines when physical therapy is required for a student to
achieve an IEP goal. The PT then determines the physical therapy intervention,
whether the intervention can be delegated to a PTA, and when an activity or task
is part of classroom or school routines. The IEP team documents the PT’s time to
train and collaborate with classroom teachers and paraprofessionals in the
student’s IEP under Program Modifications or Supports for School Personnel.
The details of delegation and supervision of non-licensed personnel in the
provision of occupational therapy and physical therapy as specified in the
Wisconsin Administrative Code are provided in Figure 23 on this page.

Figure 23 Supervision of Non-Licensed Personnel

Non-Licensed Personnel Non-Licensed Personnel

Occupational Therapy Physical Therapy
Supervision Must be under direct supervision Must be under the direct,
of OT or OTA at all times. Must on-premises supervision
be in immediate area and in of the PT at all times.
audible and visual range of
supervisor for maintenance and
restorative tasks.

Delegation or Performs only non-skilled, Performs tasks which do

Instruction specific tasks. May not receive not require a PT’s clinical
delegation of any direct client decision making or
care which requires an OT’s PTA’s clinical problem
judgment or decision-making. solving.

Collaboration Collaborates with OT, client, Collaborates with PT and

family, caregiver or other other educators when PT
involved individuals or supports the student’s IEP
professionals when OT evaluates goal with adaptations,
and provides intervention. accommodations, and
Receives education from OT strategies that allow a
along with client, family, student to participate in
caregiver or others in carrying out classroom activities or
appropriate non-skilled strategies. routines.

Designation May not designate self as May not designate self as

occupational therapist, physical therapist or
occupational therapy assistant, claim to render physical
OT, OTR, OTA, or COTA or therapy.
claim to render occupational
therapy.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 133
 Clinical Affiliations and Training Opportunities
A crucial way to maintain the supply of school OTs and school PTs is for public
schools to offer clinical affiliations and fieldwork experiences for student OTs,
PTs, OTAs and PTAs under the supervision of school therapy staff. Without on-
the-job training opportunities in school districts, future school therapists and
assistants may have experience only in medically based settings. School districts
sometimes find that upon graduating and receiving a license, the therapy student
they trained is a welcome candidate to fill a vacant therapy position.

Student Occupational Therapists and

Occupational Therapy Assistants
School-based OTs may accept student OTs and student OTAs for fieldwork
experiences. School-based occupational therapy fieldwork educators may
School districts participate in meetings of Wiscouncil (Wisconsin Council on Occupational
sometimes find that upon Therapy Education), a consortium of the five OT educational programs and the
graduation, the therapy five OTA educational programs in Wisconsin. Regional Fieldwork Educators
student they trained is a Certificate Workshops designed by the American Occupational Therapy
welcome candidate to fill Association (AOTA) are hosted periodically by Wiscouncil members. AOTA has
a vacant therapy numerous resources available to fieldwork educators and others at www.aota.org.
position. School-based fieldwork experiences allow students to learn by working with an
experienced therapist, practice newly acquired skills, and become familiar with
school-based therapy as a possible career choice. The responsibilities of the
fieldwork educator include planning the student’s experience, orienting the
student to school-based practice, supervising the student’s experience, and
evaluating the student’s performance. In exchange for training opportunities,
students enrich staff by sharing their enthusiasm and bringing knowledge of
current evidence, research, and therapy interventions.

Licensure Requirements
Student OTs and student OTAs do not need a license to participate in fieldwork
experiences. S.448.962 (1)(b), Wis. Stats. establishes that a license is not
required for “any person pursuing a supervised course of study, including
internship, leading to a degree or certificate in occupational therapy under an
accredited or approved educational program, if the person is designated by a title
which clearly indicates his or her status as a student or trainee.” A similar
statement in s.448.962(2)(b), Wis. Stats. applies to student OTAs.

Supervision of the Student Occupational Therapist and

Student Occupational Therapy Assistant
Occupational therapy fieldwork experiences in public schools may be at Level 1
or Level 2. The purpose of Level 1 f ieldwork is to introduce students to the
fieldwork experience and develop a basic comfort level and understanding of the
needs of children with disabilities in school. Level 1 fieldwork is not intended to
develop independent performance of the student OT or OTA, but to enrich class
work through directed observation and participation in selected aspects of the
occupational therapy process. The student OT and OTA should be supervised in
all aspects of the fieldwork experience with full knowledge of and responsibility
by the supervisor.

134 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
 Level 2 fieldwork prepares the student OT and OTA to assume the
responsibilities of an entry-level OT or OTA. The supervising OT should provide
supervision daily as an essential part of the fieldwork program. It should be
flexible in accordance with the interests, needs and abilities of the OT or OTA
student. Supervision should begin with direct supervision and gradually decrease
to less direct supervision as the student demonstrates competence with respect to
the setting and children’s conditions and needs. Supervision includes direct
observation of the interaction between the therapy student and the child, role
modeling, meetings with the student, review of student paperwork, consultation
and communication regarding the learning experience.

New Graduates
School districts may hire new graduates but must be aware of licensure and School districts may hire
supervision requirements. An OT or OTA may not practice in any setting in new graduates but must
Wisconsin without a temporary or permanent license from the DRL in his or her be aware of licensure
possession. An OT or OTA who is a graduate of an approved school and is and supervision
scheduled to take the national certification examination for OT or OTA, or has requirements.
taken the national certification examination and is awaiting results, may apply to
the OTACB in the DRL for a temporary license. Practice during the period of the
temporary license must be in consultation with an OT who endorses the activities
of the person holding the temporary license on at least a monthly basis. An OT or
OTA with a temporary license may practice at no more than two separate
employment locations. A temporary license expires on the date the applicant is
notified that he or she has failed the national certification examination, the date
the board grants or denies an applicant permanent licensure, or the first day of the
next regularly scheduled national certification examination for permanent
licensure if the applicant is required to take, but failed to apply for, the
examination. The OT or OTA with a temporary DRL license may apply for a
one-year license from the DPI to work in schools. DPI changes the one year
license to a five-year license when the OT or OTA receives the regular DRL
license.

Student Physical Therapists and

Student Physical Therapist Assistants
School-based PTs may accept student PTs and student PTAs for clinical
affiliations or training sessions. The Wisconsin Clinical Education Consortium
(WCEC) offers basic clinical instructor workshops and credentialing workshops
that school-based PTs may attend. School-based clinical affiliations allow
students to learn by working with an experienced therapist, practice newly
acquired skills, and become familiar with school-based therapy as a possible
career choice. The responsibilities of the clinical PT instructor include planning
the student’s experience, orienting the student to school-based practice,
supervising the student’s experience, and evaluating the student’s performance.
In exchange for training opportunities, students enrich staff by sharing their
enthusiasm and bringing knowledge of current evidence, research, and therapy
interventions.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 135
 Licensure Requirements
Student PTs and student PTAs do n ot need a license to participate in clinical
affiliations or training sessions. The Physical Therapy Practice Act at
s.448.52(1m)(c), Wis. Stats. states that a l icense is not required for “a p hysical
therapy student assisting a physical therapist in the practice of physical therapy or
a physical therapist assistant student assisting a physical therapist in performing
physical therapy procedures and related tasks, if the assistance is within the scope
of the student’s education or training.”

Supervision of the Student Physical Therapist and

Student Physical Therapist Assistant
There are two requirements of the school-based PT when supervising student
PTs. First, the PT must be present physically and immediately available for
direction and supervision during the student’s interaction with the child. Second,
the PT must interact with the child within a 24-hour period each time the student
PT provides services to the child. The PT could be in the same room, in the near
vicinity, or on a different floor of the school building as long as the PT is
immediately available for the student if needed. Being available by
telecommunication does not meet the requirement.
The school-based, These same two requirements apply to the supervision of the student PTA
licensed PT must provide whether the PT is supervising the student PTA alone or in conjunction with a
direct, immediate, and school-based PTA. Again, the PT must interact with the child within a 24-hour
on-premises supervision period each time the student PTA provides services to the child and the PT must
of a PT or a PTA with a be present physically and immediately available for direction and supervision.
one-year DPI license and When the school-based PTA in conjunction with the PT supervises the student
temporary DRL license. PTA, the PT must be on the premises. If the PT is not on t he premises, the
student PTA can observe the PTA but cannot provide any intervention. The PT
must co-sign or authenticate all student PTA documentation.

New Graduates
School districts may hire new graduates but need to be aware of licensure and
supervision requirements. A PT or PTA who is a graduate of an approved
physical therapy or PTA program may apply to the Physical Therapist Examining
Board (PTEB) in the DRL for a temporary license. The duration of a temporary
license is three months or until the holder receives examination results,
whichever is shorter. A PT or PTA may renew a temporary license for a period of
three months, and may renew it a second time for a period of three months for
reasons of hardship. So, PTs and PTAs may practice under a temporary license
for not more than a total of nine months. The PT or PTA with a temporary DRL
license may apply for a one-year license from the DPI to work in schools. DPI
changes the one-year license to a five-year license when the PT or PTA receives
the regular DRL license. If the PT or PTA fails the licensing examination, the PT
or PTA no longer can work in schools as a provider of physical therapy.
The school-based, licensed PT must provide direct, immediate, and on-
premises supervision of a PT or a PTA with a one-year DPI license and
temporary DRL license, including authenticating documentation.

136 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
References
American Physical Therapy Association. 1999. Guide to Physical Therapist
Practice, Second Edition. Alexandria, VA: American Physical Therapy
Association. Chapter 1, Appendix 2, 4, 5, 7.

Coster, W., T. Deeney, J. Haltiwanger, and S. Haley. 1998. School Function

Assessment. . San Antonio, TX: Pearson.

McEwen, Irene. 2009. Providing Physical Therapy Services Under Parts B & C
of the IDEA. Second Edition. Alexandria, VA: Section on Pediatrics, American
Physical Therapy Association.

Wisconsin Department of Regulation and Licensing. “Occupational Therapy

Assistant.” http://drl.wi.gov/profession.asp?profid=29&locid=0 (accessed August
18, 2010).

___. “Physical Therapist Assistant.”

http://drl.wi.gov/profession.asp?profid=38&locid=0 (accessed August 18, 2010).

Other Resources
American Physical Therapy Association. 2000. “Procedural Interventions
Exclusively Performed By Physical Therapists.” American Physical Therapy
Association Position Paper (HOD P06-00-30-36).

___. 2000. “Provision of Physical Therapy Interventions and Related Tasks.”

American Physical Therapy Association Position Paper (HOD-P06-00-17-28).

___. 2005. “Direction and Supervision of the Physical Therapist Assistant.”

American Physical Therapy Association Position Paper (HOD P06-05-18-26).

___. 2007. A Normative Model of Physical Therapist Assistant Professional

Education: Version 2007. Alexandra, AV: American Physical Therapy
Association.

Bezner, J. “Supervision and Best Practice.” December 2001. PT Magazine 9(12):

22–24. Alexandria, VA: American Physical Therapy Association.

Black, T. and K. Eberhardt. 2005. The Occupational Therapy Assistant.

Bethesda, MD: AOTA Press.

Rainforth, B. and J. York-Barr. 1997. Collaborative Teams for Students with

Severe Disabilities. 2nd ed. Baltimore: Paul H. Brookes.

Schuh, M. 2002. “Student Supervision: Legal, Ethical and Reimbursement

Considerations.” Wisconsin Clinical Education Consortium Clinical Education
Newsletter 1–2.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 137
 Steffes, L. and B. Winiecki. 2007. “Wisconsin Physical Therapy Practice Act and
Rules: Regarding Physical Therapy Assistants.” PT Connections. WPTA
Newsletter 37(1): 9–10.

“Student Physical Therapist Provision of Services.” 2000. American Physical

Therapy Association Position Paper (HOD P06-00-18-30).

“Supervision of Student Physical Therapist Assistants.” 2000. American Physical

Therapy Association Position Paper (HOD P06-00-19-31).

Tomczyk, K. November 2000. “Practice.” PT Connections. WPTA Newsletter

30(6): 5–7, 14.

Watts, N. T. 1971. “Task Analysis and Division of Responsibility in Physical

Therapy.” Physical Therapy 51: 23–35.

Wisconsin Department of Public Instruction. “Occupational Therapy.”

http://dpi.wi.gov/sped/occ_ther.html (accessed August 18, 2010).

___. “Physical Therapy.” http://dpi.wi.gov/sped/phy_ther.html (accessed August

18, 2010).

___. “Frequently Asked Questions about School Occupational Therapy and

School Physical Therapy.” 2008. http://dpi.wi.gov/sped/pdf/otpt-faq-
overview.pdf (accessed August 18, 2010).i

138 Supervision of Assistants and Other Personnel by Occupational and Physical Therapists
 7
Collaborative Service
Provision
Collaborative service provision strengthens the skills and effectiveness of team
members as they invest their time in learning about each other's roles and
analyzing how they can integrate multiple and varied intervention approaches.
This will increase the magnitude and effectiveness of intervention. (Rainforth
and York-Barr 1997) Because the educational process is a dynamic system that
involves the child and others who interact with the child, collaborative
intervention can create outcomes that are more useful for the child and valued by
all who are involved with the child.

Collaboration in School
for Children with Disabilities
The IEP team decides what services a child with a disability will receive. Hanft
and Place (1996) recommend that service and role decisions begin by identifying

• desired student outcomes, reflected in IEP goals.

• strategies that facilitate the outcomes.

• the necessary expertise to implement the strategies.

• the best method of service delivery.

An IEP team often determines that a special education teacher or teaching
team can implement strategies on a daily basis. When the teachers and student Current research
need the expertise of an occupational therapist (OT) or physical therapist (PT) to supports collaborative
help with designing or implementing strategies, the IEP team may suggest consultation over
collaborative consultation. In collaborative consultation, the child’s teachers and expert consultation.
therapists work together to identify daily needs and develop and implement
strategies. This differs from expert consultation, in which the specialist
independently evaluates needs, develops interventions, and provides one-on-one
intervention or makes recommendations to staff. Current research supports
collaborative consultation over expert consultation. Whether or not an OT or PT
works directly with a child, collaborative consultation in which the teacher and
therapist act as co-equals should be part of the child’s therapy.

Integrated Therapy
Collaborative consultation lends itself to implementing educationally relevant,
functional activities so that the child practices newly acquired skills during
naturally occurring routines and environments. Known as integrated therapy, it is
coordinated within the routines of the special education or regular education
classroom. Integrated therapy allows the PT to incorporate opportunities for the

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 139
 student to practice newly acquired movement in daily school activities and
routines. With these embedded interventions, the student is afforded multiple
opportunities to practice motor skills in purposeful ways. Integrated therapy
allows the OT to establish or restore a child's performance skills or patterns when
and where they are needed, and to help the child develop strategies for daily task
or activity performance. With integrated therapy the child

• practices and learns skills in the place he will use them.

• practices skills in naturally occurring routines.

• has increased practice opportunities.

• has increased opportunities for social relationships.

• engages in regular classroom routines.

The student is afforded • does not miss out on classroom activities.

multiple opportunities
In addition to these advantages for the child, the intervention team benefits from
to practice skills in
integrated therapy in the following ways.
purposeful ways.
• Therapists can see w hether or not the strategies are working in the
classroom.

• Teachers and therapists focus on skills that are immediately useful for the
child.

• Teachers can build their capacities and skills based on what works for
children.

• Therapists and teachers can work together to address problems as they

arise. (McWilliam 2010)

Location, the focus of the above lists, is only one of several characteristics of
integrated therapy. Other factors include the presence of peers, the frequency of
activities, transitions between activities, the functionality of skills, and
opportunities for collaborative consultation.
Some strategies that the teacher and therapist design may not require the
therapist's expertise, so the teacher or other staff person may provide them. This
model of service delivery is indirect, because the therapist’s knowledge and skills
benefit the child without direct interaction. When the therapist's expertise is
required to safely and effectively provide an intervention, the therapist provides
the intervention. This is a clinical decision that the PT makes about physical
therapy interventions, and the OT makes about occupational therapy
interventions. Interventions of this type may require an understanding of human
anatomy, physiology, biomechanics or neurology that a teacher or parapro-
fessional would not be expected to have. This model of service delivery is direct.
Individual direct service occurs when the therapist works with a child, one-on-

140 Collaborative Service Provision

one. The PTA and OTA, under the supervision of the respective therapist, may
also provide direct service. Many parents will assume that occupational therapy
and physical therapy are always direct and one-on-one. Although not required by
law, writing on the IEP whether service is direct or indirect clarifies the service
for parents. Direct service may or may not be integrated into the child’s typical
routines and environments.
Based on the experience of school-based therapists and action research
projects in the state, direct service by the therapist within the classroom is easiest
to do in preschool and early elementary grades. At higher grade levels, physical
education class may be an appropriate context for direct service by the therapist.
Physical therapy or occupational therapy may help the child benefit from
integrated practice of movement components such as strength, flexibility, speed,
adaptability, endurance, eye-hand coordination, or motor planning in the gym, At higher grade levels,
pool, or weight room as part of the physical education curriculum. Community physical education
activities, independent living skills or work experiences that are part of a youth’s class may be an
transition services may include direct services by a therapist to build physical appropriate context for
capacity, adapt to new environments or learn new skills. Through collaborative direct service by the
consultation, the therapist and teachers can develop strategies for students to therapist.
practice new learning in a meaningful way as part of the transition activities and
real-life experiences.
Sometimes the IEP team may decide that direct intervention by the therapist
in a se parate setting is the best way for the child to achieve desired outcomes.
Selection of the setting depends on many factors, including the

• need for the child to have privacy.

• distractibility of the child.

• activity or skill involved.

• child's level of learning in a particular skill.

• child's learning style.

• potential for disruption of other students.

Studies have found that school-based PTs and OTs recommended a combination
of integrated and isolated services, supporting the value of both approaches.
(Kaminker 2006; Rainforth and York-Barr 1997) The varieties of models and
teacher involvement in Figure 24 on the following page serve as a tool for
therapists to identify the models of service delivery they typically use and
consider if integrating services to a g reater degree would be appropriate for a
child.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 141
 Figure 24 Continuum of Service Delivery Models

Model Location Therapy Focus Peers Teacher’s Role

Individual Pull- Anywhere Directly on Not present Provide information
Out apart from the child before therapy and
regular class functioning receive information
after therapy
Small Group Anywhere Directly on One to six Provide and receive
Pull-Out apart from the functioning by peers present information before &
regular class children with after therapy, decide
special needs schedule with
therapist & which
peers will participate
One-on-one in Classroom, Directly on Present but Conduct activities,
Classroom often apart child not involved play with other
from other functioning in therapy children, keep
children children from
disrupting therapy;
rarely, watch therapy
session, provide and
receive information
after therapy
Group Activity Classroom; On all children All or some When small group,
in Classroom small or large in group and on children in conduct activities and
The varieties of models
group peer group have play with other
and teacher interactions, special needs children; if possible,
involvement serves as a emphasis on watch or participate in
meeting special therapist’s group.
tool for therapists to needs of When large group,
identify the models of children watch or participate in
group activity and
service delivery they participate in planning
typically use. large and possibly
small group activity
Individual Classroom, Directly but not Usually Plan and conduct
During wherever exclusively on present activity including
Routines focal child is the focal child focal child, observe
therapist’s
interactions with
child, provide
information before
therapy, exchange
information with
therapist after routine
Collaborative In or out of Teacher, as Present if Exchange information
Consultation classroom related to the occurring in and expertise with
needs of the class; not therapist, help plan
child; can vary present if future therapy
from expert to occurring out sessions, give and
collegial model of class receive feedback,
foster partnership with
therapist

From McWilliam, R. A. 1995. “Integration of therapy and consultative special education: A

continuum in early intervention.” Infants and Young Children, 7(4), 29-38. Reprinted with
permission.

142 Collaborative Service Provision

Assistive Technology
Another way that school OTs and school PTs collaborate with other school
personnel may be through providing an assistive technology service. The IEP
team considers whether or not the student requires assistive technology devices
and services. The district ensures that assistive technology devices or assistive
technology services are made available to a child with a disability if required as
part of special education, related services, or supplementary aids and services.
The term assistive technology service refers to any service that directly assists a
child with a disability in the selection, acquisition, or use of an assistive
technology device. (34 CFR s. 300.6) Assistive technology service includes

• evaluating the needs of a child with a disability, including a functional

evaluation of the child in his or her customary environment.

• purchasing, leasing, or otherwise providing for the acquisition of assistive

technology devices for children with disabilities.

• selecting, designing, fitting, customizing, adapting, applying, maintaining,

repairing, or replacing assistive technology devices.

• coordinating and using other therapies, interventions, or services with

assistive technology devices, such as those associated with existing
education and rehabilitation plans and programs.

• training or technical assistance for a child with a disability, or, if

appropriate, that child’s family.

• training or technical assistance for professionals (including individuals Therapists often

providing education and rehabilitation services), employers, or other participate in
evaluating a child’s
individuals who provide services to, employ, or are otherwise substantially
need for assistive
involved in the major life functions of that child.
technology.
OTs often participate in evaluating a ch ild’s need for assistive technology.
An OT who performs any part of such an assessment specific to an individual
child must do s o through the IEP team process unless the child is currently
receiving occupational therapy. The OT will use the results of the evaluation as
the basis for the selection and modification of devices, as well as training of the
child and others in the use of the devices. Occupational therapy roles that do not
involve assessment or recommendations for a specific child, such as assessing the
building, providing general information about devices and services, or facilitating
group decision-making do not require an IEP team evaluation or reevaluation
process.
PTs have a role in determining the need for and the selection of many types
of assistive devices. These professionals also train others in the use of assistive
technology devices. A PT who performs any part of such an assessment specific
to an individual child must do so through the IEP team process unless the child is
currently receiving physical therapy.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 143
 An erroneous assumption is that assistive technology refers only to
computers or augmentative communication systems. Specialized devices for
feeding, dressing, toileting, enhancing mobility, transferring, maintaining and
changing position in the classroom, cooking, holding books, and writing are
examples of the many assistive technology devices that children with disabilities
may need in school. The online database known as AbleData (National Institute
on Disability and Rehabilitation Research, U.S. Dept. of Education) provides a
reference for over 36,000 product listings in 20 categories.

Equipment Use by Other School Staff

Recent complaints investigated by DPI regarding a positioning chair, stander, and
weighted blanket highlight the need for the IEP team to consider the safety of
individual students and issues of restraint when including assistive technology
devices on a student’s IEP. In order to ensure that assistive technology, adaptive
Adaptive equipment,
equipment or other therapeutic equipment is not considered a mechanical
belts, and fasteners are
restraint, a health care provider (PT, OT, or physician) recommends or prescribes
for postural support
the device for a specific child and the child’s IEP team makes the decision for its
and stability and are
use. Adaptive equipment, belts, and fasteners are for postural support and
not to be used for
stability and are not to be used for behavior management. Instead, a functional
behavior management.
behavioral assessment (FBA) and a p ositive behavioral intervention plan (BIP)
are ways school staff address a student’s behavioral needs. For detailed
information, see DPI Directives for the Use of Seclusion and Physical Restraint
in Special Education Programs at http://dpi.wi.gov/sped/sbseclusion.html.

Assistive Technology Policies and Procedures

While the IEP team focuses on the assistive technology needs of the individual
student, the district needs a written policy and procedures for the overall general
use of equipment. Appendix E includes a sample district policy. (Kutschera
2009) Some districts develop guidelines for use of specific equipment such as
Guidelines for the Use of Weighted Blankets and Vests in Appendix E. District
policy

• includes documentation of equipment procedures for individual students.

• addresses the ongoing training plan for teachers and staff members.
• identifies the population to be served, activities that will be supported, and
settings in which equipment will be used.
• outlines the administrative approval process.
• identifies storage areas.
• establishes a maintenance schedule.
• ensures equipment use in accordance with manufacturer’s specifications.
• requires a co py of the manufacturer’s specifications attached to the
equipment so it is not lost or misplaced. (Darragh and Hussey 2008)

144 Collaborative Service Provision

A picture of the student in the equipment verifies its use according to
manufacturer’s specifications and serves as a r eference for staff. Sample forms
for trial equipment, equipment usage, monthly equipment check, and logging use
and response are in Appendix E.

Safe Handling and Lifting Technology

In addition to the safety of students when they are lifted or repositioned, districts
consider the safety of staff when moving and positioning students. Neither the
DPI nor the Wisconsin Department of Workforce Development has rules,
policies, or guidelines on weight restrictions for lifting students or for
determining when a lifting device is necessary. New research on worker injuries
provides data for instructing staff on how to assist students with disabilities with
transfers, gait, and repositioning. In industry, lifting a load of greater than 50 Ergonomic variables
pounds is considered a risk for injury. Due to the different characteristics of are the size of the
lifting and moving people, lifting a person who weighs more than 35 pounds is student, level of
considered a risk factor for injury. Ergonomic variables to consider when lifting assistance required,
students are the size of the student, level of assistance required, purpose, purpose, frequency,
frequency, location, and the student’s own unpredictable movement while being location, and the
lifted. student’s own
District policies and procedures, staff position descriptions, or union- unpredictable
management agreements may address the amount of weight that staff may lift movement while being
when moving or transferring students. Collaborative development of a local lifted.
lifting policy protects staff from injury that occurs from cumulative trauma and
overexertion. Purposes of safe handling methods are to

• achieve goals with less risk and less physical effort of all staff.

• increase availability of teachers to focus on education rather than physical

support.

• increase availability of the therapist to focus on therapeutic interventions.

The trend in many health care facilities is for staff to use a mechanical lifting
device. Mechanical lifts can be electric or hydraulic, have sling supports, and
have a mobile base or track system. Some equipment that is available for
positioning or mobility includes gait trainers, body weight support devices,
standers, and sit-to-stand devices. Friction reducing devices are available to help
with transfers. The Occupational Safety and Health Administration (OSHA 2009)
provides algorithms that assist in decision-making regarding lifting, positioning,
and transferring individuals.

Safe Transportation
A student‘s specific transportation plan may be part of the student’s IEP or in a
separate individualized health plan (IHP). An IHP is more readily revised to meet
changing circumstances and needs. The therapist collaborates with other school
personnel, the student’s family and the student in the development of a safe
transportation plan by recommending equipment, providing personnel training,

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 145
 and advising on procedures for picking up and dropping off the student. If the
student can be transferred safely from the wheelchair and positioned on the bus
seat or requires a ca r seat, the therapist recommends specific modifications for
bus seating or may instruct staff in positioning, transfer techniques, and use of
equipment. A trial run of the equipment and route helps make sure that the plan
provides for safe transportation. It also allows students and staff to become
familiar with the procedures and ask questions or share concerns. The American
Academy of Pediatrics (2010) provides a resource, Car Safety Seats: A Guide for
Families, which offers information on height and weight limits for car seats and
travel vests. The American Academy of Pediatrics (2008) also provides a policy
as part of School Bus Transportation of Children with Special Health Care
Needs.
When the student will be transported in a wheelchair on a bus or van, the
wheelchair must be secured and the occupant wears a seatbelt. Wheelchairs and
strollers are not designed as motor vehicle seats and an unsecured wheelchair is a
danger to the occupant and other students. The IEP team considers wheelchair tie
down and occupant restraint system (WTORS). The WTORS secures the
wheelchair and provides the student with a properly designed and tested seatbelt
system. Figure 25 on the next page provides guidelines for safe transportation of
students in wheelchairs.
The Wisconsin Department of Transportation administrative rules specify
transportation of school children. Power lifts or ramps, wheelchair fasteners, and
seats and restraints are found at Chapter Trans 300.76-78, Wis. Admin Code.

Like a student Emergency Evacuation

transportation plan, A student’s emergency evacuation plan provides for the student’s safe exit from a
an emergency building. The therapist participates in development of the plan, the selection of
evacuation plan is mechanical devices, positioning strategies, and handling techniques. Lifting and
carrying the student may seem expedient but the team should consider possible
part of a student’s
injury to the student or staff, as well as the student's self-esteem, dignity, and
IEP or separate
independence. An alternative for the team to discuss is the use of a s pecial
individualized health
evacuation chair. The Fire Department may designate a r escue area that is
plan.
identified with an emergency sign. In an emergency, the student proceeds or is
moved to the designated area or room with a staff person to await rescue.
The team also considers safe evacuation of the student from a school bus or
van in case an emergency occurs during transportation. The evacuation plan
includes safe handling and movement of the student, identifies any additional
equipment needed, and provides for staff training.
Emergency evacuation of students with disabilities falls under emergency
nursing services. The Wisconsin Administrative Code requires each school
district to provide emergency nursing services under a written policy adopted and
implemented by the school board. Emergency evacuation procedures may be
found in the local school district policy. Like a student transportation plan, an
emergency evacuation plan is part of a student’s IEP or separate individualized
health plan (IHP). The district invites local emergency personnel from the fire
department, police, and EMS to be part of the planning process. (s.121.02(1) (g)
Wis. Stats., and PI 8.01(g),Wis. Admin Code)

146 Collaborative Service Provision

Figure 25 Guidelines for Safe Transportation

For safe transportation of students in motor vehicles, The Rehabilitation

Engineering Research Center on Wheelchair Transportation Safety recom-
mends the following:
• Start with the right equipment. Use a Wheelchair Tiedown and
Occupant Restraint System (WTORS) that has been crash tested and
The therapist
labeled as complying with SAE J2249, a voluntary standard developed recommends specific
by safety and rehabilitation experts. The wheelchair should be designed modifications for bus
and tested for use as a seat in motor vehicles, often referred to as a seating or may instruct
WC19 wheelchair. These wheelchairs comply with ANSI/RESNA staff in positioning,
WC19, a voluntary standard developed by safety and rehabilitation transfer techniques,
experts. A WC19 wheelchair has four, crash-tested securement points and use of equipment.
where tiedown straps and hooks can be easily attached. These points are
clearly marked with a hook symbol.

• Secure the wheelchair. Always position the wheelchair and rider facing
forward. Attach the four tiedown straps to the securement points
provided on the wheelchair. Tighten the straps to remove all slack. Do
not attach tiedowns to adjustable, moving, or removable parts of the
wheelchair such as armrests, footrests, and wheels. Remove the
wheelchair lap tray and store securely in another area.

• Protect the student. To protect the student during a crash or sudden

braking, provide the student with a crash-tested lap and shoulder belt or
with a child restraint harness. The lap belt should be placed low across
the front of the pelvis near the upper thigh, not high over the abdomen.
The lap belt should be angled between 45º and 75º to the horizontal.
The diagonal shoulder belt should cross the middle of the shoulder and
the center of the chest and should connect to the lap belt near the hip of
the wheelchair rider. Postural support belts attached to the wheelchair
are not strong enough to withstand the force of a crash and are not
positioned correctly to restrain the student in a crash.

The WC19 website http://www.rercwts.org/RERC_WTS2_KT/RERC_WTS2_KT_

Stand/RERC_WTS2_19_Chart.html provides an up-to-date list of wheelchairs and
seating systems successfully crash tested with 4-point strap-type securement as of
July 27, 2009.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 147
 Collaboration in Birth to 3 and Early Childhood
Infants and toddlers may receive occupational therapy or physical therapy in
Birth to 3 programs. This program, unique for both its age range and philosophy,
is in Part C of the Individuals with Disabilities Education Act. It requires states to
provide special education and related services to
infants and toddlers with disabilities....from birth through age two, who
need early intervention services because they (1) are experiencing
developmental delays, as measured by appropriate diagnostic
instruments and procedures in one or more of the following areas:
cognitive development; physical development, including vision and
hearing; language and speech development; psychosocial development;
or self-help skills, or (2) have a diagnosed physical or mental condition
which has a high probability of resulting in a developmental delay.
(34 CFR 303)
In Wisconsin, the designated lead agency for the provision of services for
children in Birth to 3 programs is the Wisconsin Department of Health Services
(DHS). The state agency responsible for special education and related services
for children three to twenty-one years old is the Wisconsin Department of Public
Instruction (DPI). DHS and DPI have policies and procedures in place for
smooth and effective transitions from Birth to 3 to early childhood services. A
child’s IEP must be in effect no later than the child’s third birthday. The district
is required to participate in the Transition Planning conference. With the parent’s
request and consent, the district must invite the Birth to 3 service coordinator to
the initial IEP team meeting. Figure 26 on page 152 illustrates the transition
timeline of young children from Birth to 3 (Part C) to early childhood special
Occupational therapy
education (Part B).
and physical therapy
Wisconsin authorizes a co llaborative evaluation process for young children
provided in a Birth to 3
with disabilities. A school district or other local educational agency (LEA) may
program are
enter into an agreement with a county Birth to 3 administrative lead agency to
significantly different
allow school employees to participate in evaluations and development of
from school-based
Individualized Family Service Plans for Birth to 3 intervention. The two agencies
occupational therapy
may also enter into an agreement to allow Birth to 3, Head Start, or tribal school
and physical therapy.
personnel to serve as m embers of the IEP team and participate in the
development of the IEP for early childhood (ages 3 through 5) services (s.115.85
(5) Wis. Stats.) When service providers suspect a child in a Birth to 3 program
may need special education in school, they should refer the child for an IEP team
evaluation by the age of two years nine months. Coordination between the two
programs can begin well before this time.
The same criteria for receiving occupational therapy or physical therapy
apply to young children three to five years of age who receive early childhood
special education as any other child with an identified educational disability: it is
required to assist a child to benefit from special education. It is important,
however, to note that occupational therapy and physical therapy provided in a
Birth to 3 pr ogram are significantly different from school-based occupational
therapy and physical therapy. In a Birth to 3 program, occupational therapy and

148 Collaborative Service Provision

physical therapy may be primary service options, depending on the needs of the
child and the family. In the school, occupational therapy and physical therapy are
related services, provided only when needed to help a child benefit from special
education. The criteria are markedly different.
Therapists can take an active role in clarifying for parents how the role of
therapy may change as a ch ild makes the transition from the Birth to 3 services
into early childhood services. Parents may develop the perception that
maintaining a particular amount or type of therapy is the key component in a
child's development. It is easy to see how this can happen during the early years
of family-centered therapy when, by law and by definition, occupational therapy
and physical therapy may be the child's only intervention. Communication
among educators, school therapists and Birth to 3 service providers, as well as
parents, is essential for a successful transition.
Wisconsin was a part of The National Individualizing Preschool Inclusion
Project and continues to promote the continuum of placement options. Placement
in natural environments includes three critical components: functional
intervention planning, integrated therapy, and embedded intervention. Functional
intervention planning is carried out principally through a routines-based
assessment, featuring an interview of the family and the teaching staff. Integrated
therapy consists of specialists using models we have labeled individualized
within routines and group activity to provide special education and related
services. Embedded intervention involves the use of proven instructional Children with disabilities
principles, especially incidental teaching, in the context of developmentally whose parents have
appropriate activities. This model is grounded in evidence. As Birth to 3 a nd enrolled them in private
early childhood programs incorporate these components into service delivery, the schools have no
transition from one program to the other may be less disruptive for parents and individual entitlement to
children. receive some or all of the
services they would
Collaboration in Private School receive if enrolled in a
Children with disabilities whose parents have enrolled them in private schools
public school.
have no individual entitlement to receive some or all of the special education and
related services they would receive if enrolled in a p ublic school, with the
exception of child find, which includes evaluations. After initially evaluating a
student and determining the student is eligible for special education, the district
where the private school is located should explain to the parents what services
are available if the student remains in the private school. If the student remains in
the private school and will receive services from the school district, the district
develops a services plan for the student.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 149
 Collaborative Service Provision
IDEA Part C to Part B Transition:
Wisconsin Policy
2 2 yrs 2 yrs 3
Years 3 mos 9 mos Years
Entered Transition LEA Potentially Transition LEA Evaluation Eligibility IEP IEP IEP Implemented
WI Process Notification - eligible Planning Notification - Process Determination Meeting Developed
Early Discussed Shortly reach 3 determination Conference REFERRAL
Intervention (TPC)
System
• TPCs and referrals occur only for • The IEP team must meet to determine
potentially eligible children that did not eligibility within 60 calendar days from the
B-3 shares opt-out. receipt of parental consent for additional
• Parent period to opt-out of
information with • The TPC occurs when the child is testing or notice that no additional data are
LEA Notifications expires.
the parent on between the ages of 2 years, 3 months needed.
• B-3 sends information to
LEA and 2 years, 9 months. • The IEP team must develop the IEP
the LEA about all children
Notification, opt- • B-3 documents the day that they invite (determine services), and determine
it served that did not opt-
out, and TPC. the LEA to the TPC and the LEA placement within 30 calendar days of the
out (child’s name, date of
birth, parent contact documents their own attendance. eligibility determination.
Figure 26 Birth to 3 Early Childhood Transition

information). • Using PPS, B-3 makes the referral at • These decisions can occur in the same or
• The LEA uses this least 90 days prior to the child’s third separate meetings.
information for child find birthday. • If the parent declines special education
purposes and sends the • LEA processes the referral within 15 services; the LEA provides information
parents an introductory business days, and asks the parent for about how to make a referral in the future.
letter. consent to invite B-3 to the initial IEP.
• This notification is NOT a • The IEP is implemented if:
referral for Part B services. • The IEP team reviews any 1. The IEP is developed and the
information provided by the services in place by the child’s third
• B-3 discusses the parent or through the B-3 birthday; or
transition process referral. 2. The child’s third birthday fell on a
with the parent and • If the IFSP team determines the child is • The LEA provides notice that day when school was not in session and
may add transition potentially eligible for Part B services, B-3 no additional information is the IEP does not include Extended
steps to the IFSP. schedules a TPC and makes a referral to the needed or requests parental School Year (ESY) services and the
• B-3 provides LEA unless the parent has opted-out. consent to proceed with child will begin IEP services once the
information about • If the IFSP team determines the child is not additional evaluation. school year resumes.
Part B services. potentially eligible for Part B, B-3 sends • If the parent declines consent • LEA completes PPS LEA information
• If parent opts out, DHS form F-0043 to the LEA unless the to evaluate, the LEA provides page on or before child’s third birthday.
B-3 documents this parent has opted-out. information about how to make
in the child’s file. a referral in the future.

150
The district decides what special education services and related services it will
provide to parentally placed private school students with disabilities by
consulting in a t imely and meaningful way with private school representatives
and parents of parentally placed private school students with disabilities. If
occupational therapy or physical therapy is a service that a district will provide,
the services plan for a student may include occupational therapy or physical
therapy. IDEA regulations permit a district to provide for the participation of a
private school student in any of the district’s special education services.
Therefore, the district may provide occupational therapy or physical therapy to
the student without providing special education. The therapist may provide
services at a private school, including a religious school site.

Home School
Under Wisconsin law, a home-based private educational program (home school)
is not a private school. Therefore, the IDEA requirements relating to parentally
placed private school students do not apply to children in home school. School
districts do not have an obligation to provide special education and related
services to children with disabilities enrolled in home school. This includes IDEA requirements
school-based occupational therapy or physical therapy. However, neither federal relating to parentally
nor state law prohibits districts from providing special education and related placed private school
services to children with disabilities enrolled in home-based private educational students do not apply
programs. School districts are permitted to provide any special education and to children in home
related services to these children that they deem appropriate. If a public school school.
district chooses to provide these services, the costs are not aided by the DPI
under federal or state categorical aids. IDEA requires public school districts to
identify and evaluate all children in the district who may have a disability. If the
parents of a child in a home-based private educational program suspect that their
child may have a disability, they can refer the child for an evaluation at the public
school. The district will then perform a publicly funded evaluation of the child
and, if found to be a child with a disability, offer the child a placement to meet
the child’s educational needs. If this child is found to have a disability, the
district must offer a placement that would provide the child a free appropriate
public education (FAPE). Generally, this placement means the child would be
enrolled in a public school.

Virtual Collaboration
Telehealth is the use of electronic information and telecommunications tech-
nologies to support long-distance clinical health care, patient and professional
health-related education, public health and health administration. Technologies
used in telehealth typically are: videoconferencing, the Internet, store-and-
forward imaging, streaming media, and wired and wireless communications.
While new applications are increasingly found for using these technologies,
significant barriers remain to making these technologies an integral part of daily
health care practice. (Health Resources and Services Administration, 2010)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 151
 The term telerehabilitation, on the other hand, means the “clinical application
of consultative, prevent[ive], diagnostic and therapeutic therapy via two-way
interactive audiovisual linkage.” (Scheideman-Miller 2004, 241) It is the real
time interaction that separates telerehabilitation from telehealth. Telerehabilita-
tion includes occupational therapy, physical therapy, speech–language pathology,
and biomedical engineering services, among others, and covers a broad array of
rehabilitation activities, including patient assessment, therapeutic intervention,
progress monitoring, education, and training. (Russell 2007)
DPI does not endorse specific service delivery models or practices. Districts
are required to provide FAPE in the least restrictive environment (LRE) to all
children enrolled in special education in the district. On a case-by-case basis, as
part of the individualized education program (IEP) team process, the IEP team
determines the special education services (including service delivery) and
placement needed by each child with a disability to receive FAPE. Children with
disabilities have the right to be educated to the maximum extent appropriate in
the LRE with children who do not have disabilities. IEP teams must consider a
continuum of options to meet each individual child’s needs. If a parent does not
believe the LEA is providing FAPE for their child, they can invoke their due
process rights and DPI and/or a court would consider the applicable facts and
make conclusions.
The virtual provision of therapies and other health services has broad
implications and that have not yet been resolved from educational, legal, ethical
and other licensing-related perspectives.

Collaboration in School for

Children without Disabilities
School-based OTs and PTs may have roles in the school setting outside of the
special education spectrum. These roles are at the universal level, such as team
School-based teaching and providing professional development. The Occupational Therapy
occupational therapists Practice Framework identifies five categories of intervention (AOTA 2008), one
and physical therapists of which is to create or promote. Depending on the job description, this approach
may have roles in the may be an incidental or optional category of occupational therapy intervention in
school setting at the schools, as it is not specific to individuals with disabilities. An OT may provide
universal level, such as services that are likely to improve occupational performance for all students in a
team teaching and school. In educational terminology, this approach is often called a universal
providing professional intervention. Examples include consulting on a n ergonomic seating plan,
development. contributing to the design of a playground, developing a b ackpack awareness
program, mentoring teachers in a cognitive-sensory program for self-regulation,
and assisting in the development of a schoolwide handwriting curriculum. Hanft
and Shepherd (2008) call this approach system support and describe it as “an
opportunity to apply one’s professional wisdom and experience to develop
programs and policies to build the capacity of a school district and its education
teams.”

152 Collaborative Service Provision

 Similarly, a school PT may provide services at the universal level. The PT
may also consult on ergonomic seating, help develop backpack programs, and
contribute to playground design. In addition, the PT may provide prevention,
fitness, and wellness activities as p art of universally designed programs for all
students. The PT may collaborate with the physical education instructor to adapt
the gym environment, equipment, or curriculum so that students with varying
levels of strength, stamina, and endurance are able to participate in wellness and
fitness activities.

Response to Intervention (RtI)

School district personnel frequently request the participation of OTs and PTs on
general education student assistance teams, or RtI processes for children not
identified with disabilities. Part of the widespread confusion about Response to
Intervention (RtI) is that the term is being used to describe a co mprehensive,
systematic process that is more correctly called Coordinated Early Intervening
Services or CEIS. CEIS is general education. DPI's long standing interpretation
of state law regarding licensure and funding is that a person holding a special
education license may not provide primary instruction, including CEIS, to This perspective of
children who have not been identified as having a disability. Special education providing universal
teachers may provide support to general education teachers in the form of team support with school
teaching, coaching, mentoring, support to regular education teams and and teachers as client
professional development. This perspective of providing universal support with is also recommended
school and teachers as client is also recommended for OT and PT roles in CEIS. for occupational
A therapist observing a child in the classroom or participating in student therapists and physical
assistance teams and offering intervention strategies for an individual child is not therapists.
RtI.
RtI is defined by Batsche et al. (2005) as the practice of (1) providing high-
quality instruction/intervention matched to student needs, and (2) using learning
rate over time and level of performance to make important education decisions.
RtI in IDEA is specifically tied to eligibility for the category of Specific Learning
Disability, although the concept is useful for all children. The idea of RtI is that
educators should measure objectively over time a ch ild's response to whatever
intervention is used to help him learn. This process is sometimes called progress
monitoring. When a general education teacher tries an intervention with a
student, she should take data on h ow it works so that she knows whether to
continue it or try something else. Special education teachers, OTs, and PTs
working with students who have IEPs should also base their continuation or
discontinuation of an intervention on progress monitoring data about the child’s
response to the intervention.

Screening
Screening, as used in 30 CFR 300.302 and section 614(a)(1)(E) of IDEA refers to
a process that a teacher or specialist uses to determine appropriate instructional
strategies. Screening is typically a relatively simple and quick process that can be
used with groups of children. The term, instructional strategies for curriculum
implementation is generally used to refer to strategies a teacher may use to teach

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 153
 children more effectively. (Federal Register 2006) Screening is an activity that
includes all children in a school, grade or class. Other examples include pre-
kindergarten screening, vision screening and hearing screening. Typically, public
notice is given offering the screening to the target group. Prior written notice and
informed parental consent are not required. OTs and PTs may collaborate with
teachers to provide a universal screening to a population of children, such as all
preschoolers being screened for kindergarten.
When teachers or other school personnel ask an OT or PT to screen an
individual child, they typically are asking the therapist

• to observe a child with an IEP to see if an occupational therapy or

physical therapy evaluation is needed.

• to observe a child without an IEP to see if occupational therapy or

physical therapy should be part of a special education evaluation.

If a child is suspected • to observe a child without an IEP in order to provide child-specific

to need occupational recommendations to the teacher.
therapy or physical OTs and PTs should not observe or screen an individual student who has not
therapy or both, the been referred for a special education evaluation that includes the respective
IEP team for that therapist on the IEP team. PI 11.24 (2) of the Wis. Admin Code reads,
child shall include an
If a child is suspected to need occupational therapy or physical
appropriate therapist.
therapy or both, the IEP team for that child shall include an
appropriate therapist.
An OT or PT who intentionally observes or screens a child without formally
being part of an IEP team evaluation is making a decision about the child’s need
for services, based on a limited evaluation. That decision belongs to the child's
IEP team, not the therapist alone. If teachers need help knowing what services to
recommend to the IEP team, or help in understanding the role of therapy, that
information may be provided to them in other ways such as those described later
in this chapter.
Since IDEA 1997 and again since IDEA 2004, DPI has advised that adding
occupational therapy or physical therapy to a student's IEP requires an initial
evaluation or reevaluation. Occupational therapy and physical therapy are
regulated not only by special education law, but also by state professional
practice acts and licensing standards. These requirements and standards apply to
all settings, including school-based practice. Because of these regulations, the
school district must initiate a reevaluation process, including notice of
reevaluation, review of existing information, decision on t esting, and parental
consent, if a child with an IEP is suspected to need occupational therapy or
physical therapy. They are unique in this respect; other services can be added at
an IEP meeting without going through reevaluation.
The parent of a child with an IEP is entitled to certain procedural safeguards
described in law. Creating a sp ecial consent form does not negate that
entitlement. Parents could claim that the school did not provide them with proper

154 Collaborative Service Provision

notices of reevaluation, or opportunities to participate in all meetings about their
children’s FAPE, or notices of options the school considered but rejected.

Serving Students Who Do Not Have IEPs

If a school district decides to provide occupational therapy or physical therapy
that is targeted to individual students outside of the IEP team or Section 504
processes, it should do so with a full understanding of its commitment. All
licensed occupational therapy practitioners in the state must follow the state
occupational therapy licensing and practice rules in the Wisconsin Administra-
tive code (OT 1 through 5). All licensed physical therapy practitioners in the state
must follow the state physical therapy licensing and practice rules in the
Wisconsin Administrative Code (PT 1 t hrough 9). Chapter PI 11, W is. Admin
Code makes it clear that the intent of allowing schools to provide occupational
therapy and physical therapy is to serve children with disabilities. If a sc hool
wants to provide targeted occupational therapy or physical therapy to children
outside of the IDEA or 504 processes, the school should consider

• licensure rules that require an evaluation that complies with standards of

practice prior to providing service.

• licensure rules that require physician referral except for children served
under IDEA and Section 504.

• parental informed consent for services to children.

By providing support at
• the possibility of an IDEA complaint that the district conducted an the universal level to
evaluation or made placement without the proper notices and procedures. teachers as the client,
therapists help build the
• the decision to provide therapy to children without IEPs who break bones,
capacity of general
have surgery, need rehabilitation or sensory integration or other clinical
educators to work with
services.
diverse student needs.
• limitations on the use of state categorical aid, federal flow-through funds,
and Medicaid funds for occupational therapy and physical therapy that are
not driven by IEPs.

Collaboration to Build the Capacity of Teachers

While the overall purpose of the sample checklists in chapter 3, Figures 6 and 7
is to help teachers make appropriate referrals, therapists can gather information
from a number of these to customize professional development for a specific
group of teachers. Examples are giving an in-service to elementary teachers on
teaching handwriting, offering classroom kits for simple accommodations, setting
up kindergarten sensory centers, developing movement activities for breaks
between academic tasks, and optimizing positioning. By providing support at the
universal level to teachers as the client, therapists help build the capacity of
general educators to work with diverse student needs. In addition to professional
development, therapists may also provide support to special education teachers

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 155
 and general education teachers in the form of team teaching, coaching, and
mentoring. If the therapist co-teaches a class with the general education teacher
and the teacher is present at all times, the therapist may lead the actual instruction
as long as she is working with an entire population and not singling out one or a
few students.

System Consultation
Educators often possess little information about physical therapy and
occupational therapy. Teachers and therapists are educated to assess and
emphasize different components of learning, child development, and behavior.
They use different terminology and employ different strategies and techniques.
Ideally, the principal arranges a short in-service on the roles of the OT and the PT
for school staff at the beginning of the school year. The in-service may occur in
conjunction with other training or as a separate program, but should include all
staff. This meeting includes
• the legal definitions that relate to school therapy.

• the difference between school therapy and clinical therapy.

• the differing roles of occupational therapy and physical therapy.
• the roles of the therapist and therapy assistant.
• the referral process (described in chapter 3).
Therapists may provide the information for the staff in writing, using
generally understood terms for later reference. This type of meeting will help to
dispel the perceived mystique of the role of the therapist. Once teachers
understand the process and benefits of therapy, their support and involvement
Topical in-services
will increase.
should include a verbal
When there are children within the building who are unable to assume and
and written explanation
maintain functional positions due to a disability and who need someone to
of common therapy
position them, it is important to provide this training as soon as possible to those
terms that are related to
responsible for therapeutic positioning, for the health and safety of both the child
the school setting.
and the staff. If children require significant assistance in feeding or toileting,
training in these areas should also take place early in the school year. Later in the
school year, a therapist could provide an in-service on positioning, handwriting,
or other subject of frequent consultation requests or referrals. Topical in-services
should include a verbal and written explanation of common therapy terms that
are related to the school setting.
System consultation also occurs when OTs or PTs assist a school district in
making systemwide changes. For instance, therapists may contribute to planning
playgrounds or other facilities that are accessible to children with disabilities.
They may help design kindergarten screening programs that general educators
conduct. System consultation uses the expertise and experience of the therapists
to benefit the entire building or district.

156 Collaborative Service Provision

Collaboration with Providers Outside
of School Environments
Parents, administrators, physicians, and third-party payers struggle to understand
the differences between school-based and community-based therapy and how
each offers unique services for a child. Knowing the framework in which these
two provider groups practice will help families, medical providers, and third-
party payers to coordinate services for children. School-based therapy is provided
to assist a child with a disability to benefit from special education and is provided
only if the child needs therapy to function in the educational setting. Intervention
may or may not be provided directly with the child present. Collaborating with
educational staff to modify the environment and school routines is always a part
of school therapy. School-based therapy is not an outpatient clinic therapy, so
interventions such as physical agents or electrotherapeutic modalities are
typically not provided. In contrast, the goal of community or clinic-based
services is to optimize the child’s functional performance in relation to needs in
home and community settings. Therapy usually occurs in a hospital,
rehabilitation facility, outpatient clinic, or the child's home and may involve a
greater array of services and modalities not ordinarily needed in a school setting.
The therapist typically works with the child individually. Therapy might include
post-surgical intervention, soft tissue mobilization, joint mobilization, self-care
training, or a specialty technique.
Sometimes the objectives of school-based therapy may be identical to the The objectives in
objectives of community-based therapy. The child may have educationally community-based
related needs that also occur in other environments. For instance, following therapy may be related,
surgery, a st udent with an orthopedic impairment may receive school-based unrelated or
physical therapy to enable the student to walk between classrooms and other complementary to the
locations in school. A clinical PT may do s imilar interventions with the same objectives in school-
child for strength, flexibility, endurance, speed, or accuracy of movement in the based therapy.
home or community environments.
Conversely, the objectives in the community-based therapy may be unrelated
or complementary to the objectives in school-based therapy. For example, a
young student with a learning disability may receive occupational therapy in
school to enable her to regulate responses to sensory aspects of the school
environment. A community-based OT may work with the same child at the
family's home in developing self-care routines and organizational strategies. The
interventions used in both settings may be similar or different. It is good practice,
and a requirement of some third-party payers, for the school-based therapist and
the community-based therapist to communicate and plan a child's therapy
together. Collaboration between the school and community therapists is essential
to coordinate the child’s therapy and prevent duplication of services.
Collaboration may take the form of phone calls, e-mails, participation in a
hospital staffing, or IEP meetings.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 157
 Collaboration with Parents
IDEA emphasizes that schools and parents have a shared responsibility in
educating students. The law grants certain rights to students and their parents that
schools must observe in the special education process: research shows that a
positive relationship among all partners is crucial to student success. It just
makes sense to establish effective two-way communication between parents and
school personnel, provide parents with accurate information about the IEP team
process and services, and place an emphasis on relationships with parents as
collaborative decision makers. Schools and educational staff must take the lead to
facilitate the involvement of families, recognizing that all families have strengths
and care about their child’s well-being.

Communication
When a child is referred for an IEP team evaluation, parents’ opinions and
observations are critical, and educators and therapists must respect and value
them. The inclusion of information from the child's parents in the evaluation data
helps to ensure that everyone has the same understanding of the child. Parents
often bring information from previous evaluations and interventions, as well as
knowledge of their child’s personality, preferences and accomplishments.
An exchange of information will most often take place during the IEP team
meeting. It is important that this is a true exchange among the parent, therapist,
It just makes sense to and teachers in order for the team members to design a program that will be of
establish effective two- real benefit to the child. Parents’ questions need to be answered in generally
way communication understandable terms, so that they will continue to be comfortable asking
between parents and questions during the school years.
school personnel. Sometimes parents come to the IEP team meeting with a firm idea of a
specific intervention that they want for their child. When teachers or school
therapists have different opinions, conflict may arise. Conflict is a natural
consequence of bringing together diverse perspectives. Differences in thinking
increase the likelihood of more creative solutions for students. To approach
conflict positively and successfully, team members must try to articulate their
underlying interests and probe the opposing perspective to find out if there is a
solution that can integrate the interests of all. When team members respond
effectively to the presence of conflict, it can lead to improved understanding,
stronger relationships, and more effective problem solving. The DPI website
page on Creating Agreement offers resources for school personnel and families
to learn about positive conflict resolution.
During the course of actual therapy, it is a priority for each therapist involved
with a child and his or her family to establish clear communication. Methods of
communication with parents may include a home-to-school notebook, telephone
calls, e-mails, or online social networking. Positive messages that share the
child’s strengths and progress can strengthen relationships with parents.

158 Collaborative Service Provision

Accurate Information
When a child is referred to special education for the first time, his parent may
need an explanation of the IEP team process and a discussion of the role of the
parent as an important IEP team member. In addition to the Procedural
Safeguards notice required by law, parents should be given accurate,
understandable information. Most school districts, as well as DPI, the Wisconsin
Statewide Parent-Educator Initiative, and Wisconsin FACETS can provide
parents with free, accurate resources in various languages and media forms to
explain the complexities of the IEP team process.
Specific to school- based therapy, parents may benefit from an explanation of
service delivery models, the process of assigning therapists, and a description of
school-based and community-based therapy. Parents must understand the
difference between family centered, community-based therapy, and related
services. If their opinions and questions about school-based therapy receive
attention and respect, their expectations of therapy as a related service to
education will become differentiated from their experiences with clinical therapy.
When the services on the child’s IEP are integrated and service providers operate
as a t eam, it is easier for a p arent to understand that the child’s individual
program will vary from year to year, as the child’s needs change. Therapy may
be more frequent for a younger child who is learning play skills or writing, than
for a child at the middle school level who has begun to change classes and adjust
to a new environment. Therapy may fit into an older child's schedule in a
different way than it does for the younger child. At the high school level, the
student's therapy is directed toward preparation for post-high school educational
and vocational goals and adult living arrangements. In any given year, a student's
A written agenda for
occupational therapy and physical therapy may increase or decrease, be
the IEP team meeting,
discontinued or be resumed, based on the goals in the student’s IEP. When this is
staff contact
understood by all from the very first IEP meeting, the participants are more likely
information, and a file
to agree upon subsequent decisions about occupational therapy and physical
folder for the parent’s
therapy.
copies of records can
Shared Decision Making help the parent
As a way to ensure that parents are equal team members, the school may provide participate.
an IEP worksheet for the parents to fill out and bring to the IEP meeting. Other
tools such as a w ritten agenda for the IEP team meeting, staff contact
information, and a file folder for the parent’s copies of records can help the
parent participate more knowledgeably and comfortably on the team. Staff can
also share with parents the contact information for the parent liaison, district
parent resources, and state resources. Parents who feel they are a part of planning
the child’s program are better able to understand how their child will benefit and
may be able to complement the program at home. Parents can be effective
members of the intervention team through activities at home if they have
adequate information and training in the process. Therapists should be cautious
about imposing home program expectations, but some parents will welcome
suggestions.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 159
 The student takes part in decision-making about his or her program, and at
the age of eighteen, legally assumes the responsibility that once belonged to the
parent. In Wisconsin, a student must be invited to the IEP team meeting if he or
she will be fourteen years of age or older during the time that the new IEP will be
in effect. In most instances, it is beneficial for the student to attend at least part
the meeting at younger ages, to become comfortable with the process of self-
determination and self-advocacy.

Procedural Safeguards
IDEA requires schools to provide parents of a child with a disability with a notice
containing a full explanation of the procedural safeguards available under the
IDEA and U.S. Department of Education regulations. The complete text of the
notice is available on the DPI website. School therapists should be aware of the
following rights and procedural safeguards that parents and adult students have
under the law.

• The school must tell parents in writing what it plans to do, or refuses to
do, before it does it, and why. This includes when a school

— proposes to initiate or to change the identification, evaluation, or

educational placement of the child, or the provision of FAPE to the
child.

— refuses to initiate or to change the identification, evaluation, or

educational placement of the child, or the provision of FAPE to the
child.
School therapists should
• Parents have the right to participate in all meetings that the school holds
be aware of the rights
about the above actions.
and procedural
safeguards that parents • Parental consent is needed before school personnel may conduct any
and adult students have assessment in an evaluation or reevaluation, provide special education for
under the law. the first time, or release confidential records. Parents may withdraw
consent for an evaluation or reevaluation that is in process but the
withdrawal is not retroactive. Parents may revoke consent for the
provision of all special education and related services but they may not
select some services and not others.

• Consent means a p arent is fully informed in his or her native language,

understands the proposed action and voluntarily agrees in writing to the
described activity.

• Parents have the right to review all educational records of their child.

• When parents disagree with the results of an evaluation, they may obtain
an Independent Educational Evaluation at the expense of the school
district.

160 Collaborative Service Provision

 • When parents disagree with an action of the school or believe that special
education law has been violated, they have a r ight to file a S tate
Complaint, request mediation, and/or request a due process hearing.

• Parents have certain protections when a school disciplines a child with a

disability.

• Parents have limited access to public school services when they place their
children in private schools.

Homeless Children and Out-of-State Transfer

The rights of homeless children came to the forefront with Hurricane Katrina in
2005. Under the McKinney-Vento Act, homeless students have a right to enroll
in school and to receive all public school services, including special education
and related services. To comply with IDEA 2004, districts must provide children
with disabilities with a FAPE when they enroll in the district from out of state.
Schools must enroll students who are relocating to the school district
immediately. If the district does not have the student's records, the district shall
take reasonable steps to obtain promptly the records from the student’s previous
school. Such records include the IEP and supporting documents and any other
records relating to the provision of special education or related services.
The district shall initiate special education services without delay. If a parent
is available, district staff consults with the parent prior to initiating special
education services. The district should not require written parental consent as a
condition for providing special education services to transfer students from out of
state. The parent already consented to the provision of special education and
related services in the state of origin.
Before providing occupational therapy, the OT must have medical
information about the child. The amount of medical information the OT needs to
ensure the child's safety depends on the child's medical history. Reviewing
existing data in the out-of-state IEP and other pupil records may provide the
medical information the OT needs. Information also may be obtained from the
parent, patient health care provider including out-of-state medical providers, or
other reliable source.
A PT must have medical information from a licensed physician regarding a
child before the child receives physical therapy. The information may come from
a licensed physician in the state of origin or from a local physician. Existing data
in the child's out-of-state IEP or other pupil records may include information
from a licensed physician. When this information is unavailable, an examination
by a local licensed physician is required. The district must ensure it is obtained at
no cost to the parent.

Culturally Responsive Education

Students in Wisconsin schools today vary in culture, language, abilities, and
many other characteristics. For many students, the kinds of behaviors that school
requires and the way that school staff communicates contrast with cultural and

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 161
 language practices at home. (Richards et al. 2007) By recognizing and using
students’ strengths, school therapists engage in culturally responsive education to
facilitate the achievement of all students.
Every student has the ability to learn, yet schools struggle to effectively
Each teacher and educate all students. Administrative policies and practices of the school are
therapist has a important to establishing an environment of cultural responsiveness, but each
responsibility to engage in teacher and therapist has a responsibility to engage in personal processes to
personal processes to become culturally responsive. Too often, race is a predictor of success in
become culturally Wisconsin schools. (DPI 2008) Where research has revealed likely contributing
responsive. factors, rarely are intentional actions or blatant incidents of discrimination
identified as the cause of the racial disparities in special education. Research does
suggest, however, that far more subtle and unconscious forms of race, gender and
class bias may contribute to disparities. Awareness is key. Research also
indicates that the racial disparities in special education are the result of shared
challenges in both special and general education. Some specific approaches to a
personal process of increasing cultural competency are available on the website
for “Culturally Responsive Education for All: Training and Enhancement”
(www.createwisconsin.net). Both AOTA and APTA have resources related to
cultural competency for OTs and PTs.
Another component of culturally responsive education, the instructional
dimension, includes materials, strategies, and activities that form the basis of
instruction or intervention. These include guidelines such as

• acknowledging students’ differences as well as their commonalities.

• validating students’ cultural identity in classroom practices and

instructional materials.

• assessing students’ ability and achievement validly.

• fostering a positive interrelationship among students, their families, the

community, and school.

• motivating students to become active participants in their learning.

(Richards et al. 2007)

Culturally responsive education is essential to effective interactions with

students and families, and it affects student outcomes. When culturally
responsive education is in place, all school staff welcome and support all
students, regardless of their language and cultural background.

162 Collaborative Service Provision

References
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with Special Health Care Needs.”
http://aappolicy.aappublications.org/cgi/content/full/pediatrics;108/2/516
(accessed August 11, 2010).

American Academy of Pediatrics. 2010. Car Safety Seats: A Guide for Families.
http://www.aap.org/family/carseatguide.htm (accessed August 11, 2010).

American Occupational Therapy Association (AOTA). 2008. “Occupational

Therapy Practice Framework: Domain and Process Second Edition.” American
Journal of Occupational Therapy 62: 25-683.

Batsche, G., J. Elliott, J. Graden, J. Grimes, J. Kovaleski, D. Prasse, D. Reschly,

J. Schrag and W. Tilly. 2005. Response to Intervention: Policy Considerations
and Implementation. Alexandria, VA: National Association of State Directors of
Special Education, Inc. 5-6.

Darragh, A. and E. and Hussey. 2008. “Safe Movement and Handling Methods:
Application in the School Setting.” Presentation at the Statewide School Based
OT and PT Conference, Wisconsin Dells, WI.

Federal Register 71(156): 46639. Monday, August 14, 2006.

Hanft, B. and P. Place. 1996. The Consulting Therapist: A Guide for OTs and
PTs in Schools. San Antonio: Pearson Education, Inc.

Hanft, B. & J. Shepard. 2008. Collaborating for Student Success: A Guide for
School-Based Occupational Therapy. Bethesda, MD: AOTA Press.

Health Resources and Services Administration, U.S. Department of Health and

Human Services. 2010. “Telehealth.” http://www.hrsa.gov/telehealth/default.htm
(accessed August 11, 2010).

Kaminker, M., L. Chiarello, and J. Chiarini Smith. 2006. “Decision Making for
Physical Therapy Service Delivery in Schools: A Nationwide Analysis by
Geographic Region.” Pediatric Physical Therapy 18(3): 204-213.

McWilliam, R.A. 2010. Routines-Based Early Intervention: Supporting Young

Children and Their Families. Baltimore: Paul H. Brookes Publishing Co., Inc.

___. 1995. “Integration of therapy and consultative special education: A

continuum in early intervention.” Infants and Young Children, 7(4), 29-38.

National Institute on Disability and Rehabilitation Research, U.S. Dept. of

Education. “AbleData.” http://abledata.com/abledata.cfm (accessed August 17,
2010)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 163
 Kutschera, D. 2009. “Special Education Procedures for Equipment Systems.”
Neenah Joint School District, Neenah WI.

Occupational Safety and Health Administration. 2009. “Ergonomics for the

Prevention of Musculoskeletal Disorders.” Guidelines for Nursing Homes. OSHA
3182-3R.
http://www.osha.gov/ergonomics/guidelines/nursinghome/final_nh_guidelines.pd
f (accessed August 11, 2010).

Rainforth, B. and J. York-Barr. 1997. Collaborative Teams for Students with

Severe Disabilities, 2nd Edition. Baltimore: Paul H. Brookes Publishing Co., Inc.
27.

Rehabilitation Engineering Research Center on Wheelchair Safety and University

of Michigan Transportation Research Institute University of Michigan Health
System. “Ride Safe.” Copyright 2009. http://travelsafer.org/(accessed March 16,
2010).

Richards, H.V., A. F. Brown, and T. B. Forde. 2007. Addressing Diversity in

Schools: Culturally Responsive Pedagogy. Tempe, AZ: National Center for
Culturally Responsive Educational Systems.

Russell, T.G. 2007. Physical Rehabilitation Using Telemedicine. Journal of

Telemedicine and Telecare 13: 217-220.

Scheideman-Miller, C. 2004. “Rehabilitation.” In J. Tracy, Telemedicine

Technical Assistance Documents: A Guide to Getting Started. University of
Missouri School of Medicine.
http://telehealth.muhealth.org/general%20information/getting.started.telemedicin
e.pdf (accessed August 17, 2010).

Society of Automotive Engineers, Inc. “Wheelchair Tiedowns and Occupant

Restraints for Use in Motor Vehicles.” 2010.
http://www.sae.org/technical/standards/J2249_199901 (accessed March 16,
2010).

Wisconsin Department of Public Instruction. 2008. “Annotated Checklist for

Addressing Racial Disproportionality in Special Education.”
http://www.createwisconsin.net/cms_files/resources/062409onlinechecklist.doc

Other Resources
Heimerl, S., and N. Rasch. 2009, S eptember. Delivering Developmental
Occupational Therapy Consultation Services through Telehealth. Developmental
Disabilities Special Interest Section Quarterly 32(3):1-4. American Occupational
Therapy Association.

McWilliam, R.A. and S. Scott. 2003. Integrating Therapy into the Classroom.
National Individualizing Preschool Inclusion Project, August 2003.

164 Collaborative Service Provision

McWilliam, R.A. and A. M. Casey. 2008. Engagement of Every Child in the
Preschool Classroom. Baltimore: Paul H. Brookes Publishing Co., Inc.

National Highway Traffic Safety Administration (NHTSA). “The Federal Motor

Vehicle Safety Standards (FMVSS 222).” www.nhtsa.dot.gov. (accessed March
16, 2010).

Rehabilitation Engineering Research Center (RERC), WC19. “Wheelchairs and

Seating Systems successfully crash tested with 4-point strap-type securement as
of July 27, 2009.”
http://www.rercwts.org/RERC_WTS2_KT/RERC_WTS2_KT_Stand/RERC_WT
S2_19_Chart.html (accessed March 16, 2010).

Wisconsin Department of Public Instruction. 2010. “Creating Agreement.”

http://www.dpi.wi.gov/sped/agreement.html (accessed August 11, 2010).

___. 2010. “ Wisconsin Statewide Parent-Educator Initiative, Information

Especially for Parents” http://www.dpi.wi.gov/sped/hmparents.html (accessed
August 11, 2010).

___. 2009. “Directives for the Use of Seclusion and Physical Restraint in Special
Education Programs.” http://dpi.wi.gov/sped/sbseclusion.html (accessed August
11, 2010).

___. 2009. “Information Update on Transportation.”

http://www.dpi.wi.gov/sped/pdf/bul09-02.pdf (accessed August 11, 2010).

___. 2009. “Procedural Safeguards Notice.”

http://www.dpi.wi.gov/sped/pcrights.html (accessed August 11, 2010).

___. IDEA complaint decisions 07-075, 08-006, and 08-092.

http://dpi.wi.gov/sped/com07men.html and
http://dpi.wi.gov/sped/com08men.html.

Wisconsin Family Assistance Center for Education, Training and Support

http://www.wifacets.org/ (accessed August 11, 2010).

Wisconsin State Patrol. “Wisconsin State Patrol is responsible for bus inspection
and has information on W isconsin regulations and requirements.”
www.dot.wisconsin.gov/statepatrol (accessed March 16, 2010).

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 165
 8
Administration of
Occupational Therapy
and Physical Therapy
in School
The administration of occupational therapy and physical therapy is typically the
responsibility of the director of special education. In some districts, the district
administrator takes this responsibility. The director oversees the employment and
supervision of therapy staff, budget preparation, implementation of IEPs and
accountability for the provision of related services. Administration of related
services includes determining the school district's need for occupational therapy
and physical therapy staff; providing staff; assuring quality service provision; and
obtaining funding for related services.

Determining Service Need

The term service need refers to the total amount of time a district needs from
therapy personnel. The following factors determine the service need for each of
the related services of occupational therapy and physical therapy.

• the amounts of occupational therapy or physical therapy on a ll the

children's IEPs

• the caseload of each therapist Therapy may be direct

or indirect, and
• the workload of each therapist
provided individually
• contractual guarantees stipulated by a master agreement or in a group.

Descriptions of the components of service need follow. Examples of how the

special education director may calculate these amounts of time are shown in
Figure 27 on the following page.

Amount of Service on IEPs

A school district provides occupational therapy and physical therapy to a child
with a disability when that child requires those services to benefit from special
education. The IEP team makes this determination. Therapy may be direct or
indirect, and provided individually or in a group. The IEP team decides the
amount, frequency, duration, and location of a specific related service the district
will provide, and records that information on the IEP. The amount and frequency
of occupational therapy or physical therapy service is stated on the IEP

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 167
 Figure 27 Sample Occupational Therapy Annual Projection
Student Frequency and minutes per session Current building
Direct Indirect
A.M. 1x/week 45 1x/week 15 West
B.K. 2x/week 30 1x/week 15 King
B.S. 2x/week 45 1x/week 15 South
B.J. 2x/week 30 1x/week 15 East
B.C. 1x/semester 30 1x/week 15 King
B. T. 2x/week 30 1x/week 15 Kennedy
D.K. 1x/week 30 1x/week 15 Kennedy
D.A. 2x/week 30 1x/week 15 East
E.J. 2x/week 30 1x/week 15 King
H.K. 1x/week 45 1x/week 15 South
K.N. 2x/week 45 1x/week 15 South
K.S. Moved Kennedy
K.E. 2x/week group: 1x/week 15 King
M.A.
M.T.
2x/week
2x/week
} 45 1x/week
1x/week
15
15
Kennedy
North
M.S. Expect to discontinue North
M.B. 2x/semester 60 North
M.D. 1x/month 45 Kennedy
N.A. 1x/month 30 King
R.V. 2x/week 30 1x/week 15 King
R.D. 2x/week 30 1x/week 15 King
S.D. 2x/week 30 1x/week 15 Kennedy
S.B. 1x/month 30 East
S.J. 2x/week 30 1x/week 15 West
S.A. 1x/week 45 1x/week 15 West
S.T. 2x/week 30 1x/week 15 North
T.B. 2x/week 30 1x/week 15 Kennedy
T.D. Expect to discontinue King
T.M. 2x/week 30 1x/week 15 King
W.M. 30 1x/quarter 30 Kennedy

30 Students 19.25 hours per week 6.0 hours per week 6 buildings

Average Weekly Totals:

25.25 hours direct and indirect services
5.75 hours travel, set-up, and exit
2.0 hours evaluations, IEP team meetings, staff meeting
4.0 hours evaluation reports, treatment plans, progress notes, Medicaid documentation
3.0 hours anticipated growth in caseload
40 hours weekly occupational therapy service

168 Administration of Occupational Therapy and Physical Therapy in School

Program Summary Page and can be found in the section on r elated services,
supplementary aids and services, or program modifications or supports for school
personnel. The director adds the number of hours or minutes of occupational
therapy or physical therapy that all the IEPs document to determine the total time
a district requires for direct or indirect therapy to children and supports for school
personnel.

Caseload
Caseload requirements for occupational therapists (OTs) and physical therapists
(PTs) are in Chapter PI 11.24, Wis. Admin Code. The minimum caseload for a
full-time therapist is 15 students. The maximum caseload for a full-time therapist
is 30 students, but with a licensed assistant(s) can reach 45 students. Caseload is
prorated for part-time therapists. Chapter PI 11, W is. Admin Code allows for
variance among the numbers based on several identified factors. These include
the frequency and duration of the service listed on the child’s IEP, travel time,
evaluations, preparation, and other student-related activities. Students receiving Experience has
indirect service or consultation are considered part of the therapist’s caseload. shown that when
Indirect service, collaborative consultation, and coaching are methods of service therapy caseloads
delivery that support the student’s participation in the general education exceed the
curriculum and educational environment. These three—indirect service, maximum,
collaborative consultation, or coaching—may take as much or more time than problems occur.
direct service.
Experience has shown that when therapy caseloads exceed the maximum,
problems occur in meeting the amount and frequency of therapy in students’
IEPs; therapist retention becomes an issue; caseload adjustments are made for
administrative convenience; and parental complaints increase. As part of the
State Superintendent’s Task Force on Caseloads in Special Education,
researchers at the University of Wisconsin (UW)-Oshkosh conducted a study
entitled Occupational and Physical Therapy Caseload Size: Service Provision
and Perceptions of Efficacy (Chiang and Rylance, 2000) The study found that
full-time therapists serve an average of 32 students and full-time therapists with
assistants serve 43 students. Although these numbers indicate that the average
therapist is working at or near the maximum caseload capacity, caseload numbers
alone do not capture the complexity of school-based therapists’ work.

Workload
In the article, Transforming Caseload to Workload in School-Based and Early
Intervention Occupational Therapy Services, the American Occupational
Therapy Association (AOTA) recommends using the term workload rather than
caseload for school-based practice. (AOTA 2006) Workload encompasses all of
the work activities that therapists perform that benefit students directly and
indirectly. Workload includes

• providing direct therapy services and interventions.

• consulting, coaching or collaborating with others to integrate therapy into
classroom and school activities.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 169
 • conducting evaluations of children.
• collecting and analyzing data on the effectiveness of interventions.
• attending IEP team and other meetings.
• preparing written reports to meet school district and license requirements.
• preparing or securing materials and adaptive equipment.
• communicating with other agencies, therapists, physicians, parents, and
school staff.
• providing therapy required by Section 504 plans.
• traveling between sites.
• supervising assistants.
• training staff and parents.
• participating in school-wide activities.
• performing other assigned tasks.
Workload management begins with completing a time study that includes all
The therapist reviews
the child-related activities and tasks the therapist performs. The therapist
time study data and
develops a weekly or monthly workload table with 15 or 30 minute time slots for
calculates the
the following: student therapy sessions that IEPs require, collaboration with other
percentage of time
staff, new evaluations, contacts with community providers, meetings, paperwork,
spent performing
travel, supervision, and lunch. The therapist reviews this time study data and
each activity.
calculates the percentage of time spent performing each activity. The therapist
and the administrator then can analyze the demands of the therapist’s workload.
The Pediatric Section of the American Physical Therapy Association (APTA)
has a School-Based Special Interest Group with a Workload Subcommittee for
School-Based Physical Therapists. Members of the workgroup completed time
studies and their findings support the AOTA workload concept. (Cecere 2008)
Both OTs and PTs carry a s ignificant and varied workload. Some of the
descriptive statistics from the workload study appear here.
“Overall percentages of time spent in each category:

• Direct: 40%
• Indirect: 11.63%
• Meetings: 2.1%
• Program documentation (daily notes): 18.63%
• Travel: 10.18%
• Professional development: 3.2%
• Supervision and mentoring: 3.7%
• IEP documentation: 6.6%

170 Administration of Occupational Therapy and Physical Therapy in School

 • Pre-intervening: 3.3%
• Other: 10.55%
The time pattern was spent on a n average of 21.95 students by PTs with
11.62 years of experience.” (Cecere 2010, 5)

Travel
Travel is a therapy-related activity that may include packing and loading
materials and equipment, traveling the distance to the next site, unloading and
unpacking materials and equipment, and setting up for services. Adequate travel
time between schools or other sites varies depending on the distance, the
individual needs of the children, the availability of materials and equipment in
multiple sites, road conditions, and weather conditions.

Documentation
Documentation of occupational therapy and physical therapy is both a legal
Documentation
requirement and a means of evaluating a ch ild’s response to intervention.
Adequate documentation is essential for third-party reimbursement of services, is both a legal
substantiation of the delivery of service, and assessment of the effectiveness of requirement and a
service management. Service need includes time for therapists to means of evaluating a
child’s response to
• obtain medical information. intervention.
• document evaluation results.
• prepare for IEP meetings.
• develop and revise treatment or intervention plans.
• maintain regular attendance records.
• update progress notes, including specialized documentation required for
third-party billing and data collection on IEP goals.
• write occupational therapy and physical therapy discontinuance reports.
• record supervision meetings with occupational therapy assistants (OTAs)
and physical therapist assistants (PTAs).
• prepare statistical records and reports required for administrative
functions.
• maintain records related to supplies and equipment.
• prepare other documentation that the school districts or practice
regulations require.

Supervision
When a district employs OTAs or PTAs, the director must allocate time for
therapists to supervise the assistants. Supervision requirements are found in
Chapter PI 11.24, Wis. Admin Code and the professional practice regulations as
discussed in chapter 6.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 171
 Contractual Guarantees
Therapists hired under teacher contracts by the school district have working
condition stipulations in accordance with the master agreement. These
stipulations may include opportunities for staff meetings, continuing education
days, visitations, duty-free lunches, length of day, and student contact provisions.
The director of special education must incorporate these factors into the
determination of service need.

Providing Staff
As noted in chapter 6, a critical shortage of OTs and PTs existed in Wisconsin in
the 1990s. Despite a brief respite from this shortage, it appears to have returned,
and the data collected about its patterns and causes may prove helpful here. The
Wisconsin Educator Supply and Demand Project conducted a 1995 Related
Services survey, to which 93 percent of Wisconsin school districts and CESAs
responded. The responses indicated that

• 29 percent of respondents required six months or more to fill a PT

position.

• 18 percent of respondents required six months or more to fill an OT

position.

• 61 percent of respondents had only one applicant for a PT position.

• 32 percent of respondents had only one applicant for an OT position.

The availability of OTs and PTs varies within the state. The survey results
suggest that in areas of low availability, school districts must begin recruiting
more than six months in advance of the date staff are needed, and may have a
limited choice of applicants.
CESA 1 also conducted a survey in 1995, contacting over 5,000 OTs and PTs
certified or licensed to practice in Wisconsin. Although the responses varied by
CESA, some of the top factors that therapists reported would influence their
decision to work in schools were

• the therapist's ability to work with certain student populations, and related
needs for retraining.

• a supportive team environment and strong administrative support.

• a competitive salary and benefits.

• the flexible schedule and attractive vacation time typical of school

calendars.

• the availability of office space and adequate time for documentation.

172 Administration of Occupational Therapy and Physical Therapy in School

 In the late 1990s, events occurred that contributed to an increase in the
supply of school-based therapists and assistants and the shortage seemed to
subside. Changes in federal legislation affected Medicare and Medicaid programs
and led to a decrease in demand for therapists and assistants in medical and
health care settings. There was also an increase in therapy training programs and
an expansion of the number of students accepted into training programs. The
shortage however, appears to be resurfacing. The Wisconsin Educator Supply
and Demand Project (DPI 2006) states that the supply rating for OT and PT is in
the below average range with a ratio of applicants to vacancies at 2.93. A 2007
study by APTA of acute care hospitals found the vacancy rate for PTs was
13.8 percent and for PTAs was 12 percent. The turnover rate for full-time PTs
was 15.9 percent and for full-time PTAs was 12.5 percent. The APTA also
provides a d emographic description of its members. The demographic profile
(1999-2006) shows that only 4.2 percent of the PTs and only 2.5 percent of PTAs A critical shortage of OTs
work in school systems. (APTA 2008) The Center on P ersonnel Studies in and PTs existed in
Special Education (COPSSE) noted that nationwide there is a growing shortage Wisconsin in the 1990s.
of qualified school-based related service personnel. (COPSSE 2004) COPSSE Despite a brief respite
further reports that there has been and continues to be a shortage of qualified PTs from this shortage, it
in the schools with most shortages in rural areas. COPSSE also reported a appears to have returned.
shortage of OTs. Factors that contribute to the shortage of school-based OTs are
the declining enrollments in occupational therapy training programs, a decrease
of 37 percent from 1999-2002; and declining interest in school-based practice as
a graduate’s first employment choice. According to the 2008-09 Occupational
Outlook Handbook from the Bureau of Labor Statistics, between 2006 and 2016
the expected increase in employment of OTs is 23 percent; of OTAs is 25
percent; of PTs is 27 pe rcent; and of PTAs is 32 pe rcent. Growth in these
professions is much faster than the average for all occupations.

Recruitment
School districts use a v ariety of approaches to locate OTs and PTs for
employment. Appendix F contains sample position descriptions for a school OT,
school PT, school OTA and school PTA. Directors can post vacancies on these
online employment sites that are also listed in the references at the end of this
chapter:

• Wisconsin educator jobs.

• Wisconsin Education Career Access Network (WECAN).
• Wisconsin Occupational Therapy Association (WOTA) and Wisconsin
Physical Therapy Association (WPTA) newsletters.

• School Therapy newsletter that is archived online at cesa1.k12.wi.us.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 173
 Other options that directors report as successful in recruiting candidates include

• contacting professional education programs in Wisconsin and neighboring

states.

• contacting Regional Service Network directors for information on

recruitment projects and mailing lists of Wisconsin therapists within the
CESA.

• asking a therapist to post a printed advertisement on a job board at WOTA

or WPTA meetings, conferences, and workshops.

• contacting CESA offices, hospitals, public agencies, and private agencies

for purchase-of-service agreements.

• contacting parents who might be obtaining private therapy and offering

that therapist a contract.

Directors may wish to consider an ongoing and proactive approach to filling staff
School districts may vacancies and anticipating increased service needs. This includes offering
find it necessary to district-, or CESA-sponsored continuing education workshops to an established
establish short-term contact list of therapists who are not presently employed by the district; offering
contracts with a school-based colleague as a mentor to a therapist whose experience is outside
several individuals of school-based practice; offering fieldwork sites and clinical internships to
or agencies. students in occupational therapy and physical therapy programs at universities
and technical colleges; and recruiting at least six months in advance of a vacancy.
When vacancies occur unexpectedly or are prolonged, directors must make
every effort to provide children with the therapy that is on their IEPs. School
districts may find it necessary to establish short-term contracts with several
individuals or agencies to meet these requirements. Directors should notify
parents of the situation and enlist their help in finding therapists. Figure 28 on the
next page is a sample letter a d istrict sent to parents when an unanticipated
vacancy occurred in physical therapy.

Salary
Districts pay therapists and assistants in different ways depending on how the
therapist or assistant is employed. A UW-Oshkosh research study found that
65 percent of OTs were employed directly by school systems and 35 percent by
service agencies, while 56 percent of PTs were employed directly by s chool
systems and 44 percent by service agencies. When a district hires the therapist or
assistant directly, the district may calculate the therapist’s salary based upon the
teacher salary schedule. In some districts, therapists and assistants are part of the
union, and contractual agreements determine wages and benefits. When a district
contracts with a CESA, hospital or private agency for therapy services, the
contract specifies the amount the district pays for services, but the CESA,
hospital, or private agency pays the therapist’s or assistant’s salary. The DPI Data
Management Reporting Team provides position analysis summaries based on the

174 Administration of Occupational Therapy and Physical Therapy in School

Figure 28 Sample Parent Letter for Unanticipated Therapist Vacancy

(School Letterhead)
(Date)
(Inside address)
Dear (salutation):
Your child, (name of child), (DOB), has physical therapy services identified in
his/her current IEP. The (district) School District has been unable to hire a
qualified physical therapist to fill the vacant position. We continue to search
actively for qualified candidates throughout the region. Our efforts have included
postings in surrounding state universities, advertisements in Internet job sites and
community and area newspapers, and contacts with private agencies for purchase
of services. We have also kept the DPI consultant apprised of our situation. This
correspondence is to notify you that, due to lack of staff, physical therapy will
not be able to be provided for (name of child) at this time. The attached sheet
identifies private agencies in the community that provide physical therapy. If you
are able to acquire outside services, the district will pay for the cost of this
service up to the identified amount and frequency specified on the current IEP.
Please do the following in seeking district payment for these services.
1. Contact an outside agency to secure physical therapy services.
2. Request, in writing, that these services be paid for by the (district) Public
Schools. This should be sent to (name), Supervisor of Special Education,
(address), (city, state, zip). The correspondence should include the agency
name and the name of the therapist who will be working with your child.
Suggested agencies are listed below, but you are not limited to them, and
services at these agencies are subject to availability. Enclose a signed consent
to release school records to the agency for the purpose of providing school
physical therapy.
3. After receiving your written request, the district will confirm your contact
with the agency and write a contract to pay for the amount of physical therapy
specified in the child's IEP.
4. This district will then confirm the arrangements with you in writing.
5. When you receive verbal and/or written confirmation from the district, you
should contact the agency to set up an appointment schedule for services. If
you prefer that the district implement this step, please contact me.

The district will continue earnest efforts to locate services in the area of physical
therapy. Please contact me if you have additional questions.

Sincerely,

(Name)
Supervisor of Special Education

cc: (Director of Instruction)

(Supervisor of Administrative Services)
(Building Principals)
(DPI Consultant)

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 175
 PI-1202 Staff Report. A district may request the position analysis summary for
an OT, PT, OTA, or PTA from the department. The report contains low, high,
and average salary; average fringe; and average length of experience. To receive
this report, districts may contact the team at 608-267-3166 or:

Data Management Reporting Team

Department of Public Instruction
PO Box 7841
Madison, WI 53707-7841

Another source for salary information is the Bureau for Labor Statistics. The
website http://www.bls.gov/oes/current/oes_nat.htm#b29-0000 provides therap-
ists’ salaries, and http://www.bls.gov/oes/current/oes_nat.htm#b31-0000 provides
assistants’ salaries. OTs and OTAs who are members of AOTA, and PTs and
PTAs who are members of APTA can find current demographic information and
reports on median salary incomes for their respective positions on t hese
professional websites.

Education Level
Currently licensed OTs and PTs may have bachelor’s, master’s or doctoral
degrees. Accredited education programs no longer offer a bachelor’s degree in
Accredited education either occupational therapy or physical therapy. All Wisconsin physical therapy
programs no longer training programs have changed from a master’s degree to the doctor of physical
offer a bachelor’s therapy degree (DPT). Some PTs with baccalaureate degrees or master’s degrees
degree in either are pursuing a transitional doctor of physical therapy (tDPT). Others may have or
occupational therapy may be pursuing a scientific doctorate in an area other than physical therapy. The
or physical therapy. APTA offers specialist certification to recognize PTs with advanced clinical
practice. Certification is awarded to PTs who successfully complete a
standardized application and examination process. A PT may become a certified
pediatric clinical specialist by successfully completing this process. The status of
board-certified specialist is evidence of clinical expertise and excellence, but is
not an academic degree. An experienced school-based PT may demonstrate these
competencies even though the therapist does not have the certification.
As of 2010, occupational therapy training programs offer master’s and
doctoral degrees in occupational therapy. Four programs allow a person with a
master’s degree in another field to pursue a doctorate in occupational therapy.
The remaining doctoral programs require a previous degree in occupational
therapy. OTs frequently pursue master’s and doctoral degrees in other related
fields. In addition, the AOTA offers board certification in pediatrics and specialty
certification in the areas of driving and community mobility; environmental
modification; feeding, eating, and swallowing; and low vision.
A challenge for districts is compensating therapists based upon these various
educational levels, clinical specialist certification, and pediatric or school-based
experience. Districts find that the master’s degree or PhD is compatible with the
teacher salary schedule. The DPT is a clinical doctorate so districts may consider
whether this correlates with the PhD on the teacher salary schedule.

176 Administration of Occupational Therapy and Physical Therapy in School

 License renewal through the Department of Regulation and Licensing (DRL)
for all OTs, OTAs, PTs, and PTAs requires continuing education that focuses on
their profession, and is not limited to university classes or credits. Districts may
consider continuing education when they determine salaries.
Career advancement opportunities for therapists in the school system are
limited. Experienced therapists can only move into licensed administrative
positions if they complete a teacher education program. Some large districts and
CESAs have a coordinator position for therapists comparable to a program
support teacher.

Contracting Options
School districts may recruit and hire therapists through school contracts or
purchase-of-service agreements. School boards may write teacher contracts in
accordance with the district's master agreement for therapists hired by an
individual district or with other districts through a 66.30 agreement. (Chapter PI
14.02, Wis. Admin Code pursuant to s.66.0301, Wis. Stats.) Contracts may be
full-time or part-time.
School boards may contract with private or public agencies for physical
therapy or occupational therapy services on the basis of demonstrated need.
(s.115.88(1), Wis. Stats.) Purchase-of-service agreements may be with a CESA,
School boards may
an individual therapist, a private hospital, or a private therapy agency. Figure 29
contract with private
on the following pages is a sample purchase-of-service agreement between a
or public agencies for
school board and an agency for therapy services. A purchase-of-service
physical therapy or
agreement includes these features:
occupational therapy.
• purpose of the agreement
• guarantee and evidence of appropriate DRL and DPI license of therapist
or assistant
• availability of replacement therapists from agency
• working conditions
• documentation expectations of the contracting school district or CESA

• other expectations of the contracting school district or CESA

• identification of supervisory relationships and evaluation of staff
performance
• identification of how the parties will resolve identified deficiencies
• payment schedule
• cost of service and travel
• effective dates
• renewal conditions
• liability

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 177
 Figure 29 Sample Purchase of Service Agreement

This Purchase of Service Agreement (this Agreement) is made effective as of

June 23, 20 ___, by and between Winter School District, of Winter, Wisconsin,
herein referred to as District and Quality Therapy Resources, of Blue Lake,
Wisconsin, herein referred to as Agency.

Description of Services. Beginning on A ugust 23, 20 ___ a nd terminating on

May 30, 20__ _, Agency will provide school occupational therapy services,
including evaluation of children designated by the District director of special
education; documentation of evaluation; participation in individualized education
program (IEP) team meetings; development of treatment plans; provision of
amount of occupational therapy intervention in IEPs; travel between schools; and
communication and collaboration with school staff and parents. Agency will
provide service in accordance with the standards of practice in state law.

Qualified Personnel. Agency will designate as the Service Provider a person

who is licensed as an OT by the Wisconsin Department of Regulation and
Licensing and licensed as a school OT by the Wisconsin Department of Public
Instruction for the duration of the Agreement. Agency will provide district with
copies of said licenses within four working days of the beginning of the service.
Agency will provide replacement personnel with equal qualifications if the
Service Provider is unable to provide services to District during the term of the
Agreement. Agency will be responsible for professional liability coverage of
Service Provider and replacement personnel.

Payment for Services. District will pay compensation to Agency for the services
based on $______ per hour. District will reimburse mileage at the rate of ____,
based on monthly documentation of actual miles driven. Compensation shall be
payable upon receipt of monthly billing statement from Agency. Service Provider
will submit to District a monthly log of service activities. District will approve in
advance any compensated activities other than those described in this agreement.

Termination. This Agreement may be terminated by either party upon 30 da ys

written notice to the other party.

Confidentiality. Agency will protect and maintain the confidentiality of pupil

records and patient health care records that District maintains, as required by
state and federal law. This provision shall continue to be effective after the
termination of this Agreement. Upon termination of this Agreement, Agency will
return to District all records, documentation, and other items that were used,
created, or controlled by Agency during the term of this Agreement.

Renewal. Renewal of this Agreement shall be based on D istrict evaluation of

quality of service and Agency availability to provide service.

178 Administration of Occupational Therapy and Physical Therapy in School

Entire Agreement. This Agreement contains the entire agreement of the parties
and there are no ot her promised or conditions in any other agreement whether
oral or written.

Severability. If any provision of this Agreement shall be held to be invalid or

unenforceable for any reason, the remaining provisions shall continue to be valid
and enforceable.

Party purchasing services:

Winter School District
By: _____________________________________
Jane Q. Superintendent
District Administrator

Party providing services:

Quality Therapy Resources

By: _____________________________________
Quality Therapy Resources
President

Note: The district should review the purchase of service agreement with the
district’s legal counsel prior to entering into a contractual agreement.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 179
 Districts, therapists, and assistants should be aware that private agencies may
have noncompete clauses in contracts. An example that might be included in a
contract follows.

The district will not employ or solicit the employment of an agency

therapist or assistant during the term of the agreement and for a period of
one year after the termination of this agreement unless the agency gives
its prior written consent. Such consent may be granted or withheld at the
agency’s sole discretion. To the extent the agency may agree to grant any
such consent, a flat fee of $7,500 per therapist or assistant will be paid to
the agency by the district prior to receipt of such written consent. In case
of breach of this provision by the district, the district agrees to pay the
agency, as liquidated damages and not as a penalty, the amount of
$10,000 per therapist or assistant. This agreement in no way prohibits the
agency or any of the agency’s therapists or assistants from contracting
with any other entity during or after the term hereof. (Dominiczak
Therapy Associates 2009)

The Interview
The director or other administrator participates in an interview of prospective
therapists. Whether the district hires a t herapist through a sch ool contract or
purchase-of-service agreement, the director can gather information needed to
make a hiring decision and determine staff development needs through portfolio
review, team interview, and reference review.

Portfolio Review
In a portfolio review, the candidate or agency provides copies of reports for two
or three children recently served. The children’s full names should be redacted to
maintain confidentiality. The therapist with school-based experience provides
sample evaluations, IEPs, treatment plans, and progress notes. The director
reviews these samples for clarity, with the following questions in mind.

• Is the educational impact of the disability clearly stated?

• Is a recommendation for or against therapy in school based on the child's
needs in school?
• Is the IEP an integrated document, rather than one that contains pages
specific to individual services?
• Is objective data collected to monitor progress?
• Do progress notes document actual services provided and the student’s
response to intervention?

The therapist without school experience provides reports on clients

previously served. The director reviews these for statements of the functional
impact of the client's disability, and the therapist's plans to increase functional
activity.

180 Administration of Occupational Therapy and Physical Therapy in School

Team Interview
Optimally, the interview team consists of the building principal or special
education director and an OT or PT, with the possible addition of an IEP team
coordinator or school psychologist, a teacher of special education, and a parent.
If labor agreements prohibit involvement of certain staff in personnel decisions, The team decides if the
those staff members may provide interview questions for the director or principal district could provide
to use. When hiring a PT, the interview team could review “Updated the opportunities and
Competencies for Physical Therapists Working in Schools” noted in chapter 5. resources to enhance
The competencies provide the interview team with an overview of the knowledge the professional
and skills that a school-based PT should have or needs to acquire to provide knowledge and skills of
quality care for students with disabilities at school. A candidate may not meet all the therapist.
of the nine competencies, but the team decides if the district could provide the
opportunities and resources to enhance the professional knowledge and skills of
the therapist for school-based practice.
The team conducts the direct interview process for the therapist as they
would for any long-term professional employee in the district. Interview issues
that are specific to the position include IEP team and evaluation procedures, IEPs
and rationale for services relevant to school, and team communication and
collaboration skills.

Reference Review
The candidate provides professional references from three sources:

1. administrative or supervisory personnel, who can comment on t he

collaborative skills and technical skills of the therapist

2. professional peers, who can comment on the collaborative skills and

technical skills of the therapist

3. direct service recipients, such as a p arent, child, or special education

teacher who can comment on the direct and indirect services provided by
the therapist

Orientation
The director introduces the OT, PT, OTA, or PTA to principals, teachers, and
parents in written correspondence. The director orients the newly hired therapist
in person to local policy, procedures, and practices regarding occupational The mentor assists the
therapy or physical therapy in the educational setting, including scheduling, new therapist with
caseloads, workloads, equipment and space, documentation requirements, working as a
supervision, and evaluation of personnel and services. collaborative partner.
The director may assign a staff member to serve as a mentor during the first
year the therapist is with the district. The mentor assists the new therapist with
working as a collaborative partner on the IEP team, consulting with school staff,
and meeting documentation procedures specific to the district. The director may
contact the therapist at regular intervals during the first several months to

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 181
 determine if the therapist understands and is able to carry out district practices.
Reference materials, including this guide, the Chapter PI 11, Wis. Admin Code
regarding special education and related services, and the district policy and
procedures manual for staff will assist the OT or PT in meeting the requirements
of the position. At the beginning of the school year, WOTA provides an online
orientation course for OTs, PTs, OTAs and PTAs new to school-based practice.
The course provides an overview of special education law, assessment, IEPs,
treatment plans, service delivery models, OTA and PTA supervision,
differentiation of school-based and community-based services, paperwork,
networking, and assistive technology. Directors can encourage new therapy
personnel to attend this session as part of orientation. Conference information is
found under continuing education on the WOTA website at http://www.wota.net/
The professional
relationship of a
therapist with a school Assuring Quality
district begins with an Quality assurance in school occupational and physical therapy is the joint
appropriate position responsibility of administrators and therapists. Therapists must have clear
description. information from administrators about the expectations and policies of the school
district and administrators and about their responsibilities under state and federal
law. Administrators must have a working understanding from therapists of the
roles and contributions of therapists to the educational process. The professional
relationship of a therapist with a school district begins with an appropriate
position description and an accurate assessment of the time a t herapist will
require to fulfill the expectations of the district. During the interview and
orientation period, the director or other administrator and the therapist identify
knowledge and skills in which the therapist is proficient, and knowledge and
skills the therapist must develop to assure quality service in the school district.
Together, they formulate and implement a professional development plan. They
also develop a plan for managing and evaluating the effectiveness and efficiency
of the specific related service as a whole, if one is not already in place. This
collaboration forms a foundation for future evaluations of the quality of the
related service.

Evaluating Staff Performance

School administrators can readily assess the performance of related service staff
in the school setting by observing staff performing essential job activities,
surveying those who work with related service staff, and reviewing records. The
essential activities in the job performance of school therapists include

• participating in IEP team meetings.

• participating in IEP development.
• providing direct services, both individual and group.
• providing indirect services through collaboration with other staff.

182 Administration of Occupational Therapy and Physical Therapy in School

 • documenting services.
• communicating and collaborating with children, parents, teachers, other
therapists and assistants, administrators, and physicians.

In addition to these activities, which are described in detail in other chapters

of this guide, therapists assist in the management of their respective programs;
educate other therapists and educators; supervise assistants and student
therapists; and monitor and maintain their own professional growth and
adherence to professional ethics.
The director, building principal, or other administrator follows performance
appraisal criteria based on the therapist's position description when evaluating the
performance of therapy staff, and the administrator, the therapist, or both may
develop those criteria. APTA provides resources that may assist directors and
therapists in evaluating PTs’ performance. PTs may find these APTA
Single-case studies
publications helpful: Clinical Skills Performance Evaluation Tools for Physical
Therapists—Pediatrics, Assessing Competence: A Resource Manual (APTA and qualitative
20031), and Professionalism in Physical Therapy: Core Values Self Assessment. research emerged as
(APTA 20032) Both the PT and director could refer to the Updated Competencies alternatives to
for Physical Therapists Working in Schools noted in chapter 5 and develop a control group studies.
checklist to assess the therapist’s performance and plan for the therapist’s
professional development. Figure 30 on pages 186 through 191 illustrates a
sample form an administrator could use to document performance evaluation.
OTs can assist administrators in evaluating best practices by self-appraisal of
competency in the roles and responsibilities described in chapter 4, or by the use
of a self-appraisal tool like Developing, Maintaining and Updating Competency
in Occupational Therapy: A Guide to Self Appraisal. (Hinojosa et al. 1995) Many
educational administrators find it difficult to evaluate the quality of treatment or
intervention. The quality of intervention is reflected in

• the documented achievement of outcomes related to the child's IEP goals

and objectives.

• the ability of therapists to articulate the link between the evaluations and
intervention they provide to projected functional outcomes for the child in
the school environment.

• the use of research-based practices to the extent practicable.

Administrators can assist therapists in developing school-related outcome
measures that demonstrate improved ability of children to function in the child's
current educational environment. Administrators and therapists may address
specific questions about appropriate assessment and intervention by bringing in a
consultant who has specific training in the therapy area and who is familiar with
the objectives of school-based practice.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 183
 Figure 30 Sample Performance Appraisals
Occupational Therapist
Rate each element of performance using the numerical values below. Average each heading
(evaluation, planning, intervention, supervision, and other) to determine appraisal.

1 = unsatisfactory
2 = needs improvement
3 = meets expectations
4 = exceeds expectations
0 = not applicable

Evaluation

Reviews existing information following appointment to IEP team and prior to

evaluating child. ___
Evaluates child using procedures to help determine eligibility and educational needs. ___
Documents in an individual report
identifying and background information about child ___
description of evaluation procedures ___
summary and analysis of evaluation findings ___
child's functional abilities and deficits in occupational performance areas
___
and components
projected functional outcomes for child as a result of intervention
recommendations ___
Communicates and interprets results to the IEP team including parents ___
Complies with confidentiality and consent laws and standards. ___
Adheres to time frames required by law and school district policy. ___

Comments:
_______________________________________________________________________
_______________________________________________________________________

Planning
Collaborates with school personnel and parents to develop an IEP. ___
Recommends appropriate contexts and models for occupational therapy intervention ___
Identifies assistive technology necessary to implement the IEP. ___
Discusses community resources that may benefit the child. ___
Documents an occupational therapy treatment plan based on the IEP. ___
Comments:
_______________________________________________________________________
_______________________________________________________________________

Intervention
Obtains relevant medical information prior to providing intervention. ___
Implements the occupational therapy treatment plan. ___
Collaborates with other school personnel and parents to provide services. ___
Evaluates and documents the child's occupational performance areas and
components periodically. ___
Modifies intervention based on child's response and progress toward goals. ___
Provides the amount, frequency and duration of occupational therapy specified in
the IEP. ___
Discusses discontinuance of occupational therapy at IEP team meeting. ___
Documents comparison of initial status and status at time of discontinuance in terms
of occupational performance areas and components. ___
Documents recommendations for child following discontinuance of service.

184 Administration of Occupational Therapy and Physical Therapy in School

Comments:
_______________________________________________________________________
_______________________________________________________________________

Supervision
Determines and adheres to appropriate level of supervision for occupational ___
therapy assistants (OTAs).
Determines service competency of OTAs and delegates therapy for selected ___
children. ___
Documents supervisory visits and modifications of children's treatment plans. ___
Supervises student OTs and student OTAs.
Communicates expectations clearly and collaborates with OTA or student to solve ___
problems.
Comments:______________________________________________________________
_______________________________________________________________________
Other
Maintains licensure and continuing education as required by law. ___
Adheres to school district policies. ___
Maintains records required by Medicaid or insurance payers. ___
Maintains equipment, supplies, and designated space. ___
Evaluates the service and performs quality improvement activities. ___
Provides in-service education to other team members, parents, or community. ___
Monitors own performance and identifies supervisory and continuing education ___
needs.
Comments:
________________________________________________________________________
________________________________________________________________________

Evaluator's summary comments:_____________________________________________

________________________________________________________________________

Occupational therapist's summary comments: __________________________________

________________________________________________________________________
________________________________________________________________________

__________________________________________ _________________
Evaluator's Signature Date Signed

__________________________________________ _________________
Occupational Therapist Signature Date Signed

Source: OT 4 and PI 11.24, Wisconsin Administrative Code; American Occupational Therapy

Association, (1993). Occupational therapy roles. American Journal of Occupational Therapy, 47,
1087-1090.; American Occupational Therapy Association, (1995). Elements of clinical
documentation (Revision). American Journal of Occupational Therapy, 49, 1032-1035.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 185
 Physical Therapist
Rate each element of performance using the numerical values below. Average each
heading (evaluation, planning, intervention, supervision, and other) to determine
appraisal.

1 = unsatisfactory
2 = needs improvement
3 = meets expectations
4 = exceeds expectations
0 = not applicable

Evaluation
Reviews existing data and seeks medical information prior to providing physical ___
therapy service. ___
Evaluates child using appropriate physical therapy pediatric assessment tools. ___
Identifies child’s ability to participate in school activities. ___
Identifies child’s ability to move throughout the school environment. ___
Communicates and interprets results to the IEP team. ___
Complies with confidentiality and consent laws and standards. ___

Comments:
_____________________________________________________________________

Planning
Collaborates with IEP team to develop child’s IEP. ___
Recommends appropriate physical therapy services. ___
Identifies assistive technology necessary to implement the IEP. ___
Documents a physical therapy treatment plan based on the IEP. ___
___
Comments:
________________________________________________________________________

Intervention
Implements the physical therapy treatment plan, ___
Modifies treatment plan based on child's response and progress toward goals. ___
Collaborates with other school personnel and parents to provide services. ___
Records treatment provided, child's progress, and change in child's status on an
ongoing basis. ___
Provides the amount, frequency, and duration of physical therapy specified in the ___
IEP.

Comments:
_______________________________________________________________________

Supervision
Determines appropriate level of supervision for physical therapist assistants ___
(PTAs). ___
Determines service competency of PTAs and delegates therapy for selected ___
children. ___
Documents supervisory visits and modifications of children's treatment plans.
Supervises student PTs and student PTAs.

Comments:
_______________________________________________________________________

186 Administration of Occupational Therapy and Physical Therapy in School

Other
Maintains licensure as required by law. ___
Adheres to school district policies. ___
Maintains records required by Medicaid or insurance payers. ___
Maintains equipment, supplies, and designated space. ___
Evaluates the service and performs quality improvement activities. ___
Provides in-service education to other team members, parents, or community. ___
Monitors own performance and identifies supervisory and continuing education ___
needs.
Comments:
________________________________________________________________________

Evaluator's summary
comments:_______________________________________________________________
________________________________________________________________________

Physical therapist's summary

comments_______________________________________________________________
________________________________________________________________________

__________________________________________ _________________
Evaluator's Signature Date Signed

__________________________________________ _________________
Physical Therapist Signature Date Signed

Source: American Physical Therapy Association (January 1996). Standards of practice

for physical therapy. PT Magazine of Physical Therapy; P 11.24, Wisconsin
Administrative Code.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 187
 Occupational Therapy Assistant
Rate each element of performance using the numerical values below. Average each
heading (evaluation, planning, intervention, supervision, and other) to determine
appraisal.
1 = unsatisfactory
2 = needs improvement
3 = meets expectations
4 = exceeds expectations
0 = not applicable
Evaluation
Assists the occupational therapist (OT) with data collection and evaluation. ___
Assists the OT with recording and documenting evaluation results. ___
Complies with confidentiality and consent laws and standards. ___
Comments:
_____________________________________________________________________

Planning
Assists the OT in developing an occupational therapy treatment plan. ___
Establishes service competence in collaboration with the OT for designated
intervention procedures. ___
Comments:
_____________________________________________________________________

Intervention
Implements the occupational therapy treatment plan under the supervision of the ___
OT.
Collaborates with other school personnel and parents to provide services. ___
Documents intervention procedures and the child's response. ___
Recommends modifications of intervention to the OT. ___
Adapts environments, tools, materials, and activities as the child needs. ___
Comments: _____________________________________________________________

Other
Maintains licensure and continuing education as required by law. ___
Adheres to school district policies. ___
Maintains equipment, supplies, and designated space. ___
Assists the OT in: ___
maintaining recordkeeping and reporting system. ___
evaluating the service and performing quality improvement activities. ___
providing inservice education to other team members, parents, or community. ___
providing fieldwork experience to OT and OTA students. ___
Monitors own performance and identifies supervisory and continuing education ___
needs.
Comments: ______________________________________________________________

Evaluator's summary comments:

_______________________________________________________________________
________________________________________________________________________

Occupational therapy assistant’s summary comments:

_______________________________________________________________________
_______________________________________________________________________
__________________________________________ _________________
Evaluator's Signature Date Signed
__________________________________________ _________________
Occupational Therapist Assistant Signature Date Signed

188 Administration of Occupational Therapy and Physical Therapy in School

Physical Therapist Assistant
Rate each element of performance using the numerical values below. Average each
heading (evaluation, planning, intervention, supervision, and other) to determine
appraisal.
1 = unsatisfactory
2 = needs improvement
3 = meets expectations
4 = exceeds expectations
0 = not applicable

Evaluation
Assists the physical therapist with data collection. ___
Assists the physical therapist with recording and documenting evaluation results. ___
Complies with confidentiality and consent laws and standards. ___
Comments:
_______________________________________________________________________

Planning
Establishes service competence in collaboration with the physical therapist for
designated intervention procedures. ___
Comments:
_______________________________________________________________________

Intervention
Implements the physical therapy treatment plan under the supervision of the ___
physical therapist.
Collaborates with other school personnel and parents to provide services. ___
Documents intervention procedures and the child's response. ___
Makes modifications in interventions as directed by the physical therapist or to ___
ensure student’s safety.
Adapts environments, tools, materials, and activities as the child needs. ___
Comments:
_______________________________________________________________________

Other
Maintains licensure as required by law. ___
Adheres to school district policies. ___
Maintains equipment, supplies, and designated space. ___
Assists the physical therapist in: ___
maintaining recordkeeping and reporting system. ___
evaluating the service and performing quality improvement activities. ___
providing in-service education to other team members, parents, or community. ___
Monitors own performance and identifies supervisory and education needs. ___
Comments:
_______________________________________________________________________

Evaluator's summary comments:_____________________________________________

________________________________________________________________________

Physical therapist assistant's summary comments: _______________________________

________________________________________________________________________

__________________________________________ _________________
Evaluator's Signature Date Signed
__________________________________________ _________________
Occupational Therapist Assistant Signature Date Signed

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 189
 District Contracted Staff
Therapists who are hired under a district's master agreement undergo evaluation
in accordance with that agreement. This process may include a review of recent
IEPs, professional documentation, and an interview or a survey of those working
directly with the therapist. The evaluation process is finalized when the therapist
and administrator create and implement a professional development plan.

Purchase-of-Service Staff
The administrator annually assesses t he ability of purchase-of-service staff to
meet the service expectations of the district prior to contract renewal. Although
many districts contract annually for purchase-of-service staff, there will be times
when the contract will run for a shorter amount of time. In this case,
administrators should plan for an exit interview, or quarterly meetings with the
contracted agency. The administrator may collaborate with the contracting
In a complex, agency during the assessment of staff performance. The purchase-of-service
dynamic system agreement should specify the expectation of ongoing assessment of performance
like school,
and need for professional development.
conflicting
expectations may
exist. Evaluating Outcomes
In recent years, people across the nation have become interested in the cost and
outcomes of both special education and health care. Studies in both fields have
measured outcomes of techniques that educators and therapists use. Single-case
studies and qualitative research emerged as alternatives to control group studies,
which were sometimes of questionable value considering the wide diversity
among children in any single category of disability, and the effects of the
relationship between the child and the educator or therapist. Within a school
district of Cooperative Educational Service Agency (CESA), OTs, PTs, and
administrators evaluate the outcomes of therapy provided to each child, as well
as the overall impact of occupational therapy and physical therapy services on the
child’s education. In order to measure individual outcomes with children,
therapists must conduct evaluations that are relevant to the child's function in
school; establish baseline data against which the therapist and educator can
measure progress; and document the child's activities in relation to goals, at
regular intervals. In order to measure overall service outcomes, the therapist and
director must collaborate with others to examine the outcome data from all
children, as well as the collective performance of therapists and assistants in
relation to the school district's expectations. In a complex, dynamic system like
school, conflicting expectations may exist. An honest appraisal of service
outcome requires the participants to identify the expectations of the therapists,
teachers, principals, directors of special education, parents, school district
administrators, and school board members in order to know what standard is the
standard of quality.
A tool that districts can use to measure the effectiveness of school-based
therapy is the School Outcomes Measure (SOM). SOM was developed by the
University of Oklahoma Health Sciences Center, Department of Rehabilitation

190 Administration of Occupational Therapy and Physical Therapy in School

Science, 2007. The SOM is a m inimal data set designed to collect data from
students with disabilities who receive school-based occupational therapy,
physical therapy, or both. A minimal data set is a standardized outcome measure
that includes the fewest number of items possible to provide the information
needed. It is designed to collect population-based data across individuals to
identify outcomes for people with particular characteristics and interventions.

Equipment
Specialized equipment is often necessary for the implementation of occupational
therapy and physical therapy. A student may need this equipment to gain access
to or participate in an activity, or to participate in educational activities that the
therapist develops. Having appropriate equipment is integral to conducting
interventions designed to increase the participation of the student in school
activities. When considering procurement of equipment, school staff and admin-
istrators consider whether the equipment is necessary to allow students to benefit
from special education, either directly or through the continued use of the
equipment in the classroom or other school setting. Equipment can be categorized
as

• items essential for health or safety in school activities, such as aerosol

disinfectant, floor mats, toilet support systems, and seating systems.

• evaluation tools, such as test kits, forms, or videotapes.

• basic equipment used with a v ariety of children over a p eriod of years,

such as stacking benches, adapted utensils, a therapy ball, or a stopwatch.

• supplies used with a variety of children for the duration of a school term,
such as multiple sizes of crayons and markers, small toys and other items
to reinforce behavior or manipulate during learning activities.

Some districts include occupational therapy and physical therapy equipment,

test kits, and other materials on the IDEA flow-through budget. More infor-
mation about equipment is in chapter 7 and Appendix E.

Facilities
Occupational therapy and physical therapy often require designated space in the
general education environment or special education setting where they are often
integrated. Designated space is necessary when the activities of assessment or
therapy are disruptive to the classroom; when the student needs specific
stationary equipment; or when the student needs a private area with minimal
distraction. Areas of designated space for students should be clean, well-lit, and
well-ventilated. There should be a telephone or intercom system in the event of
an emergency and should have facilities for therapists to wash their hands.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 191
 Staff needs for designated space include access to a private telephone for
calls to physicians, parents, and private agencies; a locked storage area for
equipment, files, and materials; and an area for record keeping and report
writing. Space and Facilities in chapter 2 provides more information.

Changes in Staff
A school district should anticipate that staff resignations or leaves will occur. The
director notifies parents, principals, and staff indicating the nature of the change,
the effective date of change, resulting schedule changes, and activities that will
The director facilitates
occur during the transition. The director facilitates a smooth transition by
a smooth transition by
ensuring that the departing therapist has materials and information in place and
ensuring that the organized for the new therapist. This includes IEPs; treatment plans; attendance
departing therapist has records; progress notes; and other documentation, such as names of other school
materials and staff and personnel outside of the district who serve a child. The departing
information in place therapist should identify where the new therapist can locate equipment, supplies,
and organized for the assessment tools, keys, computers, and available office facilities in various
new therapist. buildings.

Reimbursement
Wisconsin school districts and CESAs fund the provision of occupational therapy
and physical therapy through local revenues, state aids, and federal funds. State
and federal funding sources include Wisconsin Medical Assistance Program, or
Medicaid; State Handicapped Child Categorical Aid; and IDEA Flow-through
and Preschool funds.

Medicaid
Wisconsin Act 27 of 1995 established the Medicaid School Based Services
benefit (SBS). The benefit allows schools to bill Wisconsin Medicaid for
medically necessary services that schools provide to Medicaid-eligible children,
if the school district obtains informed parental consent. (Wisconsin Department
of Public Instruction 2007 and 2009) The services may include occupational
therapy or physical therapy.
A school district or A school district or CESA can become a Medicaid provider by applying for
CESA can become a certification from Medicaid's fiscal agent. Individual school therapists do not
Medicaid provider by become certified providers under the SBS benefit, but they must be DPI-licensed
applying for therapists before Medicaid will reimburse a school district or CESA for their
certification from services. Medicaid defines an SBS as medically necessary when the service
Medicaid's fiscal
agent. • identifies, treats, manages, or addresses a medical problem, or a mental,
emotional or physical disability.

• is identified in an IEP or Individualized Family Service Program (IFSP).

• allows a child to benefit from special education.

• is prescribed by a physician when required.

192 Administration of Occupational Therapy and Physical Therapy in School

Covered services for both occupational therapy and physical therapy include

• evaluation and re-evaluation to determine the child's need for these

services and recommendations for a course of treatment.

• individual therapy or treatment or group therapy or treatment in groups of

2-7 children.

• medical equipment identified in the IEP intended for only one child for
use at school and home.

The physician’s prescription requirements for occupational therapy and

physical therapy are waived if the district has a Request of a Waiver to Wisconsin
Medicaid Prescription Requirements under the SBS on file with Medicaid.
Districts can find the waiver form on the DHS website at
http://dhs.wisconsin.gov/forms/F0/F01134.pdf. Districts may also submit a
waiver for close supervision of OTAs and PTAs. Districts can find the waiver
form, Wisconsin Medicaid Request for Waiver of Physical Therapist Assistant
and Occupational Therapy Assistant Supervision Requirement on the DHS
website at http://dhs.wisconsin.gov/forms/F0/F01149.doc. School therapists
should remember that SBS requires the supervising therapist to co-sign the
The director must
assistant’s entry in a medical record.
ensure that each
Flow-through and Preschool Budgets therapist and assistant,
IDEA flow-through and preschool entitlement budgets are part of the Local including those
Performance Plan districts submit to DPI. Districts may use these federal funds provided by a contract
for therapists’ salaries and fringe benefits, purchased services such as contracted agency, has a current
therapy, and items such as test kits or therapy equipment. Salaries and fringe and appropriate DPI
benefits paid with federal funds are not eligible for state handicapped child license.
categorical aid.

State Handicapped Child Categorical Aid

School districts must follow requirements and reporting procedures to obtain
state categorical reimbursement for part of the salaries and fringe benefits of
school OTs, PTs, OTAs, and PTAs.
The school district or CESA that is the hiring agency reports their names,
social security numbers, FTEs, salary, fringe, years of experience, highest degree
earned, grades served, or whether services are privately contracted on the third
Friday in September. The district or CESA submits this information on the web-
based application on the PI 1202 Fall Staff Report. The director must ensure that
each therapist and assistant, including those provided by a contract agency, has a
current and appropriate DPI license. The Department verifies licenses and
reimburses districts and CESAs based on license status.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 193
 Records
In Wisconsin, students’ education records are called pupil records, and they refer
to all records directly related to a student and maintained by the school district.
Pupil records include records maintained in any way including, but not limited to,
computer storage media, video and audio tape, film, microfilm, and microfiche.
There are three basic kinds of pupil records: behavioral records, progress records,
and patient health care records, and the definitions that follow are all from
Wisconsin Statutes.

Behavioral Records
Behavioral records means those pupil records which include psychological tests;
personality evaluations; records of conversations; any written statement relating
specifically to an individual pupil's behavior; tests relating specifically to
achievement or measurement of ability; the pupil's physical health records other
than immunization records or lead screening records required under s. 254.162,
Wis. Stats.; law enforcement officers' records obtained under s. 48.396(1) or s.
938.396(1m), Wis. Stats.; and any other pupil records that are not progress
records. s.118.125(1)(a),Wis. Stats.

Progress Records
Progress records means those pupil records which include the pupil's grades, a
statement of the courses the pupil has taken, the pupil's attendance record, the
pupil's immunization records, any lead screening records required under s.
254.162, Wis. Stats., and the records of the pupil's extracurricular activities.
s.118.125(1)(c), Wis. Stats.

Patient Health Care Records

Patient health care records within a school are any pupil record that relates to a
pupil's health and that do not fall within the definition of pupil physical health
record. s.118.125(2m), Wis. Stats. In general, records relating to the health of a
child that contain such information as diagnoses, opinions, and judgments made
by a h ealth care provider, except for records containing only the basic health
information included in the definition of pupil physical health records, are treated
as patient health care records.

Wisconsin law classifies the documents school OTs and PTs write as pupil
records. The pupil records that school OTs and PTs prepare, alone or in
collaboration with others, are usually either behavioral records or patient health
care records. Patient health care records are all records related to the health of a
patient, prepared by or under the supervision of a health care provider. The
definition of health care provider includes OTs, PTs, OTAs, and PTAs.
(s.146.81, Wis. Stats.)

194 Administration of Occupational Therapy and Physical Therapy in School

Privacy and Security
The Family Educational Rights and Privacy Act (FERPA) is the Federal law that
protects the privacy of students’ education records. In 1996, C ongress enacted
the Health Insurance Portability and Accountability Act (HIPAA) to protect the
privacy and security of individually identifiable health information. When
schools maintain patient health care records, the state considers the information
pupil records, and thus subject to FERPA rules, not HIPAA. However, when a
school wants or needs health information from outside health care providers, When schools maintain
schools need to adhere to the disclosure requirement of the outside health care patient health care
providers (which are HIPAA-governed) to gain access to the information. As part records, the state
of an IEP evaluation, the district may want to review existing data in a student’s considers the
patient health care record from a clinic or hospital. This requires a signed release information pupil
form from the parent. The form should include the names of all IEP team records, and thus subject
members that require access to the reports and records. In the event of a student to FERPA rules, not
transferring to another school district, patient health care records that originated HIPAA.
outside of the original district should not be forwarded to the new district. Patient
health care records generated in the school district can be forwarded to another
school district. This includes the school-based therapists’ reports.
Districts may adopt a policy that only educationally relevant information will
be included in reports. The reports are then considered behavioral records, not
patient health care records. However, PTs’ reports typically contain information
and professional terminology related to current health status, health history,
functional status and activity level, tests and measures, types of interventions,
and clinical judgment about response to intervention and expected outcomes.
This information reflects patient health care data and the document would be
filed as a p atient health care record. S. 448.56(5), Wis. Stats. requires a PT to
create and maintain a patient record and this more closely aligns with a patient
health care record. PTs may be able to write some reports, such as progress
reports using only educationally relevant information and this documentation
would be considered a behavior record and stored accordingly.
The standards of practice, Chapter OT 4, Wis. Admin Code, requires OTs to
document the evaluation including the specific evaluation tools and methods; the
intervention plan including the student’s occupational performance areas,
occupational performance components and occupational performance contexts;
and the discontinuation of services with a comparison of the initial and current
state of functional abilities and deficits in occupational performance areas and
occupational performance components. This documentation typically contains
professional terminology and medical information, so it would be filed and stored
as patient health care information. OTs may be able to write other reports, such
as progress reports, using only educationally relevant information and this
documentation would then be considered a behavior record and stored
accordingly.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 195
 Disclosure
A school district may disclose personally identifiable information from a pupil
record under three circumstances: signed release form from parent, guardian or
adult student; court order; or by authority of statute. Legally, pupil records must
be made available to district employed DPI certified staff and other school
officials that the school board determines to have legitimate educational interests,
including safety interests s.118.125(2)(d), Wis. Stats. School boards designate
contracted therapists as sc hool district officials with an educational interest in
Patient health care pupil records. Patient health care records may be released without informed
records may be released consent to school district employees if access is necessary to comply with a
without informed consent requirement in federal or state law, such as IDEA or Chapter PI 11, Wis. Admin
if access is necessary to Code. Districts may limit independent access to patient health care records to
comply with a only those staff who are qualified to interpret the information. The law also
requirement in federal or grants access to patient health care records to persons who prepare or store the
state law. records, such as school office staff. Districts document all disclosures including
what was disclosed, to whom records were disclosed, date of disclosure, and
authorization for the disclosure.

Maintenance
The department recommends patient health care records be maintained separately
from other pupil records because the requirements relating to access to and
disclosure of information from patient health care records are more restrictive
than the requirements for other pupil records. If a district stores patient health
care records in the same file as behavioral records, or therapists include patient or
family health care information in evaluation reports, they may inadvertently
violate the confidentiality of the child's patient health care records by making
them available to all school staff. Notes or personal records of a school therapist
which are not shown or shared with others are not pupil records s.115.28(7), Wis.
Stats. If a t herapist shares part or all of the contents of the note or personal
record, the information becomes a pupil record and must be treated as such.
Categorizing information specifically as a p upil record also determines how
long the school must retain the record. The school must keep progress records for
at least five years after the pupil is no longer enrolled. The school may keep
behavioral records no more than one year after the pupil is no longer enrolled,
unless the pupil consents in writing to an extended period of record retention. No
existing statutory language governs retention of patient health care records in
schools.
The school board adopts and publishes its policy on r ecord retention, and
should include a statement on retaining patient health care records. The
Wisconsin Medical Assistance Program advises schools that bill Medicaid to
retain records related to claims for five years. In addition to board policy,
contracts between the school and a health care provider, such as an OT or PT,
should address where and how long the provider will keep patient health care
records of students served.

196 Administration of Occupational Therapy and Physical Therapy in School

 More information is available in Student Records and Confidentiality on the
department’s website at http://dpi.wi.gov/sspw/pdf/srconfid.pdf. Information
about access to records is found at http://dpi.wi.gov/sped/accessrecords.html.

Electronic Mail (E-Mail)

Therapists need to be aware of and adhere to school district policies regarding e-
mail use. E-mail messages are public records and are subject to open records law,
investigatory review, or discovery proceedings in legal actions. Therapists should
use professional judgment when communicating electronically and consider the
message a professional document. This is important to remember as e-mail tends
to be regarded generally as an informal and casual conversation between private
individuals. Therapists and other school staff should not communicate via e-mail
about specific students as this is a violation of student confidentiality.

Liability
“Risk management is the process of identifying, analyzing, and addressing areas
of existing and potential risk.” (APTA 2009) School therapists apply risk
management practices to provide students with interventions, activities, and
adaptive equipment in an environment which poses low risk. Districts may have
a risk management/safety team and a school-based therapist may be a member of
the team. Therapists need to comply with district safety and risk management
policies and procedures. The professional organizations, AOTA and APTA,
provide guidance on risk management on t heir respective websites and in
publications and other documents.
“Proactive risk management practices can help avoid or reduce liability.” Therapists should
(APTA 2009) Most school districts provide liability insurance for their consider carrying their
employees, but all therapists, whether they are hired by the district, working own insurance.
independently, or hired by a CESA or other agency, should consider carrying
their own insurance. It is the responsibility of school OTs and PTs to have
adequate liability insurance against claims of negligence or malpractice.
A hearing or court proceeding may require a therapist to submit documen-
tation of a s tudent’s services as ev idence. As therapists write reports and keep
records, they should keep in mind that courts or hearing officers could use these
records to support or refute a litigant's allegations. To protect themselves and the
students they serve, therapists should follow professional practice documentation
guidelines. Documentation of proper use of equipment, regular maintenance of
equipment and sufficient training of other staff have been factors in the resolution
of complaints to DPI, as described in chapter 7.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 197
 References
American Occupational Therapy Association. 2006. “Transforming Caseload to
Workload in School-Based and Early Intervention Occupational Therapy
Services.” Bethesda, MD: American Occupational Therapy Association.
http://www.aota.org/Practitioners/PracticeAreas/Pediatrics/Browse/School/38519
.aspx (accessed August 18, 2010).

American Physical Therapy Association. 20031. Clinical Skills Performance

Evaluation Tools for Physical Therapists – Pediatrics. Alexandria, VA:
American Physical Therapy Association.

___.“Professionalism in Physical Therapy: Core Values Self-Assessment.”

20032.
http://www.apta.org/AM/Template.cfm?Section=Professionalism1&TEMPLATE
=/CM/ContentDisplay.cfm&CONTENTID=41460 (accessed August 18, 2010).

___. “Physical Therapy Workforce Project: Physical Therapy Vacancy and

Turnover Rates in Acute Care Hospitals, February 28, 2008,”
http://www.apta.org/AM/Template.cfm?Section=Demographics&CONTENTID=
46601&TEMPLATE=/CM/ContentDisplay.cfm (accessed March 9, 2010 -
members only).

___. “Risk Management.” 2009.

http://www.apta.org/AM/PrinterTemplate.cfm?Section=Risk_Management2&Te
mplate=/TaggedPage/TaggedPageDisplay.cfm&TPLID=312&ContentID=37579
(accessed August 18, 2010).

Cecere, S. 2008. “School-based Special Interest Group, Workload Subcommittee

Report.” APTA’s Section on Pediatrics School-Based Special Interest Group
(SIG) Newsletter 4-6.

___. 2010. “School SIG’s Workload Study: Descriptive Statistics.” APTA’s

Section on Pediatrics, School-Based PT Special Interest Group Newsletter 5.

Center on Personnel Studies in Special Education (COPSSE) website. “Special

Education Work Force Watch, Insights from Research.” http://www.copsse.org/
(accessed February 2004).

Chiang, B., and B. Rylance. 2000. “Occupational and Physical Therapy Caseload
Size: Service Provision and Perceptions of Efficacy.” Wisconsin Educators’
Caseload Efficacy Project, Research Report 5. University of Wisconsin–
Oshkosh.

198 Administration of Occupational Therapy and Physical Therapy in School

Hinojosa, J., L. Thomson, D. Lieberman, R. Murphy, E. Wendt, J. Poole, and S.
Hertfelder. 1995. Developing, Maintaining, and Updating Competency in
Occupational Therapy: A Guide to Self-Appraisal. Bethesda, MD: American
Occupational Therapy Association.

University of Oklahoma Health Sciences Center, Department of Rehabilitation

Science. “School Outcomes Measure, Administrative Guide 2007.”
http://www.ah.ouhsc.edu/somresearch/adminGuide.pdf (accessed March 9,
2010).

Wisconsin Department of Public Instruction. 2006. “Wisconsin Educator Supply

and Demand Project” http://dpi.wi.gov/tepdl/pdf/supdem06.pdf (accessed March
18, 2010).

___. “Parent Consent to Bill Wisconsin Medicaid for Medically-related Special

Education and/or Related Services.” 2007. http://dpi.wi.gov/sped/bul07-02.html
(accessed November 1, 2010).

___. “Student Records and Confidentiality.” 2008.

http://dpi.wi.gov/sspw/pdf/srconfid.pdf (accessed August 18, 2010).

___. “School-based Services (SBS) and Medicaid Administrative Claiming

(MAC) – Student Confidentiality and Parental Consent.” 2009.
http://dpi.wi.gov/sped/bul09-01.html (accessed November 1, 2010).

Wisconsin Education Career Access Network (WECAN).

http://services.education.wisc.edu/wecan (accessed August 18, 2010).

Wisconsin educator jobs and other jobs in educational settings.

http://ww2.wisconsin.gov/state/employment/app?COMMAND=gov.wi.state.cpp.
job.command.LoadSeekerHome (accessed August 18, 2010).

Wisconsin Occupational Therapy Association newsletter http://www.wota.net

Wisconsin Physical Therapy Association newsletter http://www.wpta.org/

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 199
 Other Resources
American Physical Therapy Association. “School-based Special Interest Group
News.” 2008. http://www.pediatricapta.org/special-interest-groups/school-based-
therapy/pdfs/School-Based%20SIG%20News%20-%20February%202008.pdf
(accessed August 18, 2010).

Effgen, S., L. Chiarello, and S. Milbourne. 2007. “Updated Competencies for

Physical Therapists Working in Schools.” Pediatric Physical Therapy 19: 266-
74.

“Joint Guidance on the Application of the Family Educational Rights and

Privacy Act (FERPA) and the Health Insurance Portability and Accountability
Act of 1996 (HIPAA) To Student Health Records.” 2008. U.S. Department of
Health and Humana Services and U.S. Department of Education.

Phillips, A. M. 2004. Assessing Competence: A Resource Manual. Alexandria,

VA: American Physical Therapy Association.

200 Administration of Occupational Therapy and Physical Therapy in School

 9
Questions and Answers
IEP Team
1. How can teachers and other school staff recognize that a child may need
occupational therapy or physical therapy as part of an Individualized
Education Program (IEP)?
Teachers should identify the tasks and environments in which the child is not
progressing or participating, try the educational accommodations or
interventions that they think will support the child and monitor the child’s
response. The Reference Guides, Figures 6 and 7, in chapter 3 will help the
teacher focus on areas that occupational therapy and physical therapy
typically support.

2. Does an occupational therapist need a medical referral?

No, provided the evaluation or intervention follows the IEP team process or
the Section 504 process, and the occupational therapist (OT) or occupational
therapy assistant (OTA) provides services in an educational environment,
including the child’s home, for a child with a disability. An OT requires
medical information about a child with a disability before providing services.
A physician’s referral may be required if the OT serves a child who does not
have a disability.

3. Does a physical therapist need a medical referral?

No, with exception. A medical referral is not required when evaluating or
serving a child with a disability under IDEA. A referral is also not required
for other students when services are related to educational environments for
conditioning, injury prevention, application of biomechanics, and treatment
of musculoskeletal injuries. For provision of other services, a referral is
needed. A medical referral is required when a student has an acute fracture,
or soft tissue avulsion. A physical therapist (PT) requires medical
information about a child with a disability from a physician before providing
services.

4. When must a school district include an occupational therapy or physical

therapy evaluation as part of an IEP team process?
If the district suspects that a child needs occupational therapy or physical
therapy, it must conduct an IEP team evaluation or reevaluation and hold a
meeting to determine initially if the child requires occupational therapy or
physical therapy. The district must conduct an IEP team reevaluation of a
child at least every three years unless the district and the parent agree not to
do so, and the reevaluation may include occupational therapy or physical
therapy. If the child currently receives therapy and needs an assessment for

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 201
 another area of that therapy, such as assistive technology, the therapist may
conduct the assessment without an IEP team process.

5. May an OT legitimately screen a child for the need for occupational

therapy? May a PT legitimately screen a child for the need for physical
therapy?
No. Screening an individual child for the need for therapy is a form of
evaluation, which includes observation, interview, and record review. The
school district must have prior written notice and consent for evaluation
from the parents for such an evaluation. The IEP team alone can determine if
a child requires occupational therapy or physical therapy, following an
evaluation by the respective therapist.

6. How often must a therapist conduct an evaluation of a child?

The respective therapist must conduct an evaluation of the child when first
assigned to the IEP team of a child suspected of needing occupational
therapy or physical therapy. When a PT provides general supervision of a
physical therapist assistant (PTA), the PT must provide an on-site
reevaluation of each child's therapy a m inimum of one time per calendar
month or every tenth day of therapy, whichever is sooner. When an OT
provides general supervision of an OTA, the OT must provide an on-site
reevaluation of each child's therapy a m inimum of one time per calendar
month or every tenth day of therapy, whichever is sooner. The OT routinely
evaluates and documents occupational performance areas and occupational
performance components. As part of any IEP team reevaluation of a child
who is receiving therapy, the IEP team reviews existing evaluation data and
identifies whether any assessments or other evaluation measures must be
administered to produce needed data.

7. What process must an IEP team use to add occupational therapy or physical
therapy to a child’s existing IEP?
The school will conduct a reevaluation of a child, providing prior written
notice to the parent and obtaining informed parental consent for evaluation
as procedural safeguards, in order to consider adding occupational therapy or
physical therapy to the IEP.

8. Must the OT and the PT write individual reports of their evaluations as

members of the IEP team?
Yes. The state license issued by the Wisconsin Department of Regulation
and Licensing (DRL) to OTs requires that occupational therapy evaluation
results be documented in the individual’s record. The state license issued by
DRL to PTs requires that PTs create a patient record for every patient the PT
treats.

202 Questions and Answers

9. Can the therapist recommend occupational therapy or physical therapy in
the individual report?
Yes. The therapist may include in his or her report a statement concerning
the nature of the therapy he or she recommends.

10. What is the eligibility criterion for a child to receive occupational therapy or
physical therapy?
The respective therapy must be required to assist the child to benefit from
special education.

11. Can a district use the following criterion: if the child's gross or fine motor
level is commensurate with cognitive ability, then there is no need for
therapy?
No. The fact that the child's delay in motor skill development is
commensurate with the child's developmental levels in other areas is not an
appropriate standard by which to determine a child's need for occupational
therapy or physical therapy.

12. Does the therapist decide if the child needs therapy?

The therapist makes a recommendation, but the IEP team determines if
occupational therapy or physical therapy is required to assist the child to
benefit from special education. This individualized decision is made most
effectively after the team has written annual goals for the child and
determined the special education that will help the child meet the goals. No
other criterion, such as a test score, may be used as a q ualification standard
across all children.

13. Can the OTA or PTA represent the therapist at the IEP team meeting?
No. The OTA or PTA cannot represent the therapist at the IEP team meeting.
This would place the assistant in the position of interpreting findings and
analyzing the student's need for therapy which is beyond the assistant's role
and function. (PI 11.24(7)(e), Wis. Admin Code) The assistant may be able
to provide therapy to the children while the therapist attends meetings.

IEP
1. Should the OT and PT have their own pages on the IEP?
No. In the past, many educators and therapists brought different lists of
instructional and therapy goals and objectives to the IEP meeting, often
stapling these pages together to form the IEP. The team members should
combine their efforts to develop the IEP at the meeting. The goals and
objectives they set are for the child, not for the service providers. The child's
occupational therapy and physical therapy treatment plans are the
appropriate places to delineate the specific therapy goals and objectives.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 203
 2. How do therapists and educators write functional goals and objectives?
Functional goals and objectives are written descriptions of what the child
needs to do bu t is presently unable to do i n a naturally occurring school
environment. The IEP team writes goals and objectives that are the expected
outcomes within those environments.

3. Should IEP goals be general or specific?

The IEP team should write an annual goal with enough measurable
indicators that anyone working with the child could determine if the child
achieved the goal in a year. Goals and objectives are too specific if they
begin to resemble treatment plans or daily instructional plans.

4. How must occupational therapy and physical therapy be documented on the

IEP?
Occupational therapy and physical therapy are related services. It is
sufficient to check the box next to the service on the IEP (DPI form I-9) and
to fill in amount, frequency, location and duration. Amount and frequency
must be specific, either numbers, circumstances or both. Location should
inform the IEP team of any time that the child is not with nondisabled peers.
If the duration is a period of time different than the IEP duration, the
beginning and ending date must be provided. The information should be
clear to the IEP team and other teachers.

5. How should the IEP team write the amount and frequency of therapy for
infrequent consultation or for service that will vary in amount and frequency
because of the child's needs?
In the case w here it is impossible to describe special education services in
daily or weekly allotments of time, the IEP must clearly describe the
circumstances under which the service will be provided and for how long.
This requires much more detail in the description of the therapy, such as 45
minutes total during the first week of each new unit in physical education.
Alternatively, the team may write a schedule into the IEP if they expect
therapy to change in amount and frequency because of the child's future
needs. This requires the team to predict the amount and frequency a ch ild
needs on specific dates.

6. How does the amount and frequency of therapy on the IEPs relate to the
amount of time a therapist is employed, the amount of time for which the
school is billed, and the therapist's schedule?
The amount and frequency of therapy on the IEPs is one of several factors
districts consider when determining the amount of time to employ or
contract for a therapist. The therapist's schedule includes time to do the
following: conduct evaluations; attend IEP team meetings and staff
meetings; travel among buildings; set up a nd remove equipment and
supplies; write reports, treatment plans and progress notes; contact parents

204 Questions and Answers

 and physicians; and order equipment. An agency or CESA may bill a school
district for an amount of time based on I EPs, but fees may be adjusted to
account for the actual time the school requires from the therapist.

7. May therapists cancel therapy to attend IEP team meetings or in-services?

No. Therapists may not cancel children's therapy to attend meetings if
cancellation means the child will not receive the amount, frequency, and
duration of therapy stated in the child's IEP. A school district either must
hold an IEP meeting to change the amount, frequency, or duration of a
child's therapy or must obtain the agreement of the child’s parent to change
the IEP without a meeting. However, when there is no change in the overall
amount of therapy, the district may make some adjustments in scheduling
without holding another IEP meeting.

8. Must a therapist be excused in advance if he or she is unable to attend an

IEP team meeting?
Yes. A school district may excuse a required member of an IEP team from
attending a meeting in whole or in part if the child’s parent agrees in writing.
State law requires OTs, PTs, and speech pathologists to be IEP team
members when a child needs or is suspected to need their respective
services. When the meeting involves a modification to, or discussion of the
therapist’s service or area of the curriculum, any therapist who is excused
from attending must give the parent and the IEP team written input into the
development of the IEP prior to the meeting.

9. Can the OT or PT recommend the amount and frequency of therapy if he or

she is unable to attend the IEP team meeting?
Yes. The therapist may make a written recommendation concerning the
nature, frequency, and amount of therapy to be provided to the child. The
IEP team may consider the therapist’s recommendation when they determine
the content of the IEP.

10. If the IEP team determines that specially-designed physical education is the
only special education a child with an orthopedic impairment or other health
impairment needs, can the child receive occupational therapy and physical
therapy?
Yes. If the IEP team members determine the child requires occupational
therapy and physical therapy to benefit from specially-designed physical
education, then the child receives the related services.

11. If a child is identified as having a speech and language impairment and also
has sensory motor problems that significantly affect socialization at recess
and manual activities in class, can the child receive occupational therapy?
Yes. Regardless of the child's area of impairment, the IEP team writes goals
and objectives that address the unique academic and functional needs of the

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 205
 child. It is up to each child’s IEP team to determine the special education and
related services needed to meet each child’s unique needs in order for the
child to receive a free, appropriate public education.

12. If the therapist and other school staff in the IEP team meeting feel that
discontinuing occupational therapy or physical therapy is appropriate but
the parents disagree, who makes the final decision?
School staff must consider parents' recommendations because they are equal
participants in the IEP team meeting. It is helpful for the IEP team to identify
the child’s goals and the special education that will address the goals before
asking if occupational therapy or physical therapy is required to assist the
child to benefit from the special education that will be provided. IEP teams
that cannot come to consensus may agree to pursue mediation or other
methods of conflict resolution.

Caseload
1. If a therapist's caseload exceeds the legal maximum, whose responsibility is
it to reduce the number of children served by that therapist?
The law permits caseloads to vary from the maximum numbers in law
depending on f actors that the law specifies. The amount of service in
children’s IEPs is one of those factors. The school district has a
responsibility to provide the amount of service the IEP team has written into
the IEP. Therapists and parents should bring caseload concerns to the
attention of the school district’s director of special education. Together, they
should discuss management of the caseload, which may include reducing the
therapist’s caseload, adding staff, or allocating the therapist’s time
differently.

2. Does the number of children on a therapist's caseload include children who

receive infrequent consultation (periodic check)?
Yes. When he or she receives direct or indirect therapy pursuant to an IEP,
the child is counted on the therapist's caseload regardless of the frequency of
therapy.

Documentation
1. What type of documentation must a therapist prepare?

• An individual report of the evaluation he or she conducted as a member of

the IEP team.

• Relevant information and recommendations for a student's IEP as an IEP

team member.

• A treatment plan for each child he or she serves.

206 Questions and Answers

 • A supervision policy for OTAs and PTAs.

• In addition, an OT must document the child’s status periodically and

prepare a report after the child discontinues therapy.

As good practice, the therapist will write progress notes; document

supervision of therapy assistants; keep records of treatment sessions; and
keep records of phone contacts with parents, physicians, and other providers.
The OT and PT contribute information on the amount of progress the student
shows in meeting IEP goals. There is no requirement for each service
provider on the IEP team to send a progress report to parents. When services
are reimbursed by insurance, additional documentation is usually required.

2. How long must therapists keep documentation?

School districts may keep documentation classified as behavioral records no
longer than one year after a pupil is no l onger enrolled unless the pupil
consents in writing to a longer period of record retention. The law does not
specify how long a school should retain patient health care records. Districts
may need documentation related to IEPs and Medicaid billing for up to five
years. Local school board policy addresses records retention.

3. How should a therapist write a treatment plan?

In a treatment plan, the therapist typically describes the child's disability,
medical diagnosis, contraindications to therapy, related IEP goal(s), therapy
goals, and the equipment and personnel needed for interventions. Sample
treatment plan formats are in Appendix B. Therapists may develop their own
formats according to their plans to intervene. Therapists may change
treatment plans as needed.

Other Practice Issues

1. How is school-based occupational therapy and physical therapy different
from clinical therapy?
School-based therapy differs from clinical therapy in several aspects.
Therapists provide service in school if a ch ild requires it to benefit from
special education. The emphasis in school therapy is to enable the child to
participate in academic and non-academic activities within school
environments. In a hospital or other medical facility, therapists typically
provide interventions to remediate an acute or chronic medical problem or
promote development. Clinical therapy also includes rehabilitation following
a catastrophic illness or injury. Rehabilitation typically includes intensive
services for several weeks or months to enable an individual to return to the
community.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 207
 Therapists provide intervention in school only after an IEP team determines
that a child has a disability and needs special education and occupational
therapy or physical therapy. In a clinical model, therapists typically provide
intervention that a physician requests.

2. Can a therapist delegate procedures like brushing or range of motion to

teachers or other school staff?
An OT may delegate occupational therapy to an OTA based upon the
assistant's education, training, and experience. Wisconsin law does not allow
anyone who is not an OT or an OTA to claim to render occupational therapy.
(s. 448.03 (f)(g), Wis. Stats.)

A PT may delegate a t herapy procedure to a PTA based on the assistant's

education, training, and experience. Wisconsin law requires that any
physical therapy that someone other than the PT or PTA provides must be
under the direct, on-premise supervision of the PT. (PT 5.02, Wis. Admin
Code)

OTs and PTs should not delegate direct therapy procedures that require the
skills, knowledge, experience, training, and judgment of a therapist or
assistant to teachers or other school staff. There are some school activities in
which the roles and responsibilities of therapists and teachers coincide. For
example, sitting in the classroom, writing, eating, and moving through the
school are part of the child's school day. Both therapists and educators may
have a role in helping the child increase his or her participation in these
school activities. Therapists provide indirect service by collaborating with
school staff to adapt materials, provide assistive technology, or integrate a
skill learned during therapy into the classroom.

3. Will Medicaid pay for occupational therapy and physical therapy that a
school district provides as a related service on the child's IEP?
Yes, if the school meets the following requirements: the child must be
eligible for Medicaid; the service must be medically necessary; the school or
CESA must be a certified provider; the OT and PT must hold a DPI license
and the parents must give written consent for the school to bill Medicaid.
The Medicaid fiscal agent can provide schools with complete certification
and billing information.

4. Can therapists work with small groups of children?

Yes. Therapists provide service to small groups of children when that
method of service delivery meets the unique needs of each child in the
group. Small group intervention frequently occurs in early childhood
classrooms. If the therapist plans to work with children in a small group, he
or she should inform parents of the delivery method.

208 Questions and Answers

5. Can a child receive direct physical therapy or occupational therapy under
Section 504 without receiving special education?
Yes. A child can receive direct occupational therapy or physical therapy
under Section 504 without receiving special education. Schools receive no
state or federal reimbursement for services they provide under Section 504.

6. If a child is enrolled in a private school, can he or she still receive

occupational therapy or physical therapy as a related service?
A child who is enrolled in a private school by his or her parents may receive
occupational therapy or physical therapy as a r elated service if these are
services the child needs to benefit from special education, and if the school
district agrees to provide these services to parentally placed private school
students.

7. May school OTs and school PTs provide services to children who do not
have disabilities or have not been referred for a special education
evaluation?
An OT or PT may provide services that are likely to improve occupational
performance or functional movement for all students in a school. In
educational terminology, this approach is called a universal intervention. It
frequently takes the form of providing personnel development for teachers. If
a school wants to provide targeted occupational therapy or physical therapy
to children outside of the IEP team process, the school should consider

• licensure rules that require evaluation prior to providing service.

• licensure rules that require physician referral.

• parental informed consent.

• the possibility of an IDEA complaint.

• the provision of therapy to children without IEPs who need clinical

services.

• limitations on the use of state and federal aid for occupational therapy and
physical therapy that are not driven by IEPs.

Recruitment
1. How can a school district obtain occupational therapy or physical therapy?
A district can obtain the services of an OT, a PT, an OTA, or a PTA by
hiring the therapist or assistant on staff; contracting with a CESA or
CCDEB; forming a 66:30 agreement with another agency to share therapy;
or contracting with a hospital, clinic, private agency, individual therapist or
individual assistant.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 209
 2. What should a district do if it cannot find a therapist?
The district should try the following strategies.

• Advertise the therapist position in the local newspapers and professional

therapy journals and newsletters.

• Post the position at colleges and universities that train therapists. Contact
information for the training institutions are in Appendix A.

• Seek a contract for a therapist through a CESA, 66:30 agreement, private

agency, hospital, clinic, or public health agency.

• Document all attempts to hire a therapist or contract for the service.

• Notify the parents in writing about any interruption in therapy. Explain

the steps being taken to hire or contract for the service.

• Enlist the support of parents to notify the district of any therapist, agency,
or hospital that may be able to provide the therapy.

• If parents locate a therapist to serve their child, contact the therapist to

arrange a co ntract between the therapist and the district, exploring
whether the therapist has time to serve other students.

• Arrange for transportation to and from therapy at a hospital or agency or

offer to reimburse parents for transportation costs.

• Provide therapy before or after school hours and on weekends at a

hospital or agency.

• Inform the parents periodically through letters, telephone calls, and group
meetings about the good faith efforts of the district to obtain the therapist.

3. What is a reasonable salary for therapists and assistant therapists?

Salaries for therapists vary throughout the state and depend on availability,
experience, and labor agreements. Rates for contracted services are usually
higher than staff salary rates. The teacher salary schedule may not offer
competitive salaries for therapists. Districts may find that availability and
competition with health care agencies governs salary ranges for therapists.
A district can get information about local salaries by contacting other
school districts, CESAs, hospitals and clinics in the region.

4. How much supervisory time does the law require of a therapist if the district
hires a full-time assistant?
The ratio of a therapist’s FTE to an assistant’s FTE is one to two. If the
district hires a full-time assistant, the therapist must work at least .50 FTE.
Under close supervision, the therapist must have daily, direct contact on the
premises with the assistant. Under general supervision, the therapist must

210 Questions and Answers

 have direct contact with the assistant at least once every 14 calendar days,
providing on-site reevaluation of each child’s therapy a minimum of one
time per calendar month or every tenth day of therapy, whichever is sooner.

Licensing Issues
1. Can a district hire a new graduate or someone who is waiting to take a
professional board examination or waiting for the results of such an exam?
Yes, if that individual meets licensing requirements.

• A graduate OT and OTA must have a t emporary license from the

Department of Regulation and Licensing (DRL) to practice. Practice
during this period requires consultation with a licensed OT who shall at
least once a month endorse the activities of the person holding the
temporary license.

• A graduate PT and PTA must have a temporary license from DRL to

practice. Practice under a temporary license may not exceed 9 months.
The PT must provide direct, immediate, and on-site supervision for the
graduate PT or graduate PTA.

• All therapy personnel must apply for a license from DPI, which will grant
a one-year, provisional license until DRL issues a regular license.

2. What if the OT, PT, OTA or PTA fails the licensure examination?
The individual cannot practice occupational therapy or physical therapy.

3. What is an entry-level OT?

Entry-level refers to a p erson who has no demonstrated experience in a
specific position, such as new graduate, a person new to the position, or a
person in a new setting with no previous experience in the area of practice.

4. Does DPI require specific continuing education for OT and PT license

renewal?
No. PTs and PTAs must have current licenses from the DRL. Continuing
education requirements for renewal of PT and PTA licenses are specified in
Chapter PT 9, Wis. Admin Code. OTs and OTAs must have current licenses
from DRL. Continuing education requirements for renewal of occupational
therapy and OTA licenses under DRL are specified in Chapter OT 3, Wis.
Admin Code.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 211
 10
Appendix A
Organizations

National Associations
American Occupational Therapy Association (AOTA)
(301) 652-AOTA (2682)
(301) 652-7711 (FAX)
(800) 377-8555 (TDD)
(800) SAY-AOTA (Member Line)
(301) 652-6611 (Voice Mail)
http://www.aota.org/

American Physical Therapy Association (APTA)

(703) 684-APTA (2782)
(703) 684-7343 (FAX)
(703) 683-6748 (TDD)
(800) 999-2782
http://www.apta.org/

The Association for Persons with Severe Handicaps (TASH)

(202) 540-9020
(202) 540-9019 (FAX)
http://www.healthfinder.gov/orgs/HR1486.htm

Council for Exceptional Children (CEC)

(888) 232-7733
(703) 264-9494 (FAX)
(866) 915-5000(TTY)
http://www.cec.sped.org//AM/Template.cfm?Section=Home

National Association of State Directors of Special Education

(703) 519-3800
(703) 519-3808 (FAX)
nasdse.org

National Board for Certification in Occupational Therapy (NBCOT)

(301) 990-7979
(301) 869-8492 (FAX)
http://www.nbcot.org/

National Dissemination Center for Children with Disabilities

NICHCY
(800) 695-0285 (V/TTY)
(202) 884-8200 (V/TTY)
(202)884-8441 (fax)
nichcy@aed.org
www.nichcy.org

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 213
 RESNA: Rehabilitation Engineering and Assistive Technology Society of North America
(703) 524-6686
(703) 524-6630 (FAX)
http://resna.org/

ABLEDATA
(800) 227-0216.
http://www.abledata.com/

Disability.gov
Connecting the Disability Community to Information and Opportunities
https://www.disability.gov

State Organizations
Arc Wisconsin
(877) 272-8400
http://www.arc-wisconsin.org/

Autism Society of Wisconsin

(920) 558-4602
WI only: Toll-free 1-888-4-AUTISM (1-888-428-8476)
asw@asw4autism.org
http://www.asw4autism.org/

CHADD (Children with Attention Deficit Disorder)

http://www.chadd.org/

Family Assistance Center for Education, Training and Support

Wisconsin FACETS
(877) 374-4677 (Toll-free)
(414) 374-4655 (FAX)
(414) 374-4635 (TDD)
wifacets@wifacets.org
www.wifacets.org

Family Village
Clearinghouse of information for families of children with disabilities
Waisman Center
University of Wisconsin-Madison
http://www.familyvillage.wisc.edu/

Learning Disabilities Association of Wisconsin

ldainfo@LDAwisconsin.com
http://www.ldawisconsin.com/

Muscular Dystrophy Association (MDA)

http://www.mda.org/locate/

214 Appendix A
National Alliance on Mental Illness
NAMI Wisconsin Inc
(608)268-6000
(800)236-2988
www.namiwisconsin.org

United Cerebral Palsy of Southeastern Wis. Inc.

(414) 329-4500
(414) 329-4511 (TTY)
(414) 329-4510 (FAX)
Toll Free: 888-482-7739
info@ucpsew.org
http://www.ucpsew.org/

Wisconsin Occupational Therapy Association (WOTA)

(608) 287-1606
(800) 728-1992 (members only)
(608) 287-1608 (FAX)
wota@execpc.com
www.wota.net

Wisconsin Physical Therapy Association (WPTA)

(608) 221-9191
Consumer Hotline Toll Free: (866) FOR-MYPT (367-6978)
(608) 221-9697 (FAX)
wpta@wpta.org
http://www.wpta.org/

Federal Agencies
Department of Education
Office of Civil Rights (OCR)
U.S. Department of Education
Hotline: 1-800-421-3481
http://www2.ed.gov/about/offices/list/ocr/index.html

Office of Civil Rights, Chicago Office (Region V)

U. S. Department of Education
(312) 730-1560
(312) 730-1576 (FAX)
(312) 730-1609 (TDD)
OCR.Chicago@ed.gov

Office of Special Education Programs (OSEP)

U.S. Department of Education
(800) 872-5327
(800) 437-0833 (TTY)
http://www2.ed.gov/about/offices/list/osers/osep/index.html

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 215
 Office of Special Education and Rehabilitative Services (OSERS)
U.S. Department of Education
(800) 872-5327
(800) 437-0833 (TTY)
http://www2.ed.gov/about/offices/list/osers/index.html

U.S. Government Printing Office

DC metro area (202) 512-1800
toll free (866) 512-1800
fax (202) 512-.2104
gpo@custhelp.com
http://www.gpo.gov/

State Agencies
State of Wisconsin Home Page
Includes Wisconsin state agencies
http://www.state.wi.us/state/index.html

Department of Administration
Document Sales & Distribution
Phone Orders: (608) 266-3358, (800) 362-7253, or (608) 264-9419
(608) 261-8150 (FAX)
docsales@doa.state.wi.us
State of Wisconsin Document Sales Catalog
http://www.doa.state.wi.us/docview.asp?docid=6590&locid=2

Department of Children and Families (DCF)

(608) 267-3905
(608) 266-6836 (FAX)
dcfweb@wisconsin.gov
http://dcf.wi.gov/default.htm

Department of Commerce
(608) 266-1018
http://www.commerce.state.wi.us/

Department of Health Services (DHS)

(608) 266-1865
http://dhs.wisconsin.gov/

DHS Telephone Hotlines

http://dhs.wisconsin.gov/data/hotline.asp

Bureau of Health Care Financing (Medical Assistance)

(608) 266-2522
(800) 362-3002
(608) 266-4279 (TDD)
dhswebmaildhcf@wisconsin.govhttp://dhs.wisconsin.gov/medicaid/index.htm

216 Appendix A
School-Based Services (SBS)
SBS/MAC Policy (608) 266-9815, Gregory.Dimiceli@wi.gov
SBS/MAC Fiscal (608) 266-3802, Steve.Milioto@wi.gov

Division of Health Care Access and Accountability

EDI Department
(608) 221-9036
wiedi@dhfs.state.wi.us

Long Term Care and Support Services

http://dhs.wisconsin.gov/programs/ltc.htm
Autism Services: http://dhs.wisconsin.gov/bdds/clts/autism/
Birth to 3 Program: http://dhs.wisconsin.gov/bdds/birthto3/index.htm
Center for People with Intellectual Disabilities: http://dhs.wisconsin.gov/Disabilities/dd_ctrs/index.htm
Children’s Long Term Support Waivers: http://dhs.wisconsin.gov/bdds/clts/index.htm
Children with Special Health Care Needs: http://dhs.wisconsin.gov/health/children/
Family Support : http://dhs.wisconsin.gov/bdds/fsp/
Katie Beckett: http://dhs.wisconsin.gov/bdds/kbp/

First Step (Birth to Six Information and Referral)

(800) 642-STEP (7837)

WisTech
Assistive Technology Information Network
Office of Independence and Employment
(608) 267-9091
(608) 267-9880 (TTY)
(608) 266-3386 (FAX)
ralph.pelkey@dhs.wisconsin.gov
sarah.lincoln@dhs.wisconsin.gov
http://dhs.wisconsin.gov/disabilities/wistech/whatiswistech.htm

Department of Public Instruction (DPI)

(608) 266-3390
(800) 441-4563
(608) 267-2427 (TDD)
(608) 267-3746 (FAX Special Education)
http://dpi.wi.gov/
(608) 266-1027 Licenses
http://dpi.wi.gov/sped/tm-specedtopics.html (Special Education Index)

Department of Regulation and Licensing (DRL)

(608) 266-2811
(877) 617-1565
http://drl.wi.gov/

Occupational Therapists Affiliated Credentialing Board (OTACB)

http://drl.wi.gov/board_detail.asp?boardid=44&locid=0

Physical Therapy Examining Board (PTEB)

http://drl.wi.gov/board_detail.asp?boardid=47&locid=0

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 217
 Department of Transportation (DOT)
Transportation Safety
(608) 266-0402
http://www.dot.wisconsin.gov/about/
Phone Guide: http://www.dot.wisconsin.gov/about/contacts/phoneguide.htm#S
School buses (608) 267-3154
Seat belts/car seats (608) 267-7520
Safety schools (608) 266-2237
Driver license information (608) 266-2353
Equipment (608) 266-0094

Department of Workforce Development (DWD)

Civil Rights Bureau
Equal Rights Division
http://dwd.wisconsin.gov/

Madison Office
(608) 266-6860
(608) 267-4592 (FAX)
(608) 264-8752 (TTY)

Milwaukee Office
(414) 227-4384
(414) 227-4084 (FAX)
(414) 227-4081 (TTY)

Division of Vocational Rehabilitation (Transition)

(800) 442-3477 (Toll Free)
(608) 266-1133 (FAX)
(888) 877-5939 (TTY)
dvr@dwd.wisconsin.gov
http://dwd.wisconsin.gov/dvr/

University and Technical College Programs

Accredited Occupational Therapy Programs
http://www.aota.org/Students/Schools/EntryLevelOT/38119.aspx#wi

Accredited Occupational Therapy Assistant Programs

http://www.aota.org/Students/Schools/EntryLevelOT/38117.aspx

Accredited Occupational Therapy Doctoral Level Programs

http://www.aota.org/Students/Schools/EntryLevelOT/Doctoral.aspx

Accredited Physical Therapist Education Programs

http://apps.apta.org/Custom/wstemplate.cfm?cfml=accreditedschools/Index.cfm&cfmltitle=Accredited%2
0PT%20and%20PTA%20Programs&process=1&state=WI&type=PT&&fromStudentMap=1

218 Appendix A
Accredited Physical Therapist Assistant Education Programs
http://apps.apta.org/Custom/wstemplate.cfm?cfml=accreditedschools/Index.cfm&cfmltitle=Accredited%2
0PT%20and%20PTA%20Programs&process=1&state=WI&type=PTA&&fromStudentMap=1

Post Professional Physical Therapist Programs

http://www.apta.org/PostprofessionalDegree/GraduatePrograms/

Carroll University University of Wisconsin-Milwaukee

Physical Therapy Program Occupational Therapy Program
(262) 650-4915 (414) 229-4713
www.carrollu.edu www.uwm.edu/chs/academics/occupational_
therapy/
Concordia University
Occupational Therapy Program Physical Therapy Program
(262) 243-4429 (414) 229-3265
www.cuw.edu www.uwm.edu

Department of Physical Therapy Blackhawk Technical College

(262) 243-4433 Physical Therapist Assistant Program
www.cuw.edu (608) 757-7698
www.blackhawk.edu
Marquette University Chippewa Valley Technical College
Department of Physical Therapy Physical Therapist Assistant Program
(414) 288-7194 (715) 833-6417
www.marquette.edu/chs/pt www.cvtc.edu
Mount Mary College Fox Valley Technical College
Occupational Therapy Program Occupational Therapy Assistant Program
(414)-256-1246 (920) 735-5645 or (920) 831-4333
www.mtmary.edu/ot.htm www.fvtc.edu/public/

University of Wisconsin-La Crosse Gateway Technical College

Occupational Therapy Program Physical Therapist Assistant Program
(608) 785-6620 (262) 564-2482
www.uwlax.edu/ot/ www.gtc.edu

Physical Therapy Program Madison Area Technical College

(608) 785-8470 Occupational Therapy Assistant Program
http://www.uwlax.edu/pt/ (608) 246-6065
www.matcmadison.edu
University of Wisconsin-Madison
Milwaukee Area Technical College
Occupational Therapy Program
Occupational Therapy Assistant Program
(608) 262-2936
(414) 297-6882
www.education.wisc.edu/kinesiology/ot/
http://matc.edu/student/offerings/otasst.html
welcome/default.aspx
Physical Therapist Assistant Program
Physical Therapy Program (414) 297-8078
(608) 263-7131 http://matc.edu/student/offerings/phyasst.html
http://www.orthorehab.wisc.edu/pt

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 219
 Northeast Wisconsin Technical College Physical Therapist Assistant Program
Occupational Therapy Assistant Program (608) 785-9598
(920) 498-5543 www.westerntc.edu
www.nwtc.edu
Wisconsin Indianhead Technical College-
Western Wisconsin Technical College Ashland Campus
Occupational Therapy Assistant Program Occupational Therapy Assistant Program
(608) 785-9585 (715) 682-4591
www.westerntc.edu www.witc.edu

220 Appendix A
Appendix B
Sample Occupational Therapy or Physical Therapy Treatment Plans
Child's Name Date of Birth

Physician Medical Information

Last Evaluation Disability Annual IEP date Amount and Frequency

Target IEP Goals

Therapy objectives Objective 1 Objective 2 Objective 3

Level of function

Contraindications to therapy
or other participation

Planned interventions

Indirect services plan

Coordination with community

therapist or other programs

Delegation to assistant

Progress / /

Progress / /

Progress / /

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 221
 Sample Occupational Therapy Treatment Plan

Child's name: Date of Birth: Age:

Physician: Disability:
Contraindications:
Date of plan:
Target goal and objectives

Identify annual goals from IEP that occupational therapy supports.

Identify specific treatment goals in occupational therapy and baseline measurements.

Performance area: (ADL, work or productive activities, or play/leisure)

Performance components: (Sensorimotor, cognitive, or psychosocial)

Performance contexts: (Temporal, environment)

Intervention
Identify approaches, procedures and activities, and location of services.

Indirect services
Identify implementer, collaboration strategies, and proposed meeting schedule.

Delegation to OTA
Identify portion of treatment plan, level and frequency of supervision.

Coordination with therapist outside school setting

Identify plan to share treatment plan and progress notes. Attach copy of parental consent for release of
information. Document communication.

Progress
Identify method and content of progress monitoring

Sample progress chart

Date/ Date/ Date/ Date/ Date/

Expected Outcome Initial status Status Status Status Status Status

222 Appendix B
Sample Physical Therapy Treatment Plan
Child's name: Date of Birth: Age:
Physician: Disability:
Contraindications:
Date of plan:
Present level of motoric/functional performance

Target goal and objectives

Identify annual goals from IEP that physical therapy supports.

Identify specific treatment goals in physical therapy and baseline measurements.

Intervention
Identify strategies, procedures and activities, and location of services.

Indirect services
Identify implementer, collaboration strategies, and proposed meeting schedule.

Delegation to PTA
Identify portion of treatment plan, level and frequency of supervision.

Coordination with therapist outside school setting

Identify plan to share treatment plan and progress notes. Attach copy of parental consent for release of
information. Document communication.

Progress
Identify method and content of progress monitoring

Sample progress chart

Date/ Date/ Date/ Date/ Date/
Expected Outcome Initial status Status Status Status Status Status

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 223
 Sample Occupational Therapy Treatment Plan
Child's name: ___________________________________________________________ Date: ______________
Teacher: ________________________________________________________________ Birth date:
__________
LEA name: __________________________________________________Chron. age: _____ yrs.______mo.
IEP goal:___________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
Target occupational performance:_____________________________________________________________
_____________________________________________________________________________________________
_____________________________________________________________________________________________
Context:_____________________________________________________________________________________
_____________________________________________________________________________________________
Outcome category: _____ Academic learning _____ Play/leisure ____ Employment
_____ Social participation ____ ADL/Community skills
Intervention approach: ___ create/promote ___ establish/restore ___maintain
___modify/compensate ___ prevent
Intervention will address ____client factors ___activity demands ___context and environments
____ performance skills ___ performance patterns
Performance factors:
Enabling factors: __________________________ Concerns:____________________________________
____________________________________________ ____________________________________________
____________________________________________ ____________________________________________
____________________________________________ ____________________________________________
____________________________________________ ____________________________________________

Intervention implementation:

Collaborative consultation: amount/frequency_______________location___________duration________

Implementer: ___ teacher ___aide ___ family ___other____________________________________
Specific interventions: _________________________________________________________________
______________________________________________________________________________________
Training and Verification Strategies:____________________________________________________
Proposed Meeting Schedule: ___ weekly ___ bimonthly ____monthly ____other______________
Location of Meeting:___________________________________________________________________
Individual direct service: amount/frequency_______________location___________duration________
Implementer: ___ OT ___OTA
Specific interventions: _________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
Method for Documentation of Performance:
Behavior to be observed: _______________________________________________________________
Natural environment for observation: ___________________________________________________
Measurement/data to be collected: ______________________________________________________
By whom: __________________________________ Frequency: ______________________________
Criterion for successful performance:____________________________________________________
______________________________________________________________________________________

224 Appendix B
Sample Physical Therapy Treatment Plan
DeForest School District, reprinted with permission.

Student: DOB/Age: Therapist(s):

Parent(s): Phone: Physician:
School: Grade: Teacher:
Frequency: IEP due: Date of 3-year re-evaluation:
Date of plan:

IEP Objectives:

Current status of objectives/function:

Medical Information:

Precautions:

Recommendations from IEP Team

 Ambulation/gait training  Posture  Motor planning skills
 Wheelchair mobility  Sensory motor skills  Ball skills
 Transfer training  Eye-hand coordination  Equipment
 Gross motor skills  Balance
 Positioning  Strength/stability
Treatment Strategies
Intervention Strengthening Ball skills
 Individual  Overall  Kicking
 Small group  Lower extremities  Throwing
 PE class  Trunk  Catching
 Therapy room  Dribbling
 Classroom Wheelchair mobility
 Independent propulsion Posture/positioning
Ambulation  Hallways  Classroom equipment
 Even surfaces  Doorways  Sitting posture
 Uneven surfaces  In crowds  Standing activities
 Steps  Ramps  Assistive devices
 Distance/speed
 Independently High level locomotor skills Eye-hand coordination
 Assistive devices  Skipping  Batting
 Running  Racket activities
Balance  Galloping
 Balance beam  Hopping Sensory motor
 Single limb stance  Swing
 Therapy balls Jumping skills  Scooter board
 Changing directions  Jump rope  Therapy balls
 Obstacle course  Jump high and long  Proprioceptive input
 Jump down  Vestibular input
Mat skills  Consecutive  Tactile input
 Roll
 All 4’s Climbing Classroom Recommendations:
 Stand to sit  Playground equip  Modified seating
 Sit to stand  Stairs  Sensory inputs
 Tall kneel  Over obstacles  Strengthening activities
 Other

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 225
Appendix C
Pediatric Physical Therapy Assessment Tools

Body Structure and Function

Assessment Description Resource
30-Second Walk Test Describes the distance students Knutson, L., P. Schimmel, and A. Ruff.
without disabilities ages 6-13 1999. “Standard Task Measurement for
years walk in 30 seconds. Mobility: Thirty-Second Walk Test.”
Pediatric Physical Therapy 11(4):183−90.
30-Second Walk Test Expands by age the 30-second Knutson, L., B. Bushman, J. C. Young, and
– Age Expansion walk test norms for children G. Ward. 2009. “Age Expansion of the
ages 5-17 years. Thirty Second Walk Test Norms for
Children.” Pediatric Physical Therapy
21(3):235−43.
6-Minute Walk Test Measures exercise capacity in Lammers, A. E., A. A. Hislop, Y. Flynn, S.
(6MWT) children ages 4-11 years who G. Haworth. 2007. “The 6-minute walk test:
have chronic cardiac or normal values for children of 4-11 years of
respiratory disease. age.” Department of Paediatric Cardiology,
Great Ormond Street Hospital for Children,
Great Ormond Street, London WC1N 3JH,
UK)
http://adc.bmj.com/cgi/content/abstract/93/6
/464
Energy Expenditure Quantifies and compares Rose, J., J G. Gamble, J. Lee, R. Lee, and
Index walking energy expenditure for W. L. Haskell. 1991. “The energy
children and adolescents. expenditure index: a method to quantitate
and compare walking energy expenditure
for children and adolescents.” Journal of
Pediatric Orthopedics 11:571−77.
Faces Pain Scale- Self-assesses pain severity for Hicks CL, CL.von Baeyer, P. Spafford, I.
Revised children ages 4-16 years. van Korlaar and B. Goodenough. 2001.
“The Faces Pain Scale - Revised: Toward a
common metric in pediatric pain
measurement.” Pain 93:173−83.
http://painsourcebook.ca/docs/pps92.html
Functional Reach Test Examines dynamic balance in Norris, R.A., E. Wilder, and J. Norton.
children ages 3-5 years. 2008. “The Functional Reach Test in 3-
to5- Year-Old Children Without
Disabilities.” Pediatric Physical Therapy
20(1):47−52.
Modified Time Up Measures anticipatory standing Williams, E. N. et al. 2005. Developmental
and Go (Modified balance and walking. Medicine and Child Neurology 47:518−24.
TUG)
Motor Function Measures motor function for Berard, C., C. Payan, I. Hodgkinson, J.
Measure Scale for individuals with neuromuscular Fermanian. 2005. “A motor function

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 227
 Assessment Description Resource
Neuromuscular diseases ages 6-62 years. measure scale for neuromuscular diseases.”
Diseases (MFM) The MFM Collaborative Study Group.
Neuromuscular Disorders 15:463−70.
http://www.mfm-
nmd.org/upload/File/MFM%20article%20
Neuro%20muscular%20disorders%202005
.pdf
Pediatric Balance Measures the performance of Franjoine, M.R.,N. Darr, S. Held, K. Kott,
Scale children developing typically. and B. Young. 2010. “The Performance of
Children Developing Typically on the
Pediatric Balance Scale.” Pediatric
Physical Therapy 22(4): 350-359.
Pediatric Berg Measures functional balance for Franjoine, M.R., J. Gurther, and M. J.
Balance Scale school-age children with mild to Taylor. 2003. “Pediatric Balance Scale: A
moderate motor impairments. Modified Version of the Berg Balance
Scale for the School-Age Child with Mild
to Moderate Motor Impairment.” Pediatric
Physical Therapy 15(2):114−20.
Pediatric Clinical Test Provides information about the Crowe, T. K., J. C. Dietz, P. K.
of Sensory Integration ability to stand upright under Richardson, and S. L. Westcott. 1994.
and Balance (P- several sensory conditions. “Test-Retest Reliability of the Pediatric
CTSIB or Foam and Clinical Test of Sensory Interaction for
Dome) Balance.” Physical and Occupational
Therapy in Pediatrics 14:1.
Standardized Walking Measures functional ambulation Held, S., K. M. Kott, and B.L. Young.
Obstacle Course for children with and without 2006. “Standardized Walking Obstacle
(SWOC) disabilities who walk without an Course (SWOC): Reliability and Validity
assistive device. of a New Functional Measurement Tool for
Children.” Pediatric Physical Therapy
18(1):23−30.
Test of Gross Motor Measures twelve gross motor Ulrich, D.A. 2000. “The Test of Gross
Development-2 skills ages 3 -10 years to Motor Development” 2nd ed.
(TGMD-2) identify children who are PRO-ED, Inc.
significantly behind their peers 8700 Shoal Creek Boulevard
in gross motor development. Austin, Texas 78757-6897
http://www.pef.uni-lj.si/srp_gradiva/
tgm.pdf
Timed Up and Down Measures functional mobility Zaino, C., V.G Marchese, and S. L.
Stairs (TUDS) for children with and without Westcott. 2004. “Timed Up and Down
cerebral palsy ages 8-14 years. Stairs Test: Preliminary Reliability and
Validity of a New Measure of Functional
Mobility.” Pediatric Physical Therapy
16(2):90−8.
Timed Up and Go Measures mobility in Developmental Medicine and Child
(TUG) individuals who are able to walk Neurology. 2005. 47:518–24.
on their own. http://www.fallprevention.ri.gov/Module3/
sld007.htm
Walking Speeds Provides walking speeds David, K., and M. Sullivan. 2005.
Standards standards for students in “Expectations for Walking Speeds:

228 Appendix C
 Assessment Description Resource
elementary school along Standards for Students in Elementary
hallways/50 ft. paths. Schools.” Pediatric Physical Therapy
17(2): 120−27.

Activity
Assessment Description Resource
Bruininks-Osteretsky Assesses motor functioning of Pearson, Attn: Customer Service, 19500
Test of Motor children ages 4-21 years in Bulverde Road, San Antonio, TX 78259-
Proficiency, Second areas of fine motor control, 3701; Phone: 800.627.7271; Fax:
Edition (BOT-2) manual coordination, body 800.232.1223.
coordination, strength and ClinicalCustomerSupport@Pearson.com
agility.
Functional Measures the need for Uniform Data System for Medical
Independence Measure assistance and the severity of Rehabilitation, 270 Northpointe Parkway,
(WEE FIM II) disability in children ages 6 Suite 300, Amherst, NY 14228; phone:
months - 7 years. 716-817-7800 (Mon-Fri, 8:30 a.m.-5:30
Eighteen items measure p.m. EST); fax: 716-568-0037.
functional performance in three info@udsmr.org
domains.

Gross Motor Function Evaluates change in gross Bjornson, K. F, C. S. Graubert, V. L

Measure (GMFM) motor function in children with Buford, et al. 1998. “Validity of the Gross
cerebral palsy and describes Motor Function Measure.” Pediatric
current level of motor function. Physical Therapy 10(2):43−47.
Gross Motor Function Determines validity of the Russell, D., R. Palisano, S. Walter, et al.
Measure (GMFM) for GMFM for evaluating motor 1998. Developmental Medicine and Child
Children with Down function in children with Down Neurology 40:693−701.
Syndrome Syndrome.
Gross Motor Function Determines reliability of the Ruck-Gibis, J., H. Plotkin, J. Hanley, and
Measure (GMFM) for GMFM for children with S. Wood-Dauphinee, 2001. “Reliability of
Children with OI Osteogenesis Imperfecta. the Gross Motor Function Measure for
Children with Osteogenesis Imperfecta.”
Pediatric Physical Therapy 13(1):10−17.
Gross Motor Function Measures change in gross Russell, D., P. L. Rosenbaum, L. M.
Measure (GMFM-88 motor function in children with Avery, and M. Lane. 2002.
and GMFM-66) cerebral palsy ages 5 months - Wiley, Customer Care Center - Consumer
16 years. Also valid for Accounts, 10475 Crosspoint Blvd.,
assessment of children with Indianapolis, IN 46256; Phone: 877-762-
Down Syndrome and children 2974; Fax: 800-597-3299;
recovering from TBI. http://www.wiley.com/WileyCDA/WileyT
itle/productCd-1898683301.html
Movement Screens/identifies motor Pearson, Attn: Customer Service, 19500
Assessment Battery competence for children in Bulverde Road, San Antonio, TX 78259-
for Children, Second three age ranges: 3-6; 7-10; and 3701; Phone: 800.627.7271; Fax:
Edition (MABC-2) 11-16 years. Eight items tested 800.232.1223.
for each age group in three ClinicalCustomerSupport@Pearson.com
areas: manual dexterity, ball http://www.psychcorp.co.uk/index.aspx
skills, and static and dynamic

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 229
 Assessment Description Resource
balance.
Peabody Measures gross and fine motor Pearson, Attn: Customer Service, 19500
Developmental Motor skills from birth-6 years. Bulverde Road, San Antonio, TX 78259-
Scales (PDMS-2), 3701; Phone: 800.627.7271; Fax:
Second Edition 800.232.1223.
ClinicalCustomerSupport@Pearson.com

Activity and Participation Tests

Assessment Description Resource
Pediatric Evaluation of Measures capability and Pearson, Attn: Customer Service, 19500
Disability Inventory performance of functional Bulverde Road, San Antonio, TX 78259-
(PEDI) activities in self care, mobility, 3701; Phone: 800.627.7271; Fax:
and social function in children 800.232.1223.
from 6 months - 7.5 years. ClinicalCustomerSupport@Pearson.com
School Function Measures participation in Pearson, Attn: Customer Service, 19500
Assessment (SFA) school-related activities, Bulverde Road, San Antonio, TX 78259-
activity performance, and the 3701; Phone: 800.627.7271; Fax:
need for assistance or 800.232.1223.
accommodations for students ClinicalCustomerSupport@Pearson.com
grades K-6.

Activity and Participation Tests—Transition

Assessment Description Resource
Canadian Measures change in parents or Contact Mary Law at lawm@mcmaster.ca
Occupational student’s self-perception of 4th ed. May 2005.
Performance Measure functional performance over
(COPM) time.
Enderle-Severson Measures the needs, ESTR Publications
Transition Rating preferences, and interests of 1907 18th St. S, Moorhead MN 56560;
Scale students with disabilities for 218-287-8477; Fax (218) 236-5199.
transition post high school; for www.estr.net
students with mild disabilities
and for moderate to severe
disabilities; and a form for
parents.

230 Appendix C
Participation Tests
Assessment Description Resource
Assessment of Life Measures social participation in Noreau, L., P. Fougeyrollas, and C.
Habits (LIFE–H) eleven life habit categories. Vincent. 2002. “The LIFE-H: Assessment
of the quality of social participation.”
Technology and Disability 14:113−18.
Children’s Assessment Measures participation in Pearson, Attn: Customer Service
of Participation and leisure activities for ages 6-21 19500 Bulverde Road, San Antonio, TX
Enjoyment (CAPE) years. 78259-3701; Phone: 800.627.7271; Fax:
and Preference for 800.232.1223.
Activity of Children ClinicalCustomerSupport@Pearson.com
(PAC)
Pediatric Quality of Measures physical, emotional, J. W. Varni. Child Self Report at
Life Inventory social, and school function for http://www.pedsql.org/pedsql13.html
(PedsQLTM) four age band groups, ages 2-18
years.

Classification Systems
Assessment Description Resource
Gross Motor Function Classifies on five levels motor Palisano, R., P. Rosenbaum, D. Bartlett,
Classification System function for children with and M. Livingston. 2007. CanChild Centre
Expanded and Revised cerebral palsy. http://canchild- for Childhood Disability Research,
(GMFCS-E & R) mgm.icreate3.esolutionsgroup.c McMaster University. Free to the public
a/en/GMFCS/resources/GMFC through the CanChild website:
SER6-12.pdf www.canchild.ca/en/
Manual Ability Classifies on five levels Eliasson, A. C., L. Krumlinde Sundholm,
Classification System functional hand use for children B. Rösblad, E. Beckung, M. Arner, A. M.
(MACS) with cerebral palsy. Öhrvall, and P. Rjosenbaum. 2006.
Developmental Medicine and Child
Neurology 48:549−54.

Program Evaluation
Assessment Description Resource
School Outcomes Collects outcomes of children Arnold S.H. and I. R. McEwen. 2008.
Measure (SOM) who receive school -based “Item Test Reliability and Responsiveness
physical therapy and of the School Outcomes Measure (SOM).”
occupational therapy. Physical and Occupational Therapy in
Pediatrics 28:59−77.
SomResearch@ouhsc.edu
http://www.ah.ouhsc.edu/somresearch/inde
x.asp
http://www.ah.ouhsc.edu/somresearch/adm
inGuide.pdf

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 231
Appendix D
Codes of Ethics

AOTA Occupational Therapy Code of Ethics and Ethics Standards

The Occupational Therapy Code of Ethics and Ethics Standards (2010) from the American Occupational Therapy
Association defines the set of principles that apply to occupational therapy personnel at all levels. Because of the
length of the document, it is not reprinted here but is available in the American Journal of Occupational Therapy,
64:6 and online at http://www.aota.org/Practitioners/Ethics/Docs.aspx.

APTA Code of Ethics for the Physical Therapist

American Physical Therapy Association. APTA HOD S06-09-07-12 [Amended HOD S06-00-12-23; HOD 0 6-91-
05-05;HOD 06-87-11-17; American Physical Therapy Association w HOD 06-81-06-18; HOD 06-78-06-08; HOD
06-78-06-07; HOD 0 6-77-18-30; HOD 0 6-77-17-27; Initial HOD 06-73-13-24] [Standard]. Reprinted with
permission.

Preamble
The Code of Ethics for the Physical Therapist (Code of Ethics) delineates the ethical obligations of all physical
therapists as determined by the House of Delegates of the American Physical Therapy Association (APTA). The
purposes of this Code of Ethics are to:
1. Define the ethical principles that form the foundation of physical therapist practice in patient/client
management, consultation, education, research, and administration.
2. Provide standards of behavior and performance that form the basis of professional accountability to the
public.
3. Provide guidance for physical therapists facing ethical challenges, regardless of their professional roles and
responsibilities.
4. Educate physical therapists, students, other health care professionals, regulators, and the public regarding the
core values, ethical principles, and standards that guide the professional conduct of the physical therapist.
5. Establish the standards by which the American Physical Therapy Association can determine if a physical
therapist has engaged in unethical conduct.
No code of ethics is exhaustive nor can it address every situation. Physical therapists are encouraged to seek
additional advice or consultation in install.ces where the guidance of the Code of Ethics may not be definitive.

This Code of Ethics is built upon the five roles of the physical therapist (management of patients/clients,
consultation, education, research, and administration), the core values of the profession, and the multiple realms of
ethical action (individual, organizational, and societal). Physical therapist practice is guided by a set of seven core
values: accountability, altruism, compassion/caring, excellence, integrity, professional duty, and social respon-
sibility. Throughout the document the primary core values that support specific principles are indicated in
parentheses. Unless a specific role is indicated in the principle, the duties and obligations being delineated pertain to
the five roles of the physical therapist. Fundamental to the Code of Ethics is the special obligation of physical
therapists to empower, educate, and enable those with impairments, activity limitations, participation restrictions,
and disabilities to facilitate greater independence, health, wellness, and enhanced quality of life.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 233
 Principles 3C.Physical therapists shall make judgments within
their scope of practice and level of expertise and
Principle #1: Physical therapists shall respect the
shall communicate with, collaborate with, or refer
inherent dignity rights of all individuals. (Core
to peers or other health care professionals when
Values: Compassion, Integrity)
necessary.
IA.Physical therapists shall act in a respectful manner
toward each person regardless of age, gender, 3D.Physical therapists shall not engage in conflicts of
race, nationality, religion, ethnicity, social or interest that interfere with professional judgment.
economic status, sexual orientation, health condi- 3E.Physical therapists shall provide appropriate
tion, or disability. direction of and communication with physical
1B.Physical therapists shall recognize their personal therapist assistants and support personnel.
biases and shall not discriminate against others in
physical therapist practice, consultation, educa- Principle #4: Physical therapists shall demonstrate
tion, research, and administration. integrity in their relationships with patients/clients,
families, colleagues, students, research participants,
Principle #2: Physical therapists shall be trustworthy other health care providers, employers, payers and
and compassionate in addressing the rights and needs the public. (Core Value: Integrity)
of patients/clients. Core Values: Altruism, Compas- 4A.Physical therapists shall provide truthful, accurate
sion, Professional Duty and relevant information and shall not make
2A.Physical therapists shall adhere to the core values misleading representations.
of the profession and shall act in the best interests 4B.Physical therapists shall not exploit persons over
of patients/clients over the interests of the whom they have supervisory, evaluative or other
physical therapist. authority (e.g., patients/clients, students, super-
2B.Physical therapists shall provide physical therapy visees, research participants, or employees).
services with compassionate and caring behaviors 4C.Physical therapists shall discourage misconduct
that incorporate the individual and cultural by health care professionals and report illegal or
differences of patients/clients. unethical acts to the relevant authority, when
2C.Physical therapists shall provide the information appropriate.
necessary to allow patients or their surrogates to 4D.Physical therapists shall report suspected cases of
make informed decisions about physical therapy
abuse involving children or vulnerable adults to
care or participation in clinical research.
the appropriate authority, subject to law.
2D.Physical therapists shall collaborate with patients/
4E. Physical therapists shall not engage in any sexual
clients to empower them in decisions about their
relationship with any of their patients/clients,
health care.
2E.Physical therapists shall protect confidential supervisees, or students.
patient/client information and may disclose 4F.Physical therapists shall not harass anyone
confidential information to appropriate authorities verbally, physically, emotionally, or sexually.
only when allowed or as required by law.
Principle #5: Physical therapists shall fulfill their
Principle #3: Physical therapists shall be accountable legal and professional obligations. (Core Values:
for making sound professional judgments. (Core Professional Duty, Accountability)
Values: Excellence, Integrity) 5A.Physical therapists shall comply with applicable
3A.Physical therapists shall demonstrate indepen- local, state, and federal laws and regulations.
dent and objective professional judgment in the 5B.Physical therapists shall have primary
patient's/client's best interest in all practice responsibility for supervision of physical therapist
settings. assistants and support personnel.
3B.Physical therapists shall demonstrate professional 5C.Physical therapists involved in research shall
judgment informed by professional standards, abide by accepted standards governing protection
evidence (including current literature and of research participants.
established best practice), practitioner experience, 5D.Physical therapists shall encourage colleagues
and patient/client values. with physical, psychological, or substance-related

234 Appendix D
 impairments that may adversely impact their 7B.Physical therapists shall seek remuneration as is
professional responsibilities to seek assistance or deserved and reasonable for physical therapist
counsel. services.
5E.Physical therapists who have knowledge that a 7C.Physical therapists shall not accept gifts or other
colleague is unable to perform their professional considerations that influence or give an
responsibilities with reasonable skill and safety appearance of influencing their professional
shall report this information to the appropriate judgment.
authority. 7D.Physical therapists shall fully disclose any
5F.Physical therapists shall provide notice and financial interest they have in products or services
information about alternatives for obtaining care that they recommend to patients/clients.
in the event the physical therapist terminates the 7E. Physical therapists shall be aware of charges and
provider relationship while the patient/client shall ensure that documentation and coding for
continues to need physical therapy services. physical therapy services accurately reflect the
nature and extent of the services provided.
Principle #6: Physical therapists shall enhance their 7F.Physical therapists shall refrain from employment
expertise through the lifelong acquisition and arrangements, or other arrangements, that prevent
refinement of knowledge, skills, abilities, and physical therapists from fulfilling professional
professional behaviors. (Core Value: Excellence) obligations to patients/clients.
6A.Physical therapists shall achieve and maintain
professional competence. Principle #8: Physical therapists shall participate in
6B.Physical therapists shall take responsibility for efforts to meet the health needs of people locally,
their professional development based on critical nationally, or globally. (Core Value: Social
self-assessment and reflection on changes in Responsibility)
physical therapist practice, education, health care 8A.Physical therapists shall provide pro bono
delivery, and technology. physical therapy services or support organizations
6C.Physical therapists shall evaluate the strength of that meet the health needs of people who are
evidence and applicability of content presented economically disadvantaged, uninsured, and
during professional development activities before underinsured.
integrating the content or techniques into practice. 8B.Physical therapists shall advocate to reduce health
6D.Physical therapists shall cultivate practice disparities and health care inequities, improve
environments that support professional develop- access to health care services, and address the
ment, lifelong learning, and excellence. health, wellness, and preventive health care needs
of people.
Principle #7: Physical therapists shall promote 8C.Physical therapists shall be responsible stewards
organizational behaviors and business practices that of health care resources and shall avoid
benefit patients/clients and society. (Core Values: overutilization or underutilization of physical
Integrity, Accountability) therapy services.
7A.Physical therapists shall promote practice 8D.Physical therapists shall educate members of the
environments that support autonomous and public about the benefits of physical therapy and
accountable professional judgments. the unique role of the physical therapist.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 235
 APTA Standards of Ethical Conduct for
the Physical Therapist Assistant
American Physical Therapy Association. APTA HOD S06-09-20-18 [Amended HOD S06-00-13-24; HOD 0 6-91-
06-07; Initial HOD 06-82-04-08] [Standard]

Preamble
The Standards of Ethical Conduct for the Physical Therapist Assistant (Standards of Ethical Conduct) delineate the
ethical obligations of all physical therapist assistants as determined by the House of Delegates of the American
Physical Therapy Association (APTA). The Standards of Ethical Conduct provide a foundation for conduct to which
all physical therapist assistants shall adhere. Fundamental to the Standards of Ethical Conduct is the special
obligation of physical therapist assistants to enable patients/clients to achieve greater independence, health and
wellness, and enhanced quality of life.

No document that delineates ethical standards can address every situation. Physical therapist assistants are
encouraged to seek additional advice or consultation in instances where the guidance of the Standards of Ethical
Conduct may not be definitive.

Standards
Standard #1: Physical therapist assistants shall Standard #3: Physical therapist assistants shall make
respect the inherent dignity, and rights, of all sound decisions in collaboration with the physical
individuals. therapist and within the boundaries established by
lA.Physical therapist assistants shall act in a laws and regulations.
respectful manner toward each person regardless 3A.Physical therapist assistants shall make objective
of age, gender, race, nationality, religion, decisions in the patient's/ client's best interest in
ethnicity, social or economic status, sexual all practice settings.
orientation, health condition, or disability. 3B.Physical therapist assistants shall be guided by
lB.Physical therapist assistants shall recognize their information about best practice regarding physical
personal biases and shall not discriminate against therapy interventions.
others in the provision of physical therapy 3C.Physical therapist assistants shall make decisions
services. based upon their level of competence and
consistent with patient/client values.
Standard #2: Physical therapist assistants shall be 3D.Physical therapist assistants shall not engage in
trustworthy and compassionate in addressing the conflicts of interest that interfere with making
rights and needs of patients/clients. sound decisions.
2A.Physical therapist assistants shall act in the best 3E.Physical therapist assistants shall provide physical
interests of patients/ clients over the interests of therapy services under the direction and
the physical therapist assistant. supervision of a p hysical therapist and shall
2B.Physical therapist assistants shall provide physical communicate with the physical therapist when
therapy interventions with compassionate and patient/ client status requires modifications to the
caring behaviors that incorporate the individual established plan of care.
and cultural differences of patients/ clients.
2C.Physical therapist assistants shall provide Standard #4: Physical therapist assistants shall
patients/clients with information regarding the demonstrate integrity in their relationships with
interventions they provide. patients/ clients, families, colleagues, students, other
2D.Physical therapist assistants shall protect confi- health care providers, employers, payers, and the
dential patient/client information and, in colla- public.
boration with the physical therapist, may disclose 4A.Physical therapist assistants shall provide
confidential information to appropriate authorities truthful, accurate, and relevant information and
only when allowed or as required by law. shall not make misleading representations.

236 Appendix D
4B.Physical therapist assistants shall not exploit roles and responsibilities and advances in the
persons over whom they have supervisory, practice of physical therapy.
evaluative or other authority (e.g., patients/clients, 6C.Physical therapist assistants shall support practice
students, supervisees, research participants, or environments that support career development
employees). and lifelong learning.
4C.Physical therapist assistants shall discourage
misconduct by health care professionals and Standard #7: Physical therapist assistants shall sup-
report illegal or unethical acts to the relevant port organizational behaviors and business practices
authority, when appropriate. that benefit patients/clients and society.
4D.Physical therapist assistants shall report suspected 7A.Physical therapist assistants shall promote work
cases of abuse involving children or vulnerable environments that support ethical and accountable
adults to the supervising physical therapist and decision-making.
the appropriate authority, subject to law. 7B.Physical therapist assistants shall not accept gifts
4E.Physical therapist assistants shall not engage in or other considerations that influence or give an
any sexual relationship with any of their appearance of influencing their decisions.
patients/clients, supervisees, or students. 7C.Physical therapist assistants shall fully disclose
4F.Physical therapist assistants shall not harass any financial interest they have in products or
anyone verbally, physically, emotionally, or services that they recommend to patients/clients.
sexually. 7D.Physical therapist assistants shall ensure that
documentation for their interventions accurately
Standard #5: Physical therapist assistants shall fulfill reflects the nature and extent of the services
their legal and ethical obligations. provided.
5A.Physical therapist assistants shall comply with 7E.Physical therapist assistants shall refrain from
applicable local, state, and federal laws and employment arrangements, or other arrangements,
regulations. that prevent physical therapist assistants from
5B.Physical therapist assistants shall support the fulfilling ethical obligations to patients/ clients.
supervisory role of the physical therapist to
ensure quality care and promote patient/ client Standard #8: Physical therapist assistants shall
safety. participate in efforts to meet the health needs of
5C.Physical therapist assistants involved in research people locally, nationally, or globally.
shall abide by accepted standards governing 8A.Physical therapist assistants shall support
protection of research participants. organizations that meet the health needs of people
5D.Physical therapist assistants shall encourage who are economically disadvantaged, uninsured,
colleagues with physical, psychological, or and underinsured.
substance-related impairments that may adversely 8B.Physical therapist assistants shall advocate for
impact their professional responsibilities to seek people with impairments, activity limitations,
assistance or counsel participation restrictions, and disabilities in order
5E.Physical therapist assistants who have knowledge to promote their participation in community and
that a colleague is unable to perform their society.
professional responsibilities with reasonable skill 8C.Physical therapist assistants shall be responsible
and safety shall report this information to the stewards of health care resources by collaborating
appropriate authority. with physical therapists in order to avoid
overutilization or underutilization of physical
Standard #6: Physical therapist assistants shall therapy services.
enhance their competence through the lifelong 8D.Physical therapist assistants shall educate
acquisition and refinement of knowledge, skills, and members of the public about the benefits of
abilities. physical therapy.
6A.Physical therapist assistants shall achieve and
maintain clinical competence.
6B.Physical therapist assistants shall engage in
lifelong learning consistent with changes in their

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 237
Appendix E
Equipment Use

Sample District Policy and Procedures for General Use of Equipment

I. Equipment

A. A piece of equipment is identified as educationally necessary for a student, and is one whose
usage needs to be monitored by a therapist.
B. Types of equipment would include mobility, positioning, and transfer equipment such as:
1. Stander
2. Gait Trainer
3. Seating Systems that include
a. Systems that require the use of a pelvic positioning belt or other positioning straps will be
included

b. Systems that use a tray where adult assist is required will be included
4. Wheelchair
5. Sidelyer
6. Mechanical Lift
II. Equipment Forms

A.Trial Form

1. If the therapist determines a piece of equipment may be educationally necessary, a call to the
parents will be made, informing them of the trial usage. This initial contact will be documented
on a form, referred to simply as the Trial Form.
2. Once the initial trial is completed, the result of the trial will be documented on the Trial Form.
The student’s parents will be apprised of the trial result.
3. Subsequent trials will be done by the therapist to determine educational necessity. The trial
duration will be determined by the therapist. The results of the trials(s) will be documented on
the Trial Form.
4. If the therapist, in collaboration with the education team, determines the equipment is
educationally necessary and appropriate for the student, the therapist will complete an
Equipment Usage Form. The student’s parents will be notified of such.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 239
 5. If the therapist, in collaboration with the education team, determines the equipment is not
educationally necessary or appropriate, the use of the equipment will be discontinued. The
student’s parents will be notified of such.
B. Protocol for Equipment Usage
1. The Protocol for Equipment Usage will be filled out if any of the below criteria are met:
a. The therapist determines, after completing an equipment trial, that a piece of equipment
(either district owned or personal) is educationally necessary, and requires monitoring by a
therapist.
b. The education determines that the equipment is educationally necessary and requires
monitoring by a therapist.
2. The Protocol for Equipment Usage DOES NOT need to be filled out if the student is not being
monitored by a therapist, and/or the student is safe and independent with the use of their
equipment.
3. Specifics regarding transfers, supervision, and equipment settings will be put in the student’s
equipment binder (See Equipment Binders, section III). This binder is kept in the student’s
homeroom or base classroom. The Protocol for Equipment Usage will be a part of the
documentation contained in the student equipment binder.
4. Only staff trained in the use of the equipment, as documented on t he Protocol for Equipment
Usage, may set up the student, remove the student from the equipment, and directly supervise
the student’s use of the equipment.
5. Staff may only use the equipment with the student designated on the Protocol for Equipment
Usage.
C. Monthly Equipment Check Form

1. Therapists will complete this form on a monthly basis for each piece of equipment that has a
Protocol for Equipment Usage.
2. Therapists will follow the form’s directions to provide complete information.
3. Therapists will update the Protocol for Equipment Usage, pictures in the classroom binder, and
specifications in the classroom binder as they deem necessary.
D. Equipment Use Log

Educators/therapists will complete the Equipment Use Log on a daily basis or as specified on the
IEP.

III. Equipment Binders

A. Therapists will maintain an equipment binder for any student they are monitoring who is using the
types of equipment listed under section I.
B. The Equipment Binder will contain the following forms:

240 Appendix E
 1. Trial Equipment Protocol (depending on whether a trial was completed)

2. Protocol for Equipment Usage

3. Monthly Equipment Check
4. Manufacturer’s Product Information (if available)

5. Manufacturer’s Maintenance Schedule

6. Pictures of the student positioned in the device, and specific recommendations regarding
positioning, transfers, adjustments, settings, accessories, etc.
C. Equipment Binders will be kept on file for 2 years following transfer, dismissal from services, or
graduation.
IV. IEP Documentation

A. Special Factors (DPI Form I-5) section may note information regarding the assistive technology
devices and services.

B. Supplementary Aids and Services (DPI Form I-9) section may note specific information regarding
transfers and functional mobility and will include amount/frequency, duration, and location of use.

C. Program Modifications and Support for Staff (DPI Form I-9) section contains specific information
regarding staff training.
D. Changing Equipment Use on an Existing IEP
1. District may reconvene the IEP team to consider and document equipment changes.
2. District may contact parent for agreement to change the IEP without a meeting using DPI Forms
I-10A and I-10B.

V. Equipment Maintenance
A. The therapist will instruct teachers to regularly inspect equipment and discontinue use of the
device if there is a s afety concern. Teachers will notify the therapist of their concerns. The
therapist will inspect the equipment.

B. The therapist, as a part of a monthly inspection, will refer to the manufacture’s recommended
maintenance schedule. This form will be kept in a plastic sleeve in the student’s Equipment Binder.

C. The therapist will mark that the equipment was inspected on the Monthly Equipment Check Form
in the designated area.

D. The therapist will determine the amount and level of maintenance of equipment that he or she can
perform e.g. tightening of knobs, adjustment of straps, etc. and will complete that maintenance.

E. Maintenance on d istrict equipment that is above and beyond the ability of the therapist will be
deferred to the district’s Supervisor of Operations.

F. Maintenance on a student’s personal equipment that is above and beyond the ability of the therapist
will be deferred to the student’s parents.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 241
 G.Maintenance that is above and beyond the ability of the district’s maintenance staff will be deferred
to the therapist and Director of Special Education. The repairs will be contracted to the appropriate
company.
H. If the equipment (personal or district) is deemed unsafe upon the therapist’s inspection, the item
will be removed immediately. For personal equipment, the student’s parents will be notified.
Kutschera, Dan. 2009. Neenah Joint School District, Neenah, WI. Adapted with Permission.

Guidelines for the Use of Weighted Blankets and Vests

• The weighted blanket is NEVER to be used as a restraint.
• Educational staff must consult with an occupational therapist before using a weighted blanket or
vest with a student.
• The child’s head must never be, or allowed to be, covered by the blanket.
• The child must be able to easily slip out of the blanket if he or she wishes to do so (it is not a
confinement).
• A child using a weighted blanket or vest must never be unsupervised.
• A weighted blanket or vest should be approximately no m ore than 5% of the student’s body
weight.
• Staff should know about any medical considerations for the student prior to using a weighted
blanket or vest.
• Use of a weighted blanket or vest should be discussed at the IEP meeting and its use should be
written into the student’s IEP with the parents’ acknowledgement.
• Educational staff must document use of the weighted blanket and/or vest on a log. The log can be
used to evaluate the effectiveness of this sensory tool.

242 Appendix E
Monthly Equipment Check

Date:__________________________ Equipment : _______________________________

Student: __________________________ Therapist name: _______________________________

Comments:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________

Teacher name: _____________________________

Teacher concerns:  Yes  No

If yes, explain
_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________

If applicable, student comments

_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________
 Equipment check completed

 Student absent, reschedule to ___________________________________________________

Changes:  Yes  No

If yes, indicate change

_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 243
 IF CHANGES MADE The equipment usage form must be completed.

Protocol for Equipment Usage

Student: __________________________________ School: ____________________________________
Program: _____________________________________________________________________________
Equipment: ___________________________________________________________________________
Student height: _____________________________ Student weight:_________________________
Student use of equipment complies with manufacturer’s product recommendations in the following
categories. Check all that apply.
 Transfer  Standing  Height/Weight  Adjustment Maintenance
Accessories: _________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Inspection of equipment date: __________________
Inspection of equipment with student date: ________________
Frequency/duration of student in equipment: ___________________________________________
 Frequency/duration of student in equipment documented in IEP
Trial dates completed prior to use: __________/___________/__________/__________/________
Proper use settings: ___________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
ATTACH Product Information

Supervision Requirements
 Adult Supervision at All Times Other…
Method of Transfer:
 One Person Transfer  Mechanical Transfer  Two Person Transfer  Other…
Staff Trained to Use Date

Parent(s) Notified Date: ____________________________

Therapist: ___________________________________________________ Date: __________________

244 Appendix E
Trial Equipment Protocol

Date: ______________________________ Program: ___________________________

Student ID: _________________________ Equipment: _________________________
Therapist: __________________________ Student Height: ______________________
School: ____________________________ Student Weight: ______________________
Student use of equipment complies with manufacturer’s product recommendations in the following
categories. Check all that apply and provide comments.
Transfer ___________________________________________________________________________
Standing ___________________________________________________________________________
Height/Weight ______________________________________________________________________
Adjustment ________________________________________________________________________

Maintenance _______________________________________________________________________

Accessories: ________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Inspection of Equipment Date: ______________ with Student Date: ________________
Parents Notified Date: ____________________
Parents Present During Trial: _____________________________________________________________
Date Outcome/Notes

Attach Product Information

Method of Transfer:
 One Person Transfer  Mechanical Transfer
 Two Person Transfer  Other__________________
Discontinue Use of Equipment Date: __________________________
 Continue–Complete Equipment Protocol Student Form
 IEP Review Date: __________________________

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 245
246
Start End Total
Student Date Time Time Time Supervising Staff Student Response
Equipment Use Log

Appendix E
Appendix F
Position Descriptions

School Occupational Therapist

Nature of Position
Occupational therapists provide services to children who need special education, and to educational staff
when children require occupational therapy to benefit from special education. Occupational therapists
work to improve, develop, restore, or maintain a child's active participation in activities of daily living,
work, leisure, and play in educational environments. Consistent with state and federal law, school
occupational therapists are related service personnel.

Responsible To
Director of Special Education

Position Qualifications
1. Bachelor’s, master’s, or doctoral degree in occupational therapy from a sch ool accredited by the
American Occupational Therapy Association Accreditation Council for Occupational Therapy
Education
2. Initial certification from the National Board for Certification in Occupational Therapy
3. Current occupational therapist license from the Wisconsin Department of Regulation and Licensing,
Occupational Therapy Affiliated Credentialing Board. Current occupational therapist license (812)
from the Wisconsin Department of Public Instruction.

Goals and Responsibilities

1. Identification and planning. The occupational therapist evaluates children, interprets evaluation
findings as a member of the Individualized Education Program (IEP) team, and plans appropriate
intervention.
2. Intervention. The occupational therapist develops and implements direct and indirect services based
on individual evaluation and the IEP. The focus of these services may include but are not limited to a
child’s
• activities of daily living
• work and productive activities
• play or leisure activities
• sensorimotor components of performance
• cognitive integration and cognitive components of performance
• psychosocial skills and psychological components of performance
3. Program administration and management. The occupational therapist participates in the local
education agency's comprehensive planning process for the education of children with exceptional
educational needs. The occupational therapist works with the director of special education to establish
the procedures for implementing the occupational therapy service. The occupational therapist may
supervise occupational therapy assistants.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 247
 4. Community awareness. The occupational therapist provides information for administrators, school
personnel, parents, and non-school agencies regarding school occupational therapy.
5. Professional growth and ethics. The occupational therapist adheres to the ethical standards of the
profession and participates in professional growth activities and continuing education opportunities.
The occupational therapist adheres to established rules, regulations and laws, and works cooperatively
to accomplish the goals and objectives of the local education agency.

Essential Job Functions

The occupational therapist performs the following position functions, as the school district requires:

1. Conduct appropriate evaluations of children referred for suspected disabilities and prepare written
reports of the evaluations conducted and the findings.
2. Participate in meetings as a member of the IEP team.
3. Participate in the development of IEPs for children found to have disabilities.
4. Provide direct and indirect occupational therapy to children with disabilities in educational
environments.
5. Collaborate with other school personnel regarding occupational therapy and the children's needs.
6. Travel to and among schools to provide services to children.
7. Maintain records of service provided.
8. Transfer and position children and equipment with assistance as necessary to provide occupational
therapy.

248 Appendix F
School Occupational Therapy Assistant
Nature of Position
Occupational therapy assistants provide services to children with disabilities and to educational staff
under the supervision of an occupational therapist when children require occupational therapy to benefit
from special education. Occupational therapy assistants follow a t reatment plan developed by the
occupational therapist and work to improve, develop, restore, or maintain a child's active participation in
activities of daily living, work, leisure and play in educational environments. Consistent with state and
federal law, school occupational therapy assistants are related service personnel.

Responsible To
Director of Special Education; professionally under the supervision of a DPI licensed occupational
therapist.

Position Qualifications
1. Associate degree as an occupational therapy assistant from a school accredited by the American
Occupational Therapy Association Accreditation Council for Occupational Therapy Education
2. Initial certification from the National Board for Certification in Occupational Therapy
3. Current occupational therapy assistant license from the Wisconsin Department of Regulation and
Licensing, Occupational Therapy Affiliated Credentialing Board
4. Current school occupational therapy assistant license (885) from the Wisconsin Department of Public
Instruction

Goals and Responsibilities

1. Intervention. The occupational therapy assistant provides quality occupational therapy services to
children with disabilities, which an occupational therapist delegates and supervises. The occupational
therapist determines the level of supervision based on the occupational therapy assistant's education,
experience, and service competency. Under close or general supervision, the occupational therapy
assistant
• assists with data collection and evaluation.
• provides direct service according to a w ritten treatment plan that the occupational therapist
develops alone or with the occupational therapy assistant.
• recommends modification of treatment approaches to the occupational therapist to reflect the
child's changing needs.
• adapts environments, tools, materials, and activities according to the child's needs.
• communicates and interacts with other team members, school personnel and families in
collaboration with an occupational therapist.
• maintains treatment areas, equipment and supply inventory as the service plan requires.
• maintains records and documentation as the service plan requires.
• participates in the development of policies and procedures in collaboration with an occupational
therapist.
2. Community awareness. The occupational therapy assistant provides information for administrators,
school personnel, parents, and non-school agencies regarding school occupational therapy.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 249
 3. Professional growth and ethics. The occupational therapy assistant adheres to the ethical standards
of the profession and participates in professional growth activities and continuing education
opportunities. The occupational therapy assistant adheres to established rules, regulations and laws,
and works cooperatively to accomplish the goals and objectives of the local education agency.

Essential Job Functions

The occupational therapy assistant performs the following position functions, as the school district
requires and which the occupational therapist delegates and supervises:

1. Assist with evaluations of children referred for possible disabilities.

2. Provide direct and indirect occupational therapy to children with disabilities in educational
environments.
3. Assist the occupational therapist in the provision of occupational therapy.
4. Provide information to other school personnel regarding occupational therapy and the children's
needs.
5. Travel to and among schools to provide services to children.
6. Maintain records of service provided.
7. Transfer and position children as necessary to provide occupational therapy.
8. Prepare equipment and supplies as necessary for interventions.

250 Appendix F
School Physical Therapist
Nature of Position
Physical therapists provide services to children with disabilities and to educational staff when children
require physical therapy to benefit from special education.

Responsible To
Director of Special Education

Position Qualifications
1. Bachelor’s or master’s degree in physical therapy or doctor of physical therapy from a school
approved by the Physical Therapy Examining Board.
2. Current license from the Physical Therapy Examining Board
3. Current physical therapy license (817) from the Wisconsin Department of Public Instruction

Goals and Responsibilities

1. Identification and planning. The physical therapist evaluates children, interprets evaluation findings
as a member of the Individualized Education Program (IEP) team, and plans appropriate intervention
as a participant in the IEP team meeting.
2. Intervention. The physical therapist develops and implements direct and indirect services based on
individual evaluation and the IEP. The focus of these services may include but are not limited to a
child's
• mobility, balance, coordination.
• activity performance of motor tasks.
• performance of transfers.
• use of assistive, orthotic, prosthetic, adaptive, and protective devices.
• aerobic endurance.
3. Program administration and management. The physical therapist participates in the local
education agency's comprehensive planning process for the education of children with disabilities.
The physical therapist works with the director of special education to establish the procedures for
implementing physical therapy and participates in the maintenance and expansion of the physical
therapy service. The physical therapist may supervise physical therapist assistants.
4. Community awareness. The physical therapist provides information for administrators, school
personnel, parents, and non-school agencies regarding physical therapy.
5. Professional growth and ethics. The physical therapist adheres to the ethical standards of the
profession and participates in professional growth activities and continuing education opportunities.
The physical therapist adheres to established rules, regulations and laws, and works cooperatively to
accomplish the goals and objectives of the local education agency.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 251
 Essential Job Functions
The physical therapist performs the following position functions, as the school district requires:

1. Conduct appropriate evaluations of children referred for special education and prepare required
documentation.
2. Participate in IEP meetings.
3. Participate in the development of IEPs for children with disabilities.
4. Develop a physical therapy treatment plan for the child.
5. Provide direct and indirect physical therapy to children with disabilities.
6. Collaborate with other school personnel regarding physical therapy and the children's needs.
7. Travel to and among schools to provide services to children.
8. Maintain records of service provided.
9. Lift, transfer, and position children and equipment as necessary to provide physical therapy.

252 Appendix F
School Physical Therapist Assistant
Nature of Position
Physical therapist assistants provide physical therapy to children with disabilities under the direction and
supervision of a physical therapist.

Responsible To
Director of Special Education; professionally under the supervision of a DPI licensed physical therapist.

Position Qualifications
1. Graduate of a physical therapist assistant associate degree program accredited by an agency approved
by the Physical Therapy Examining Board.
2. Current physical therapist assistant license from the Physical Therapy Examining Board
3. Current school physical therapist assistant license (886) from the Wisconsin Department of Public
Instruction.

Goals and Responsibilities

1. Intervention. The physical therapist assistant provides quality physical therapy services to children
with disabilities, which a physical therapist delegates and supervises. The physical therapist assistant
provides selected components of a child’s physical therapy treatment plan developed by the physical
therapist. The physical therapist determines the level of supervision based on the physical therapist
assistant's education, training, experience, and skill level.
2. Community awareness. The physical therapist assistant provides information for administrators,
school personnel, parents, and non-school agencies regarding physical therapy.
3. Professional growth and ethics. The physical therapist assistant adheres to the ethical standards of
the profession and participates in professional growth activities and continuing education
opportunities. The physical therapist assistant adheres to established rules, regulations and laws, and
works cooperatively to accomplish the goals and objectives of the local education agency.

Essential Job Functions

The physical therapist assistant performs the following position functions, as the school district requires
and which the physical therapist delegates and supervises:
1. Provides selected components of physical therapy intervention.
2. Makes modifications in interventions as directed by the physical therapist or to ensure the student’s
safety.
3. Lifts, transfers, and positions children and equipment as necessary to provide physical therapy.
4. Documents interventions performed, data collected, student progress, equipment provided, and
communication with others.
5. Interacts with the child, family, or community providers.
6. Participates with the physical therapist in training support staff and teachers.
7. Assists in the design and fabrication of equipment or adaptations for specific children.
8. Participates in the development of policies and procedures.
9. Helps with budget development, ordering equipment and supplies.
10. Participates in discussions regarding schedules and assignment of children.
11. Travels to and among schools to provide services to children.
12. Assists with maintenance of inventory and records.

Occupational Therapy and Physical Therapy: A Resource and Planning Guide 253