Occupational therapy practice guidelines for early childhood: birth through 5 years.
General
Guideline Title
Occupational therapy practice guidelines for early childhood: birth through 5 years.
Bibliographic Source(s)
- Clark GF, Kingsley K. Occupational therapy practice guidelines for early childhood: birth through 5 years. Bethesda (MD): American Occupational Therapy Association, Inc. (AOTA); 2013. 154 p. [304 references]
Guideline Status
This is the current release of the guideline.
This guideline meets NGC’s 2013 (revised) inclusion criteria.
Recommendations
Major Recommendations
Note from the National Guideline Clearinghouse: In addition to the evidence-based recommendations below, the guideline includes extensive information on the referral and evaluation process, including creation of the occupational profile and the development of an intervention plan.
Definitions for the strength of recommendations ( A–D, I ) and levels of evidence ( I–V ) are provided at the end of the “Major Recommendations” field.
Recommendations for Occupational Therapy Intervention for Early Childhood: Birth Through 5 Years
| Interventions | Recommended | No Recommendation | Not Recommended |
|---|---|---|---|
| Social–Emotional | |||
| Touch-based interventions |
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| Relationship-based intervention |
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| Interactional/play-based activities |
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| Naturalistic interventions |
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| Instruction-based intervention |
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| Therapist-selected toys and objects |
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| Feeding, Eating, and Swallowing | |||
| Behavioral-based intervention |
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| Parent-directed educational-based interventions |
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| Physiological interventions |
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| Cognitive Interventions | |||
| Neonatal intensive care unit (NICU) |
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| NICU and home-based interventions |
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| Intervention to promote joint attention |
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| Interventions to Promote Motor Performance | |||
| Developmental interventions for at-risk infants |
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| Interventions for children with or at risk for cerebral palsy (CP) |
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| Visual–motor interventions for children with developmental delays |
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| Service Delivery in Early Childhood | |||
| Studies regarding setting |
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| Studies regarding routine-based intervention |
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| Studies regarding parent training |
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*Note : Criteria for level of evidence are based on the standard language from the Agency for Healthcare Research and Quality (2009). Suggested recommendations are based on the available evidence and content experts’ clinical expertise regarding the value of using the intervention in practice.
Definitions:
Strength of Recommendations
A –There is strong evidence that occupational therapy practitioners should routinely provide the intervention to eligible clients. Good evidence was found that the intervention improves important outcomes and concludes that benefits substantially outweigh harm.
B –There is moderate evidence that occupational therapy practitioners should routinely provide the intervention to eligible clients. At least fair evidence was found that the intervention improves important outcomes and concludes that benefits outweigh harm.
C –There is weak evidence that the intervention can improve outcomes, and the balance of the benefits and harms may result either in a recommendation that occupational therapy practitioners routinely provide the intervention to eligible clients or in no recommendation as the balance of the benefits and harm is too close to justify a general recommendation.
D –Recommend that occupational therapy practitioners do not provide the intervention to eligible clients. At least fair evidence was found that the intervention is ineffective or that harm outweighs benefits.
I –Insufficient evidence to determine whether or not occupational therapy practitioners should be routinely providing the intervention. Evidence that the intervention is effective is lacking, of poor quality, or conflicting and the balance of benefits and harm cannot be determined.
Levels of Evidence for Occupational Therapy Outcomes Research
| Evidence Level | Definitions |
|---|---|
| I | Systematic reviews, meta-analyses, randomized controlled trials |
| II | Two groups, nonrandomized studies (e.g., cohort, case control) |
| III | One group, nonrandomized (e.g., before and after, pretest and posttest) |
| IV | Descriptive studies that include analysis of outcomes (e.g., single-subject design, case series) |
| V | Case reports and expert opinion that include narrative literature reviews and consensus statements |
Note: Adapted from “Evidence-based medicine: What it is and what it isn’t.” D. L. Sackett, W. M. Rosenberg, J. A. Muir Gray, R. B. Haynes, & W. S. Richardson, 1996, British Medical Journal, 312, pp. 71-72. Copyright © 1996 by the British Medical Association. Adapted with permission.
Clinical Algorithm(s)
None provided
Scope
Disease/Condition(s)
Developmental disabilities including:
- Social–emotional development disorders
- Feeding, eating, and swallowing disorders
- Cognitive development disorders
- Motor development disorders
Guideline Category
- Counseling
- Evaluation
- Management
- Prevention
- Rehabilitation
- Risk Assessment
- Screening
Clinical Specialty
- Family Practice
- Gastroenterology
- Neurology
- Nutrition
- Pediatrics
- Physical Medicine and Rehabilitation
- Preventive Medicine
- Psychiatry
- Psychology
- Speech-Language Pathology
Intended Users
- Advanced Practice Nurses
- Allied Health Personnel
- Dietitians
- Health Care Providers
- Health Plans
- Managed Care Organizations
- Nurses
- Occupational Therapists
- Patients
- Physical Therapists
- Physician Assistants
- Physicians
- Psychologists/Non-physician Behavioral Health Clinicians
- Public Health Departments
- Social Workers
- Speech-Language Pathologists
- Students
- Utilization Management
Guideline Objective(s)
- To provide an overview of the occupational therapy process for children from birth through age 5 years
- To define the occupational therapy domain, process, and intervention that occur within the boundaries of acceptable practice
- To help occupational therapy practitioners, as well as individuals who manage, reimburse, or set policy regarding occupational therapy services, understand the contribution of occupational therapy in evaluating and serving children from birth through age 5
- To serve as a resource for parents, school administrators, educators, and other early childhood staff
Target Population
Children from birth through 5 years of age with a need for occupational therapy services
Interventions and Practices Considered
- Social–emotional * Touch-based interventions * Relationship-based intervention * Interactional/play-based activities * Naturalistic interventions * Instruction-based intervention * Therapist-selected toys and objects
- Feeding, eating, and swallowing * Behavioral-based intervention * Parent-directed educational-based interventions * Physiological interventions
- Cognitive interventions * Neonatal intensive care unit (NICU): Newborn Individualized Developmental Care and Assessment Program * NICU and home-based interventions * Intervention to promote joint attention
- Interventions to promote monitoring performance * Developmental interventions for at-risk infants * Interventions for children with or at risk for cerebral palsy (CP): constraint-induced movement therapy * Visual–motor interventions for children with developmental delays: therapist-led or child-led sensorimotor therapy
Major Outcomes Considered
- Effectiveness of occupational therapy interventions:
- Promote social–emotional development
- Improve feeding, eating, and swallowing
- Improve motor performance
- Improve cognitive development
- Quality-of-life
- Duration of home-based behavioral treatment
- Parenting programs
Methodology
Methods Used to Collect/Select the Evidence
- Hand-searches of Published Literature (Primary Sources)
- Hand-searches of Published Literature (Secondary Sources)
- Searches of Electronic Databases
Description of Methods Used to Collect/Select the Evidence
The following 5 focused questions from the review of interventions for children 0 through 5 years were included in this Practice Guideline:
- Social –emotional development: What is the effectiveness for interventions used in occupational therapy to promote social–emotional development for children 0 through 5?
- Feeding, eating, and swallowing : What is the evidence for the effectiveness for interventions used in occupational therapy to improve feeding, eating, and swallowing for children 0 through 5?
- Motor development : What is the evidence for the effectiveness of interventions within the scope of occupational therapy to improve motor performance for children 0 through 5?
- Cognitive development : What is the evidence for the effectiveness of interventions within the scope of occupational therapy practice to improve cognitive development for children 0 through 5?
- Service delivery model : What is the evidence for the effectiveness of different service delivery models used to improve occupational performance for children 0 through 5 and families receiving early intervention and early childhood services?
Search terms for the reviews were developed by the consultant to the American Occupational Therapy Association, Inc. (AOTA) Evidence-Based Practice Project (EBP) and AOTA staff in consultation with the authors of each question and reviewed by the advisory group. The search terms were developed not only to capture pertinent articles but also to make sure that the terms relevant to the specific thesaurus of each database were included. Table C.2 in the original guideline document lists the search terms related to the population and interventions included in each systematic review. A medical research librarian with experience in completing systematic review searches conducted all searches and confirmed and improved the search strategies.
Databases and sites searched included Medline, PsycINFO, Cumulative Index to Nursing and Allied Health Literature (CINAHL), Educational Resources Information Center (ERIC), and Occupational Therapy Systematic Evaluation of Evidence (OTseeker). In addition, consolidated information sources, such as the Cochrane Database of Systematic Reviews and the Campbell Collaboration, were included in the search. These databases are peer-reviewed summaries of journal articles and provide a system for clinicians and scientists to conduct evidence-based reviews of selected clinical questions and topics. Moreover, reference lists from articles included in the systematic reviews were examined for potential articles, and selected journals were hand-searched to ensure that all appropriate articles were included.
Inclusion and exclusion criteria are critical to the systematic review process because they provide the structure for the quality, type, and years of publication of the literature incorporated into a review. The review of all five questions was limited to peer-reviewed scientific literature published in English. The review also included consolidated information sources such as the Cochrane Collaboration. Reports listed on ERIC were included for the service delivery question.
The literature included in the review had been published between 1990 and 2010, and the study samples were children birth to age 5 and eligible for early intervention services. The intervention approaches examined were within the scope of practice of occupational therapy. The review excluded data from presentations, conference proceedings, non-peer-reviewed research literature, dissertations, and theses. Studies included in the review are Level I, II, and III evidence. Level IV evidence was included only where higher level evidence on a given topic was not found (see the “Rating Scheme for the Strength of the Evidence” field).
The consultant to the EBP Project completed the first step of eliminating references based on citation and abstract. Except in one situation in which the author worked on the review independently, the reviews were carried out as academic partnerships in which academic faculty worked with graduate students. Review teams completed the next step of eliminating references based on citations and abstracts. The full-text versions of potential articles were retrieved, and the review teams determined final inclusion in the review based on predetermined inclusion and exclusion criteria.
Number of Source Documents
A total of 112 articles were included in the final review.
Methods Used to Assess the Quality and Strength of the Evidence
- Weighting According to a Rating Scheme (Scheme Given)
Rating Scheme for the Strength of the Evidence
Levels of Evidence for Occupational Therapy Outcomes Research
| Evidence Level | Definitions |
|---|---|
| I | Systematic reviews, meta-analyses, randomized controlled trials |
| II | Two groups, nonrandomized studies (e.g., cohort, case control) |
| III | One group, nonrandomized (e.g., before and after, pretest and posttest) |
| IV | Descriptive studies that include analysis of outcomes (e.g., single-subject design, case series) |
| V | Case reports and expert opinion that include narrative literature reviews and consensus statements |
Note: Adapted from "Evidence-based medicine: What it is and what it isn't." D. L. Sackett, W. M. Rosenberg, J. A. Muir Gray, R. B. Haynes, & W. S. Richardson, 1996, British Medical Journal, 312, pp. 71-72. Copyright © 1996 by the British Medical Association. Adapted with permission.
Methods Used to Analyze the Evidence
- Review of Published Meta-Analyses
- Systematic Review with Evidence Tables
Description of the Methods Used to Analyze the Evidence
The teams working on each focused question reviewed the articles according to their quality (scientific rigor and lack of bias) and levels of evidence. Each article included in the review was then abstracted using an evidence table that provides a summary of the methods and findings of the article and an appraisal of the strengths and weaknesses of the study based on design and methodology. American Occupational Therapy Association, Inc. (AOTA) staff and an Evidence-Based Practice (EBP) Project consultant reviewed the evidence tables to ensure quality control.
The strength of the evidence is based on the guidelines of the U.S. Preventive Services Task Force (http://www.uspreventiveservicestaskforce. org/uspstf/grades.htm). The designation of “strong evidence” includes consistent results from well-conducted studies, usually at least two randomized controlled trials. A designation of “moderate evidence” may be based on one randomized controlled trial or two or more studies of lower levels of evidence. In addition, there may be some inconsistency of findings across individual studies that might preclude a classification of strong evidence. The designation of “limited evidence” may be based on few studies, flaws in the available studies, and some inconsistency in the findings across individual studies. A designation of “mixed” may indicate that the findings were inconsistent across studies in a given category. A designation of “insufficient evidence” may indicate that the number and quality of studies is too limited to make any clear classification.
Review authors also completed a Critically Appraised Topic, a summary and appraisal of the key findings, clinical bottom line, and implications for occupational therapy based on the articles included in the review for each question.
Strengths and Limitations of the Systematic Reviews
The 5 systematic reviews presented in this Practice Guideline have several strengths and include many aspects of occupational therapy practice for infants, toddlers, young children, and their families. The reviews included 112 articles, and three-fourths of the articles were Level I and II evidence, indicating that the evidence was of high quality. The reviews also involved systematic methodologies and incorporated quality control measures.
The limitations of the systematic reviews are based on the design and methods of individual studies and include small sample sizes and limited descriptions of the psychometric properties of a study’s outcome measures. In addition, many of the studies in the review included concurrent interventions, and separating the effects of a single intervention may be difficult.
Methods Used to Formulate the Recommendations
- Expert Consensus
Description of Methods Used to Formulate the Recommendations
This study was initiated and supported by the American Occupational Therapy Association, Inc. (AOTA) as part of the Evidence-Based Practice (EBP) Project. In 2007, a Representative Assembly (RA) motion was passed “to charge the President to direct the Executive Director to direct resources to conduct an evidence-based literature review on the effectiveness of Occupational Therapy Services and Early Intervention.” The RA charge reflected the need for occupational therapy practitioners to access findings from systematic reviews to support interventions within the scope of occupational therapy practice. In addition, the rationale for the RA charge was the increased incidence of childhood disorders and an interest in addressing barriers to early intervention occupational therapy services.
Four focused questions were initially developed for the systematic reviews of occupational therapy interventions for early intervention/early childhood and included questions related to social–emotional development; feeding, eating, and swallowing; preliteracy; and service delivery models. The questions were generated in conjunction with a group of content experts in early intervention/early childhood and EBP. Because of budget constraints, the project was put on hold until 2009. Following the review of the results of the search and development of summaries of the literature, the preliteracy question was divided into two questions, one examining intervention effects on motor outcomes and the other examining interventions that promote cognitive development related to preliteracy.
Rating Scheme for the Strength of the Recommendations
Strength of Recommendations
A –There is strong evidence that occupational therapy practitioners should routinely provide the intervention to eligible clients. Good evidence was found that the intervention improves important outcomes and concludes that benefits substantially outweigh harm.
B –There is moderate evidence that occupational therapy practitioners should routinely provide the intervention to eligible clients. At least fair evidence was found that the intervention improves important outcomes and concludes that benefits outweigh harm.
C –There is weak evidence that the intervention can improve outcomes, and the balance of the benefits and harms may result either in a recommendation that occupational therapy practitioners routinely provide the intervention to eligible clients or in no recommendation as the balance of the benefits and harm is too close to justify a general recommendation.
D –Recommend that occupational therapy practitioners do not provide the intervention to eligible clients. At least fair evidence was found that the intervention is ineffective or that harm outweighs benefits.
I –Insufficient evidence to determine whether or not occupational therapy practitioners should be routinely providing the intervention. Evidence that the intervention is effective is lacking, of poor quality, or conflicting and the balance of benefits and harm cannot be determined.
Cost Analysis
The guideline developers reviewed published cost analyses.
Method of Guideline Validation
- Peer Review
Description of Method of Guideline Validation
Not stated
Evidence Supporting the Recommendations
Type of Evidence Supporting the Recommendations
The type of supporting evidence is identified and graded for each recommendation (see the “Major Recommendations” field).
The reviews included 112 articles, and three-fourths of the articles were Level I and II evidence, indicating that the evidence was of high quality. The reviews also involved systematic methodologies and incorporated quality control measures.
| Number of Articles in Each Review at Each Level of Evidence | ||||||
|---|---|---|---|---|---|---|
| Evidence Level | ||||||
| Review | I | II | III | IV | V | Total in Each Review |
| Social–emotional development | 11 | 4 | 3 | 5 | 0 | 23 |
| Feeding, eating, and swallowing | 18 | 3 | 10 | 32 | 0 | 34 |
| Service delivery models | 8 | 4 | 3 | 3 | 0 | 18 |
| Motor development | 16 | 7 | 1 | 0 | 0 | 24 |
| Cognitive development | 12 | 0 | 0 | 1 | 0 | 13 |
| Total | 65 | 18 | 17 | 12 | 0 | 112 |
Benefits/Harms of Implementing the Guideline Recommendations
Potential Benefits
These guidelines may be used to assist:
- Occupational therapists and occupational therapy assistants in communicating about their services to external audiences
- Other health care practitioners, teachers, and program administrators in determining whether referral for occupational therapy services would be appropriate
- Third-party payers in understanding the medical necessity and the therapeutic need for occupational therapy services for children birth through 5
- Health and education planning teams in determining the developmental and educational need for occupational therapy services
- Legislators, third-party payers, and administrators in understanding the professional education, training, and skills of occupational therapists and occupational therapy assistants
- Program developers, administrators, legislators, and third-party payers in understanding the scope of occupational therapy services
- Program evaluators and policy analysts in determining outcome measures for analyzing the effectiveness of occupational therapy intervention
- Policy, education, and health care benefit analysts in understanding the appropriateness of occupational therapy services for children from birth through 5
- Occupational therapy educators in designing appropriate curricula that incorporate the role of occupational therapy with children from birth through 5
Potential Harms
Not stated
Qualifying Statements
Qualifying Statements
- This guideline does not discuss all possible methods of care, and although it does recommend some specific methods of care, the occupational therapist makes the ultimate judgment regarding the appropriateness of a given intervention in light of a specific person’s circumstances, needs, and available evidence to support the intervention.
- This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold or distributed with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.
- It is the objective of the American Occupational Therapy Association, Inc. (AOTA) to be a forum for free expression and interchange of ideas. The opinions expressed by the contributors to this work are their own and not necessarily those of the AOTA.
Implementation of the Guideline
Description of Implementation Strategy
An implementation strategy was not provided.
Implementation Tools
- Patient Resources
- Resources
- Staff Training/Competency Material
Institute of Medicine (IOM) National Healthcare Quality Report Categories
IOM Care Need
- Getting Better
- Living with Illness
- Staying Healthy
IOM Domain
- Effectiveness
- Patient-centeredness
- Timeliness
Identifying Information and Availability
Bibliographic Source(s)
- Clark GF, Kingsley K. Occupational therapy practice guidelines for early childhood: birth through 5 years. Bethesda (MD): American Occupational Therapy Association, Inc. (AOTA); 2013. 154 p. [304 references]
Adaptation
Not applicable: The guideline was not adapted from another source.
Date Released
2013
Guideline Developer(s)
- American Occupational Therapy Association, Inc. - Professional Association
Source(s) of Funding
American Occupational Therapy Association, Inc.
Guideline Committee
Not stated
Composition of Group That Authored the Guideline
Authors : Gloria Frolek Clark, PhD, OTR/L, BCP, FAOTA, Private Practice, Adel, IA; Karrie Kingsley, OTD, OTR/L, Assistant Professor of Clinical Occupational Therapy, University of Southern California, Division of Occupational Science and Occupational Therapy, Los Angeles
Issue Editor : Marian Arbesman, PhD, OTR/L, President, ArbesIdeas, Inc., Consultant, AOTA Evidence-Based Practice, Project Clinical Assistant Professor, Department of Rehabilitation Science State, University of New York at Buffalo
Series Editor : Deborah Lieberman, MHSA, OTR/L, FAOTA, Director, Evidence-Based Practice, Staff Liaison to the Commission on Practice, American Occupational Therapy Association, Bethesda, MD
Financial Disclosures/Conflicts of Interest
The authors of this Practice Guideline have signed a Conflict of Interest statement indicating that they have no conflicts that would bear on this work.
Guideline Status
This is the current release of the guideline.
This guideline meets NGC’s 2013 (revised) inclusion criteria.
Guideline Availability
Available for purchase from the American Occupational Therapy Association (AOTA) Web site.
Availability of Companion Documents
The following are available:
- Occupational therapy practice framework: domain and process. 2nd ed. Bethesda (MD): American Occupational Therapy Association, Inc. (AOTA); 2008.
- Occupational therapy for young children birth through 5 years of age. Fact sheet. Bethesda (MD): American Occupational Therapy Association, Inc. (AOTA); 2011. 2 p.
In addition, case studies are available in the original guideline document.
Patient Resources
Tip sheets on various topics for children and youth are available from the American Occupational Therapy Association (AOTA) Web site.
Please note: This patient information is intended to provide health professionals with information to share with their patients to help them better understand their health and their diagnosed disorders. By providing access to this patient information, it is not the intention of NGC to provide specific medical advice for particular patients. Rather we urge patients and their representatives to review this material and then to consult with a licensed health professional for evaluation of treatment options suitable for them as well as for diagnosis and answers to their personal medical questions. This patient information has been derived and prepared from a guideline for health care professionals included on NGC by the authors or publishers of that original guideline. The patient information is not reviewed by NGC to establish whether or not it accurately reflects the original guideline’s content.
NGC Status
This NGC summary was completed by ECRI Institute on February 3, 2014.
Copyright Statement
This NGC summary is based on the original guideline, which is subject to the guideline developer’s copyright restrictions.
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