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The Issue Is

Implementing Occupation-Based Assessment

Clare Hocking argued, therapists’ attention can become

I
n the early 1990s, occupational ther-
apists were challenged to refocus diverted from the person who has the
their evaluation processes. Specifical- condition to the medical condition itself.
Clare Hocking, MHSc(OT), is Principal
ly, they were urged to focus on their In addition, evaluations that focus on
Lecturer, School of Occupational Therapy,
clients’ abilities to do what they want performance components are unlikely to
Auckland University of Technology, Private
and need to do and to carry out mean- reveal clients’ capabilities and adaptive
Bag 92 006, Auckland, New Zealand;
ingful occupation rather than evaluating strategies or to contribute to understand-
clare.hocking@aut.ac.nz.
the components underlying occupational ing the interaction between people and
performance problems (Fisher, 1992a, their environments (Mathiowetz, 1993).
This article was reviewed and accepted
1994a; Law et al., 1994; Mathiowetz, for publication February 4, 2001, by
Overall, a consensus seems to be
1993; Trombly, 1993). Subsequently, the M. Carolyn Baum, developing that evaluations that focus
call for occupation-based assessment has previous Associate Editor, The Issue Is. directly on occupation are most true to
been repeated and amplified (cf., Baum the basic concepts of occupational thera-
& Law, 1997; Coster, 1998). py (Coster, 1998; Fisher, 1992a; Gillette,
Several compelling rationales for aspect of a client’s performance to mea- 1991; Trombly, 1993). The complexities
this refocusing have been offered. First, sure. Until recently, occupational thera- of implementing occupation-based
evaluations that do not focus on the pists assumed that a strong correlation assessments, however, have received little
occupations that clients find problematic exists between performance components attention.
will not communicate the purpose of and occupational performance. Based on This article suggests that conceptu-
occupational therapy to clients or col- this assumption, evaluation of the com- alizing occupation in terms of meaning,
leagues and, thus, will contribute to con- ponents that underpin performance function, form, and performance com-
fusion and dissatisfaction with occupa- appeared to provide a good basis for ponents may provide a useful framework
tional therapy services (Fisher & Short- intervention. A growing body of research, to guide clinical reasoning about what to
DeGraff, 1993; Trombly, 1993). As however, has revealed that improvement assess. I propose that occupational con-
Baum and Law (1997) noted, clients in performance components does not cerns become the primary consideration
need to understand the purpose of occu- automatically translate into improved guiding the selection of assessments, and
pational therapy and its potential out- occupational performance (Fisher, 1992b; I outline three broad strategies to evalu-
comes as much as therapists need to Mathiowetz & Haugen, 1995; Schmidt, ate the use of available assessments with-
understand clients’ occupational perfor- 1988; Trombly, 1995, 1999). Thus, an in occupation-based evaluations. These
mance problems. Failure to communi- increase in concentration span, for exam- strategies are presented in Figure 1. An
cate the purpose or anticipated outcomes ple, may not carry over into improved assumption underlying the discussion is
of intervention would, in effect, com- performance of work tasks. that occupational therapy evaluations
promise the principles of client-centered A third concern is that occupational and interventions are guided by theory.
occupational therapy because clients can- therapists who focus their evaluations Examples of the influence of theoretical
not fully engage in processes they do not solely on performance components risk frameworks on clinical reasoning are
understand (Pollock & McColl, 1998). focusing treatment around those compo- incorporated throughout the discussion.
In addition, failing to communicate the nents, thus failing to address critical
purpose of intervention is contrary to occupational issues. These issues might What To Assess
the increasing consumer demand that include, for example, volitional aspects Trombly (1995) advised occupational
any evaluation of function is both rele- of performance (Fisher, 1992b) or attitu- therapists to enact “top–down” evalua-
vant and useful to the person being dinal, organizational, or physical envi- tions, that is, to first focus on clients’
assessed (Batavia, 1992). ronmental barriers to occupation occupational performance issues rather
A second area of concern is which (Roulstone, 1998). As Kielhofner (1993) than the underlying occupational perfor-

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to assess and in what sequence. From this the core themes of their lives and the
perspective, and working top–down, meanings they experience and express
occupational therapists’ first imperative is through occupation (i.e., why people do
to understand clients as occupational something, what they might do in the
beings who create meaning in their lives future, who they perceive they are
through the occupations in which they becoming).
engage. Framed by this understanding, To understand clients as occupation-
the function or purpose of the occupa- al beings, the first focus of occupation-
tions that are problematic, the form those based assessment, therapists are guided
occupations take, whether the cause of by the following questions:
the problem is clear, and the performance
components or environmental conditions • How does this person describe him-
that may be impeding performance can self or herself? What kind of person
be addressed. Each dimension of the is he or she?
occupationally based evaluation is dis- • How does this person’s occupation
cussed in sequence as follows. contribute to constructing or main-
taining identity, to expressing and
Understanding People as experiencing meaning, or to achiev-
Occupational Beings ing his or her life purpose?
The occupational therapy literature offers • What are this person’s occupational
various perspectives on people as occupa- goals? That is, what identity or
tional beings as well as the meanings that meanings does the person wish to
people experience and express through achieve?
daily occupation that center on the • In what ways do the occupations
notion of identity. For example, Kielhofner, this person finds problematic affect
Borell, Burke, Helfrich, and Nygard his or her identity or expression or
Figure 1. Conceptual framework for (1995) proposed in the Model of Human experience of meaning?
occupation-based assessment. Occupation that people have a “com-
monsense” understanding of who they Examples of assessments that address
mance limitations. In this way, she are, what they might do, the contexts in occupational identity are the OPHI-II
argued, clients would more easily under- which they might act, and who they and the Occupational Case Analysis
stand the unique concerns of occupation- might become. People’s understandings Interview and Rating Scale (Kaplan &
al therapy and more readily make sense of themselves are constructed and Kielhofner, 1989). Both assessments gen-
of occupational therapy intervention. revealed in their volitional narratives erate data about people’s occupational
Further, Trombly argued that therapists (Helfrich, Kielhofner, & Mattingly, histories. The Volitional Questionnaire
need to evaluate performance compo- 1994). (de las Heras, 1993) is an example of an
nents only when the cause of the prob- A related concept—occupational assessment that helps therapists to under-
lem is not already apparent in order to identity—emerged from research into the stand the meaning or volitional aspects of
determine how to intervene. Accepting psychometric properties of second ver- occupational performance from the per-
Trombly and others’ rationale, however, sion of the Occupational Performance former’s perspective.
does not necessarily assist therapists History Interview (OPHI-II; Kielhofner In addition to understanding the
trained and skilled in “bottom–up” eval- et al., 1998). The developers defined meanings clients experience and express
uation to determine how to proceed. occupational identity as the extent to through occupation, occupational thera-
This section outlines a top–down evalua- which the person has integrated and feels pists are concerned with whether those
tion strategy. confident about his or her values, inter- meanings are acceptable to others.
According to Clark et al. (1991), ests, and occupational roles. Christiansen Kielhofner (1995), among others, has
people are occupational beings. Occupa- (1999) and Crabtree (1998) each con- reminded us that the persons in our
tion can be conceptualized in terms of its cluded that identity is developed and clients’ social environments both create
performance components (or substrates expressed through occupation and that the social contexts within which they act
[Clark et al., 1991]), form, function, and occupation is the vehicle for experiencing and provide opportunities to enter occu-
meaning, where the form of an occupa- life meaning. Similar ideas are incorpo- pational roles. For example, a child who
tion refers to its observable features rated within the Canadian Model of takes his wheelchair to the beach, thus
(Clark, Wood, & Larson, 1998) rather Occupational Performance (Canadian exposing it to sand and salt water, may
than the broader definition proposed by Association of Occupational Therapists, challenge his parents’ value of looking
Nelson (1988). Proposed here is that 1997), where people’s occupations are after such expensive equipment better.
thinking about occupational performance centered on their spirituality, their inner Alternatively, parents may encourage
in terms of its meaning, function, form, core or essence. Taken together, these their child to venture onto the beach,
and performance components may guide ideas suggest that understanding people believing the child has a right to this
therapists’ clinical reasoning about what as occupational beings is to understand experience. Therapists need to under-

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stand whether a client’s occupations fit fer from that of the recipient is impor- The first questions, therefore, are as fol-
with the occupational roles and expecta- tant. The essential questions for under- lows:
tions of the client’s social environment standing the function of occupations are
and to ensure that the occupations they as follows: • What actions are required to com-
propose or endorse are acceptable to and plete the occupation successfully?
valued by the client. Generally, this infor- • What functions are disrupted by the That is, what will be observed to
mation is sought through interviewing all occupational challenges this person happen?
persons concerned. experiences, and who is affected? For • Where, when, and how often can
example, is the disruption an issue the occupation be observed?
Understanding the Function of health, happiness, generating an • What performance standards will
of Occupations income, parenting one’s children, apply? That is, what quality of per-
Understanding the function of occupa- getting along with others, or main- formance will be observed?
tions that are affected by disability, envi- taining a clean and comfortable • What will happen as a result of per-
ronmental disruption, or occupational home environment? forming the occupation? What, if
role transitions, such as retirement, is a • In what ways does the physical envi- any, outcomes might be observed?
second focus for data gathering. People ronment support or impede the per- • Does the environment in which the
engage in occupation for a wide variety son from achieving the intended occupation is performed provide the
of reasons, which Wilcock (1993) sum- purpose of his or her occupation? necessary resources?
marized as meeting “immediate bodily • In what ways do others’ occupations • In what ways does the environment
needs of sustenance, self care and shel- support or hinder the person, and support or hinder performance?
ter”; developing “skills, social structures how might they better provide sup-
and technology aimed at safety and supe- port? Having understood the requirements
riority over predators and the environ- and context of performance, therapists
ment”; and exercising personal capacities An example of an assessment that need to establish the nature and extent of
(p. 20). Research that has explored peo- captures information about the function the disruption to performance. In this
ple’s engagement in particular occupa- of occupation in people’s lives is the regard, acknowledging disruptions
tions has revealed other, more specific Canadian Occupational Performance observable to the performer as well as to
functions or purposes. For example, Segal Measure (COPM; Law et al., 1994) in an outside observer is important. The
(1999) found that parents select and con- which clients identify occupations as part broad questions, therefore, are as follows:
struct occupations for their children in of their productivity, leisure, or self-care
order to bring family members together; and prioritize them in order of impor- • What is the quality of the person’s
share their experiences; and provide tance and personal satisfaction with per- current occupational performance,
opportunities for the children to learn formance. including its strengths and weak-
something of their religious, ethnic, and nesses?
family background and of their parents’ Understanding the Form • How does the existing form of the
interests. Similarly, women demonstrate of Occupations occupation compare to the quality
real caring for their partners and children The form of an occupation, as defined by of performance he or she is striving
by acknowledging their individual prefer- Clark et al. (1998), refers to its observ- for or required to achieve?
ences as they shop for groceries and plan able features. In a top–down, occupation- • How has the person adapted to or
and prepare meals. For these women, based assessment, establishing the quality accommodated his or her occupa-
these occupations also function as an of the occupational performance, its tional performance challenges?
expression of individual skill, pride, and observable features, within the environ-
responsibility (De Vault, 1991; Miller, ment in which it is performed is the next Finally, therapists will be concerned
1998). focus. This process includes both deter- about potential for change in perfor-
Thus, the function of an occupation mining the nature and extent of any mance. Relevant questions are the follow-
refers to its purpose or importance within observable disruption to performance ing:
the person’s daily realm of occupations and identifying occupational perfor-
and the contribution it makes to his or mance skills and environmental opportu- • Does the person have the capacity to
her own and others’ lifestyles. In that nities that support performance. improve the quality of his or her
people generally interdepend on others Understanding the ways in which performance?
for their survival and success, an individ- occupational performance is disrupted • In what ways might the occupation
ual’s occupations may range from provid- and the extent of that disruption requires or the occupational context be mod-
ing support for others to creating unneces- an understanding of the occupation in ified to better support performance?
sary and excessive work. Between these terms of the capacities required to carry it
extremes, occupations may be experi- out successfully. Occupational perfor- Exactly how these questions are
enced as mutually enjoyed or beneficial mance is the product of the person, the framed will depend on and vary with the
or as providing a focus for other’s actions occupation, and the environment models informing therapists’ clinical rea-
and care. In this regard, acknowledging (Kielhofner, 1995) and is best under- soning. For example, the Model of
that the performer’s perspective may dif- stood in the context of its performance. Human Occupation would frame these

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questions in terms of the setting in which to the client and the therapist is the pri- the core construct is skillful performance
the occupational behavior occurs, the mary professional issue in relation to in both motor and process domains.
person’s occupational roles, motor and evaluation (Batavia, 1992). In the context Another example is the Volitional
process skills, and so on. Relevant assess- of occupational therapy in which occupa- Questionnaire, which involves observing
ments would include the Assessment of tion is both a goal and a means of thera- a nonverbal client’s behavior while
Motor and Process Skills (AMPS; Fisher, peutic intervention (Moyers, 1999), engaged in an occupation to understand
1994b), the Assessment of Communi- ensuring that assessments are relevant what motivates him or her. The core con-
cation and Interaction Skills (Salamy, and useful means identifying and using struct in this assessment is volition for
Simon, & Kielhofner, 1993), and the ones that have an occupational basis. occupation. Examples of assessments in
Functional Independence Measure Three broad strategies to analyze the which occupation performance is the
(Keith, Granger, Hamilton, & Sherwin, occupational basis of assessments are (a) core construct are the COPM and the
1987). All of these assessments gather determining whether the assessment Self Assessment of Occupational
information about the skillfulness or actually measures some aspect of occupa- Functioning (Baron & Curtin, 1990),
effectiveness of the person’s performance tion, (b) identifying what kind of occu- both of which ask clients to evaluate their
within the environment. pation(s) the assessment involves and satisfaction with their level of occupa-
how clients might experience those occu- tional performance as a basis for collabo-
Evaluating Performance Components pations, and (c) analyzing whether the rative treatment planning.
Finally, if the cause of the occupational occupations incorporated in the assess- The second component of analyzing
dysfunction a client experiences is not ment are real or simulated and familiar whether and how an assessment measures
already evident, evaluation of the nature or unfamiliar. These strategies are dis- occupation is determining whether the
and extent of deficits in the components cussed here, and questions to analyze “philosophy, rationale, and frame of ref-
of occupational performance may be nec- critically whether assessments are occupa- erence used in constructing the instru-
essary (Baum & Law, 1997; Mathiowetz, tion based are proposed. ment” (Opacich, 1991, p. 369) is occupa-
1993; Pollock & McColl, 1998). As tional or supports an understanding of
Coster (1998) noted, the therapist uses Does the Assessment Measure occupation. For assessments developed to
knowledge of the cause of observed dys- Occupation? operationalize specific theories of occupa-
function to select appropriate interven- As previously discussed, a top–down, tional performance, such as the Model of
tion strategies. For example, establishing occupation-based evaluation process Human Occupation or the Canadian
that a client has difficulty shampooing looks at the meaning of occupation; the Model of Occupational Performance, this
her hair because of limited range of function or purpose of occupation within process is straightforward. For other
movement at the shoulder points to bio- people’s lives; the form of their occupa- assessments, however, the underpinning
mechanical intervention, whereas diffi- tional performance; and, if necessary, the philosophy or theory is less evident either
culty with the same task because of performance components or environ- because the developers did not explicitly
cognitive dysfunction subsequent to a mental conditions that support or restrict identify the theory informing their think-
traumatic brain injury points to cognitive occupational performance. Two compo- ing or because the relationship of the
rehabilitation approaches. nents aid in judging whether a particular philosophy or rationale to occupational
Many occupational therapy assess- assessment is occupation based: deter- performance is less direct. For example,
ments generate data about the status of mining whether the assessment measures the Refined ADL Assessment Scale for
the components underlying effective per- some aspect of occupation, such as the Patients with Alzheimer’s and Related
formance. For example, the Bay Area meaning of occupation or the skillfulness Disorders (Tappen, 1994) does not
Functional Performance Evaluation of performance, and determining whether explicitly identify an underlying theory
(BaFPE; Bloomer & Williams, 1986) occupation is the core construct of the base. The author’s qualification as a regis-
assesses cognitive abilities, and the Jebsen assessment. tered nurse and the assessment’s concern
Hand Function Test (Jebsen, Taylor, Perhaps the most obvious indicator with need for nursing home admission
Trieschmann, Trotter, & Howard, 1969) that occupation is the core construct of and type and level of assistance required
measures dexterity in the context of sim- an assessment is that the assessment to complete activities of daily living tasks,
ulated tasks of daily living. Further, some involves people carrying out an occupa- however, reveal an underlying philosophy
assessments focus on the environmental tion; documenting their occupational of care delivery and minimizing care
context of performance. For example, the performance; or talking about the impor- requirements.
Ward Atmosphere Scale (Moos, 1989) tance or meaning of occupations, how In contrast, the Automatic Thoughts
assesses the perceived social expectations their occupations are organized, or their Questionnaire (Hollon & Kendall, 1980)
and rules of a rehabilitation setting and satisfaction with their occupational per- is clearly based on cognitive behavioral
the ways in which self-reliant occupation- formance. For example, the AMPS theory, which posits that changing the
al performance is supported or restricted. assesses performance of two or three way people think about themselves and
familiar domestic or self-care tasks of the things that happen to them can
Selecting Occupation-Based choice while an occupational therapist change their feelings and behaviors. To
Assessments observes the skillfulness of the client’s use data generated by the Automatic
Determining how the data generated by performance. This assessment specifically Thoughts Questionnaire to change a per-
an assessment will be relevant and useful evaluates motor and process skills, and son’s experience of particular occupations

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requires knowledge about both cognitive A further consideration in all aspects cult. In addition, clients with cognitive
behavioral theory and the role that cogni- of occupational therapy practice is the dysfunction are likely to be confused by
tion plays in occupation. For example, in importance of addressing cultural issues. assessment activities that are not substan-
the context of the Model of Human In relation to evaluation processes, this tially the same as the occupations they
Occupation, automatic thoughts might concern raises issues about whether the find problematic. To avoid these prob-
influence the processes of anticipating, occupation of being assessed is culturally lems, I suggest that therapists seeking to
choosing, experiencing, and interpreting safe (Hocking, 1998; Hocking & establish occupationally based practice
occupational behavior (Kielhofner et al., Whiteford, 1995). For an assessment to may be better served by assessments that
1995). In this case, occupational thera- be culturally safe, it should not incorpo- involve real rather than simulated occupa-
pists themselves must judge their ability rate concepts that are foreign or irrele- tion whenever possible.
to make the necessary links between the vant in the person’s cultural context, A related concern is whether the
theory base of the assessment and occu- practices that contravene codes of mod- assessment involves familiar or unfamiliar
pation. esty or privacy, or expectations that the occupations. Many assessments designed
Questions to guide therapists’ evalu- person will self-report or make decisions by psychologists expose clients to tasks
ations of the occupational basis of assess- in ways that are not culturally sanc- that they have not had the opportunity
ments are the following: tioned. Many assessments that occupa- to practice. Indeed, opportunities to
tional therapists use, for example, have practice assessment tasks render the
• Is occupation the core construct an underlying assumption that persons assessment useless in that the results can
measured by the assessment? Does are self-determining, autonomous agents. no longer be taken as representative of
the assessment evaluate the meaning, Within some cultures, however, making general skill levels. The BaFPE is an
function, form, or components of decisions without reference to the family occupational therapy assessment that is
occupational performance or the or wider social group would be consid- based on similar premises and composed
ways in which the environment sup- ered selfish and present a danger to group of a set of tasks intended to be unfamiliar
ports or impedes occupational per- cohesion. Relevant questions to evaluate to clients. In contrast, the AMPS stipu-
formance? how clients may experience the occupa- lates that the assessment tasks be familiar
• Does the assessment involve people tion of being evaluated are as follows: to the client and carried out in an envi-
in carrying out an occupation or ronment to which he or she has been ori-
documenting or talking about their • In what ways does the assessment ented. The difference lies in the intent of
occupational performance? protocol constrain how the therapist the AMPS to evaluate skill in monitoring
• Are the philosophy, rationale, and may interact with the client? How one’s own actions in the midst of an
frame of reference of the assessment may any constraints to interaction unfolding occupation rather than assess-
occupational? affect the development or mainte- ing underlying performance capabilities.
nance of a therapeutic relationship? Therapists need to determine whether
What Kind of Occupation • Is the assessment culturally safe? observing clients performing familiar or
is the Assessment? unfamiliar tasks will best reveal the
As well as considering whether occupa- Are the Occupations Real or nature and extent of the occupational
tion is the core concept of an assessment, Simulated, Familiar or Unfamiliar? performance deficits their clients experi-
evaluating the occupational basis of an Also important when analyzing the occu- ence. Similarly, whether the environment
assessment involves considering the pational basis of assessments is whether in which the assessment is completed is
assessment itself an occupation. Thus, they involve carrying out real or simulat- familiar or unfamiliar may have motiva-
therapists are concerned with what kind ed occupations. For example, the Struc- tional implications or change the quality
of occupation it will be for the client to tured Observational Test of Function of the performance (Park, Fisher, &
“be assessed.” For occupational therapists (Laver & Powell, 1995) involves carrying Velozo, 1994).
who strive to achieve client-centered out basic self-care tasks to judge the A final consideration is the kind of
practice, an important consideration is impact of perceptual and cognitive data the assessment will generate. For
the potential impact of formal evaluation deficits on task performance. In contrast, example, will the final score be a measure
processes on the developing therapeutic the tasks involved in perceptual tests, such of the person’s performance skills or satis-
relationship. Managh and Cook (1993), as the Visual Cancellation Test (Abreu, faction with their occupational perfor-
for example, found that many of the 1992), or in assessments like the Purdue mance, or will it be a measurement of
Canadian occupational therapists they Pegboard (Tiffen, 1968) require clients to their performance capacity (e.g., degrees
studied modified the administration pro- perform simulated activities that are not of movement at a joint)? Although either
tocol of the BaFPE. What these thera- part of everyday life. In occupational sci- or both may be useful, if the intent of
pists reported was that the assessment ence terminology, such simulations are occupational therapy intervention is to
protocol constrained how they interacted not occupations in that they are not change occupational performance, it is
with clients. They perceived administer- “named in the lexicon of the culture” more clearly demonstrated by assess-
ing the assessment as a coldly formal (Clark et al., 1991, p. 301) and may not ments that directly measure and describe
occupation that did not allow them to be elicit the same motivation to perform or that performance.
encouraging of their clients’ efforts or similar motor patterns as the real-life Questions that summarize the key
supportive of their failures. occupation the client experiences as diffi- points made here are the following:

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• Does the assessment involve real or Second Asia-Pacific Occupational Therapy right test, minimizing the limitations.
simulated occupations? What moti- Congress in Taipei, Taiwan, September American Journal of Occupational Therapy, 46,
11–14, 1999. 278–281.
vational or performance implications
Fisher, A. (1994a). Functional assess-
may the use of simulated occupa-
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