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Functional Assessment and
Program Development
for Problem Behavior
A Practical Handbook 3rd edition
Robert E. O’Neill
University of Utah
Richard W. Albin
University of Oregon
Keith Storey
Touro University
Robert H. Horner
University of Oregon
Jeffrey R. Sprague
University of Oregon
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Functional Assessment and Program © 2015, 1997 Cengage Learning
Development for Problem Behavior:
WCN: 02-200-203
A Practical Handbook, Third Edition
Robert E. O’Neill, Richard W. Albin, Keith ALL RIGHTS RESERVED. No part of this work covered by the copyright herein
Storey, Robert H. Horner, & Jeffrey Sprague may be reproduced, transmitted, stored, or used in any form or by any means
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iii
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iv
ABOUT THE
AUTHORS
ROBERT E. O’NEILL, PH.D. Dr. O’Neill is cur- has over 30 years of experience in research, pro-
rently the chairperson of the Department of Spe- gram and model development, personnel prepara-
cial Education at the University of Utah, and is a tion, and technical assistance related to people
Board Certified Behavior Analyst (BCBA). He has with intellectual and developmental disabilities
previously served as the coordinator of both the (I/DD) of all ages. He has conducted and pub-
Program in Severe Disabilities and the Program lished research related to positive behavior sup-
in Mild/Moderate Disabilities in the department, port, general case instructional procedures for
and teaches in both program areas. In addition, learners with I/DD, and person-centered plan-
Dr. O’Neill teaches courses in the department’s ning, and has collaborated in the development of
masters and doctoral programs. He received his numerous training materials and the provision of
M.A. and Ph.D. from the University of California in-service training in positive behavior support.
at Santa Barbara, after which he was a member His teaching in the College of Education at Ore-
of the faculty at the University of Oregon for nine gon has included courses in programming and in-
years before moving to the University of Utah. struction, behavior and classroom management,
Dr. O’Neill’s recent work has focused on strategies grant writing, quantitative research methods, and
for supporting persons exhibiting severe problem single-case research design. He is currently an
behaviors in a variety of community settings, in- associate editor for the Journal of Positive Behavior
cluding homes, classrooms, and work sites. His Interventions.
current work is concerned with the areas of func-
tional assessment, teaching communication skills KEITH STOREY, PH.D. Keith Storey received
as alternatives to problem behaviors, school-wide his Ph.D. from the University of Oregon. He is cur-
behavioral support, and gender issues in emotional rently a Professor of Education and is the Special
and behavioral disorders. Dr. O’Neill has received Education Program Chair at Touro University in
over half a million dollars in federal grant sup- Vallejo, California. He served for six years as a
port for his research, development, and personnel classroom teacher working with individuals with
preparation activities. He has published a number a variety of disability labels. Keith is the recipi-
of journal articles, books, and book chapters, and ent of the 1988 Alice H. Hayden Award from The
has done presentations at a variety of state, na- Association for Persons with Severe Handicaps;
tional, and international conferences. His work has the 1996 Hau-Cheng Wang Fellowship from Chap-
appeared in the Journal of Applied Behavior Analy- man University, which is presented for exceptional
sis, Exceptional Children, Research and Practice in merit in scholarship; and the 2001 Robert Gaylord-
Severe Disabilities, Education and Treatment of Chil- Ross Memorial Scholar Award from the California
dren, Journal of Developmental and Physical Dis- Association for Persons with Severe Disabilities.
abilities, Journal of Special Education, Remedial and He is a member of the Illinois State University Col-
Special Education, Journal of Behavioral Education, lege of Education Alumni Hall of Fame and serves
and the Journal of Positive Behavioral Interventions. on the editorial boards of Research and Practice
for Persons with Severe Disabilities, Education
RICHARD W. ALBIN, PH.D. Richard W. Albin and Treatment of Children, Career Development for
is a Senior Research Associate/Associate Professor Exceptional Individuals, Journal of Vocational Re-
in the Department of Special Education and Clini- habilitation, Journal of Positive Behavior Interven-
cal Sciences at the University of Oregon. Dr. Albin tions, and Education and Training in Autism and
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
v
Developmental Disabilities. He has also published behavioral assessment, school safety, youth vio-
the books Positive Behavior Supports in Classrooms lence prevention, and juvenile delinquency preven-
and Schools: Effective and Practical Strategies for tion. Dr. Sprague began his career as a teacher of
Teachers and Other Service Providers, Systematic students with low-incidence cognitive disabilities,
Instruction for Students and Adults with Disabili- and his early career research was focused pri-
ties, Walking Isn’t Everything: An Account of the Life marily in this content area. In 1990 and 1997, Dr.
of Jean Denecke, and The Road Ahead: Transition Sprague coauthored the first guide to Functional
to Adult Life for Persons with Disabilities. Behavioral Assessment. Jeff is a contributor to
“Early Warning, Timely Response,” and the 1998,
ROBERT H. HORNER, PH.D. Rob Horner is 1999, and 2000 “President’s Annual Reports on
professor of special education at the University School Safety.” He has written a book on crime
of Oregon. His research has focused on behavior prevention through environmental design (CPT-
analysis, instructional strategies for learners with ED) for school administrators. Jeff has authored
severe disabilities, and systems change. He has a book on school safety, Safe and Healthy Schools:
worked for the past 18 years with George Sugai in Practical Prevention Strategies, with Hill Walker for
development and implementation of school-wide Guilford Publications (Sprague & Walker, 2005;
positive behavior support (SWPBS). Over 19,000 www.guilford.com), and a book on school-wide
schools are implementing SWPBS nationally. Re- positive behavior interventions and supports,
search, evaluation and technical assistance out- Best Behavior: Building Positive Behavior Supports
comes from this effort indicate that investing in in Schools, with Annemieke Golly (2005; www.
the development of a positive social culture is as- sopriswest.com). In 2008, he published Universal
sociated with improved behavioral and academic Screening: Integrating RTI and Behavior Support
gains for students. (www.shoplrp.com). Dr. Sprague has published
more than 150 journal articles and book chapters.
JEFFREY R. SPRAGUE, PH.D. Dr. Jeffrey He currently directs an R01 research project for
Sprague is a Professor of Special Education and the National Institute in Drug Abuse, to conduct
Director of the University of Oregon Institute on the first evaluation of the effects of positive behav-
Violence and Destructive Behavior. He directs fed- ior supports in middle schools, and is coprincipal
eral, state and local research and demonstration investigator on five Institute of Education Sciences
projects related to positive behavior interventions Goal 2 development projects focusing on positive
and supports, response to intervention, youth vio- behavior supports, response to intervention for
lence prevention, alternative education, juvenile behavior, classroom management, student self-
delinquency prevention and treatment, and school management, and PBIS implementation in juve-
safety. His research activities encompass applied nile justice settings. Jeff is a native Oregonian,
behavior analysis, positive behavior supports, husband, and father of two girls who fly, bicycle,
behavioral response to intervention, functional run, fish, and play guitar.
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
vi
CONTENTS
1 Introduction 1
Using the Functional Assessment Interview
(FAI) Form 16
Developing Summary Statements 21
Purpose of the Handbook 2 Including the Individual:
Who Should Use This Handbook? 3 The Student-Directed Functional
Assessment Interview 22
Functional Behavioral Assessment 4
Who Should Be Interviewed? 32
What Is a Functional Behavioral Who Should Conduct the Student-Directed
Assessment? 5 Interview? 32
An Overview of Approaches in How Long Does the Interview Take? 32
Comprehensive Functional Assessment 5 What Are the Outcomes of a Student-
Informant Methods 6 Directed Interview? 32
Direct Observation 7 Using the Student-Directed Functional
Assessment Interview Form 32
Systematic Manipulations—Functional
Validating the Student-Directed Functional
and Structural Analyses 8
Assessment Interview 40
Why Conduct a Functional
Direct Observation 40
Assessment? 8
Keep It Simple 40
Additional Issues to Consider before
Conducting a Functional Assessment 9 When and Where Should Observations
Be Done? 40
Person-Centered Planning 9
Who Should Observe? 41
Activity Patterns and Social Life 10
How Long Should Direct Observation Data
Medical and Physical Issues 10 Be Collected? 41
A Statement of Values 10 What Does the Functional Assessment
Observation Form Do? 41
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vii
Functional Analysis Manipulations 57 Behavior Support Plans Should Fit the Setting
Where They Will Be Implemented 78
When Should Functional Analysis Be
Done? 58 Selecting Intervention Procedures:
Who Should Be Involved? 58 The Competing Behavior Model 79
The Process of Conducting a Functional Constructing a Competing Behavior
Analysis 58 Model 80
Ideas for Testing Different Types of Summary Competing Behavior Model for Erica 87
Statements 60 Competing Behavior Model for Cornell 88
Examples of Functional Analysis Competing Behavior Model for Stewart 89
Manipulations 61
Competing Behavior Model for Curtis 91
Important Considerations and Guidelines
Concerning Functional Analysis
Procedures 65
5 Writing Behavior
3 Linking the Function Support Plans 95
4 Building Behavior
Key Routines
Monitoring and Evaluation 102
An Implementation Plan for the Behavior
Support Plans 73 Support Plan 102
Example Behavior Support Plan: Mara 103
Building Behavior Support Plans 75
Four Considerations for Building
Behavior Support Plans 75 Appendixes
Behavior Support Plans Describe the
Behavior of Plan Implementers 76 A: List of References Relevant to
Functional Assessment and Positive
Behavior Support Plans Should Build from Behavioral Interventions and Support
Functional Behavioral Assessment Results 76 Approaches 105
Behavior Support Plans Should Be B: Functional Assessment Interview Form
Technically Sound 77 (FAI) 115
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
viii
PREFACE
The development of the third edition of this hand- Efforts to support persons who exhibit serious
book was prompted by a number of issues. Sub- problem behaviors will always involve some level of
stantial conceptual and technological advances risk to the person themselves and to the staff and
continue to be made in approaches for analyzing family members attempting to support them. We
patterns of problem behavior and developing sup- have made every effort to recommend appropriate
port programs, and we wanted to incorporate them safety guidelines throughout this handbook. How-
into the handbook. Also, we have modified the forms ever, we recognize that no procedures can absolute-
and procedures from the second edition in ways we ly guarantee the safety of people involved in prob-
believe improve both the efficiency and effectiveness lematic situations. Therefore, we must declare that
of the functional behavioral assessment process. all responsibility for ensuring the safety of individ-
Above all, we were strongly motivated to continue uals who become involved in procedures described
providing teachers, clinicians, and family members in this handbook lies with those implementing
with practical strategies to help them in their daily and supervising the procedures (such as teachers,
work. Digital Downloads of the Functional Assess- psychologists, parents and family members, resi-
ment Interview (FAI) are also included, as well as dential and vocational staff, and consultants). No
other useful forms from the textbook for students legal responsibility or obligation for personal safety
to download and use to review key concepts both is accepted by the United States government; the
in and out of the classroom. Look for the Digital University of Oregon; the University of Utah; Touro
Download label that identifies these items. Another University; the states of Oregon, Utah, and Califor-
key resource included in this revised edition is the nia; the authors of this manual; or the publisher.
TeachSource Video Connection boxes, which fea-
ture footage from the classroom to help students
relate key chapter content to real-life scenarios.
Critical-thinking questions provide opportunities Acknowledgments
for in-class or online discussion and reflection.
Most of this handbook is devoted to strategies We acknowledge the many teachers, family mem-
that are considered part of functional behavioral bers, consultants, researchers, and others who
assessment rather than functional analysis. Func- have implemented the strategies described in
tional behavioral assessment is a broad process the editions of this book and who have provided
for gathering information to understand problem feedback on both positive features and aspects
behavior situations and develop effective support that would benefit from revision. In particular,
plans. Functional analysis is a process for con- we thank Drs. Steve Newton, Edward Carr, Glen
ducting experimental analyses of the contingencies Dunlap, Wayne Sailor, Lynn Koegel, Robert Koe-
that maintain problem behaviors. The definitions of gel, Daniel Baker, and Jacki Anderson and Ms.
these terms and the strategies involved in both ap- Anne Todd for their helpful input and feedback
proaches are discussed in detail in the handbook. in the preparation of this third edition. We would
To make the handbook easy to read, we have also like to acknowledge the debt that we owe to
purposely avoided providing a large number of B. F. Skinner for his research in the field of be-
references in the text, although a few are used to havior analysis, which has led to the empirical
provide appropriate recognition to the work and foundation on which this book is based. We also
ideas of others. Instead, we have provided a list acknowledge our significant debt to the students
of references and resources relevant to functional with and without disabilities and adults with dis-
assessment and analysis in Appendix A. Readers abilities who have provided guidance and feed-
interested in relevant research and other related back in the design and revision of procedures de-
material should consult this list. scribed here.
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
x
We would also like to thank the reviewers who eBook, quizzes, Digital Downloads, TeachSource
provided us with valuable input for the third videos, flashcards, and more—as well as Engage-
edition: mentTracker, a first-of-its-kind tool that monitors
● Susan Copeland, University of New Mexico student engagement in the course. The accompa-
● Mary Estes, University of North Texas nying instructor website, available through login.
cengage.com, offers access to password-protected
● Karen Gischlar, Rider University
resources such as PowerPoint® lecture slides and
● Cynthia Grunning, Rider University the online Instructor’s Manual with Test Bank.
● Deborah Guyer, University of Toledo CourseMate can be bundled with the student text.
● Juliet Hart, Arizona State University Contact your Cengage sales representative for
information on getting access to CourseMate.
● Ronald Martella, Eastern Washington University
● Diane Myers, Assumption College, Worcester Online Instructor’s Manual
● Arnold Nyarambi, East Tennessee State University
with Test Bank
● Diane Plunkett, Fort Hays State University
An online Instructor’s Manual accompanies this
● Deb Schweikert-Cattin, Regis University book. It contains information to assist the instruc-
● Suzanne Shellady, Central Michigan University tor in designing the course, including sample syl-
● Jan Weiner, California State University, Fullerton labi, discussion questions, teaching and learning
activities, field experiences, learning objectives,
and additional online resources. For assessment
Additional Resources support, the updated test bank includes true/
Student Ancillaries false, multiple-choice, matching, short-answer,
and essay questions for each chapter.
Cengage Learning’s Education CourseMate brings
course concepts to life with interactive learning,
COGNERO
study, and exam preparation tools that support
the printed textbook. Access the eBook, Digi- Cengage Learning Testing Powered by Cognero is
tal Downloads, TeachSource videos, flashcards, a flexible, online system that allows you to author,
and more in your Education CourseMate. Go to edit, and manage test bank content from multiple
CengageBrain.com to register or purchase access. Cengage Learning solutions; create multiple test
versions in an instant; and deliver tests from your
LMS, your classroom, or wherever you want.
TeachSource Videos
The TeachSource videos feature footage from the PowerPoint® Lecture Slides
classroom to help students relate key chapter con-
tent to real-life scenarios. Critical-thinking ques- These vibrant Microsoft® PowerPoint lecture slides
tions provide opportunities for in-class or online for each chapter assist you with your lecture by
discussion and reflection. providing concept coverage using images, figures,
and tables directly from the textbook.
Chris is a middle school student who is tall and large for his age. He has a
difficult home life and struggles academically. He also intimidates his peers
through his size and strength, and engages in aggressive and harassing
behaviors at school. He uses these behaviors to get money from his peers
and to have them do homework for him, and therefore, Chris has been
labeled a bully. He is careful to engage in harassment and aggression in
places where adults are not present (the locker room and the bathroom)
and where he has an audience of peers to watch. If the victim does not
come up with the money or homework, Chris will push and hit him so the
victim is intimidated and comes up with the money or provides the home-
work. Chris threatens even more harm if the victim (or bystanders) tells any-
one. Some of Chris’s peers see that this strategy is working for him and are
starting to use bullying behaviors as well. The parents of one of the victims
monitored their son’s social network postings through parental controls and
noticed a post to a friend about the bullying. They provided this information
to the principal of the school. She convened a student study team, but the
team is divided on how to handle the situation. Should Chris be suspended
or expelled? Does he need counseling or better monitoring or an individual-
ized behavior plan? Should there be counseling for the victims? Should the
school be doing more to address student behavior problems or bullying?
Yolea is an adult with severe intellectual disabilities. She was fully included
in her school years and through a successful transition program is now liv-
ing in an apartment and working at a large accounting office, where she
does clerical work, copying, and running errands. She has a job coach
from a supported employment agency that trained her on the job, in con-
junction with a mentor at the job site, and the job coach visits the job site
1
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
2 Chapter 1 ■ Introduction
several hours a week to assist Yolea as needed. Yolea has worked there for a
year, and her supervisor has been satisfied with her performance. However,
recently Yolea has begun to engage periodically in problematic behaviors
such as suddenly screaming loudly and throwing things. This has caused
much disruption and concern in Yolea’s office, and her supervisor has noti-
fied the job coach that if this behavior continues unchanged for more than
the next week, then Yolea will be suspended from work and potentially fired.
Both the job coach and her supported employment director are in a panic.
Although both have excellent backgrounds in getting jobs for people with
disabilities and in teaching them how to perform the job tasks, neither one
is trained or experienced in dealing with problem behavior. They are unsure
about how to begin addressing Yolea’s issues or where to turn for help.
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Who Should Use This Handbook? 3
problem behaviors, builds skills for the individual, of an FBA is to gain information that will improve
and puts into place appropriate supports for that the effectiveness and efficiency of behavioral inter-
individual. ventions and supports. As our vision of behavioral
We have prepared this handbook because we be- interventions has expanded, so has the need to
lieve that the opportunities for people with problem modify assessment procedures. Understanding
behavior to experience a high quality of life as the consequences that maintain problem behav-
regular members of school, work, and community iors, for example, is an essential element of an
settings are dependent on our ability to design FBA. But if the information from the assessment
and deliver effective PBIS. Problem behaviors cre- is intended to help people redesign the physical
ate barriers to academic learning, positive social context of a living setting, the instruction in a
interactions and networks, full inclusion, and a class, or the social structure in a work environ-
good quality of life for many individuals. Effective ment, the FBA must also provide details about
implementation of PBIS is one key to success in the teaching, physical, and/or social environment
those areas. that sets the occasion for problem behaviors.
This handbook presents basic approaches to Functional behavioral assessment is not like a
functional behavioral assessment and program medical diagnosis. The information from an FBA
design as well as specific forms and procedures does not allow a simple match of a problem be-
that have proven useful in schools, work settings, havior with a prepackaged clinical intervention.
community settings, and homes. When used Functional behavioral assessment and positive
properly, these materials and procedures can con- behavioral intervention and support plans de-
tribute significantly to understanding why prob- pend on understanding the relationship between
lem behaviors occur and in developing effective the individual and his or her environment(s) (e.g.,
positive behavioral interventions and supports. school settings such as classrooms, cafeteria,
We have developed this handbook with appre- hallways, and playground; the home; and work
ciation for the recognition that effective behavioral settings and job requirements). FBA involves
support should not only reduce problem behaviors collecting sufficient information to provide a ba-
but also, even more importantly, change the op- sis for redesigning environments so that they
portunities a person has for learning academics “work” for people with communication and be-
and new skills, for social inclusion, for access to havioral disabilities. Together this team can use
meaningful activities, and for participation in the the information from an FBA to craft a system
local community. Behavioral support is effective of support that melds academic, instructional,
when it positively affects how well a student does and medical variables to create effective envi-
academically and socially and how well a person ronments. Our hope is that the procedures in
lives, in addition to eliminating or reducing the this handbook will help in the design of effective
dangers and detrimental effects imposed by prob- and meaningful schools, homes, communities,
lem behaviors. and workplaces for people who have histories of
A second major focus in PBIS is emphasis on problem behavior.
comprehensive interventions. These typically in-
volve multiple components. Comprehensive inter- Who Should Use This
ventions focus on the consequences for appropriate
and problem behaviors and also on the redesign of
Handbook?
those antecedent conditions that predict problem The handbook is designed to assist a variety of
behaviors, such as academic problems, medical people who either have sole responsibility or share
issues, and social interaction difficulties. In ad- the responsibility for building plans and provid-
dition, comprehensive interventions are aimed at ing behavioral support for people with problem
reducing problem behaviors and also, most im- behaviors. The procedures and forms that we
portantly, at teaching individuals new skills that describe have been useful for teachers (regular and
make problem behaviors less likely. special education), school counselors, school psy-
Functional behavioral assessment is a process chologists, support providers, and staff for adults
of understanding the social, academic, physiologi- with disabilities in work and residential settings,
cal, and environmental factors that contribute to as well as family members involved in supporting
a person’s problem behaviors. The whole purpose another family member. Our particular intent is
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
4 Chapter 1 ■ Introduction
to provide tools that will help professionals and behavior analysis, positive behavioral intervention
others working with people who present severe, and support, and the delivery of behavior support
complex problem behaviors. These behaviors to individuals with problem behaviors. For more
often do not respond to simple support strategies in-depth discussion of the theory, research ba-
and require more than casual observation to un- sis, and intervention procedures associated with
derstand. The tools in this handbook should be applied behavior analysis, please refer to the refer-
helpful in defining effective strategies for support- ences listed in Appendix A.
ing these individuals.
Problem behaviors may take many forms and Functional Behavioral
range in severity and level of risk or danger from
mild to moderate and severe (e.g., refusing to
Assessment
do schoolwork or activities; being disruptive at Problem behaviors often are a source of confusion
school or work; cursing, taunting, or other inap- and frustration. The person engaging in problem
propriate verbal behaviors; destruction of prop- behaviors may appear to find the behavior diffi-
erty; self-injurious hits and bites; and violent and cult and painful. The families, teachers, support
aggressive attacks). The individuals who exhibit staff, and advocates of the person frequently are
problem behaviors may be labeled in a variety of confused and distressed over the challenge of
ways such as being “difficult” or a bully; having trying to alter such behavior patterns. In many
autism; being emotionally or behaviorally disor- situations, problem behaviors may not only be
dered (EBD) or severely emotionally disturbed dangerous but may also seem inexplicable. Such
(SED); or having traumatic brain injury; or they patterns of behavior do not fit with the way we
may carry no formal diagnostic labels. These indi- think the world should work and often do not
viduals may vary greatly in terms of their overall make sense to people in the throes of the dilem-
support needs and ability to communicate and ma created by their occurrence. For example, why
to participate and function in school and com- would a student suddenly hit another student for
munity settings. The comprehensive functional no apparent reason, or why would a person break
assessment procedures and forms described in a window with his head, causing severe physical
this handbook can be used in addressing the damage to himself? One of the goals of a good
behavioral support needs of people exhibiting FBA is to bring clarity and understanding to
the full range of problem behaviors and labels otherwise chaotic and confusing situations; in
encountered in school, work, residential, and other words, to help understand why a person does
other community settings. a certain behavior or what function the behavior
We encourage you to modify and adapt the tools serves for that person. We seldom reach this goal
in this handbook. Depending on your profession- by focusing only on diagnostic labels (such as au-
al role or on the particular situation or circum- tism, mental retardation, Down syndrome) or the
stances that you encounter, you may find minor topography or form of the problem behavior (such
variations of our forms and procedures useful. as hitting, kicking, and screaming). For example,
We have designed the forms and procedures to hitting may serve the function of getting atten-
be flexible. Please change, revise, or modify these tion from a teacher or escaping from a difficult
forms in any manner that is useful for your own academic task or both. Without understanding
situations. the function of the behavior, the effectiveness of
This handbook is designed to serve as a guide any particular intervention is likely to be hit or
to comprehensive functional assessment and the miss. For instance, if the student is hitting to get
development of function-based PBIS plans. It is attention from the teacher, blocking the student
not intended to present comprehensive informa- from hitting and reprimanding her would be pos-
tion on the wide range of behavioral support strat- itively reinforcing the hitting behavior (the stu-
egies that have been shown to be effective. The dent was successful in getting teacher attention).
tools presented in this book have been found to If the student is hitting to escape a difficult aca-
be effective, and they are the starting point for demic task, then sending her to the office to be
developing effective interventions. We assume that sent home would also be reinforcing her (the stu-
users of this handbook will have some basic training dent was successful in escaping the academic
and experience in the theory and tactics of applied task—an example of negative reinforcement).
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An Overview of Approaches in Comprehensive Functional Assessment 5
Understanding is achieved through a system- tion form has conducted one type of FBA process.
atic assessment and understanding of the func- Anyone who has observed undesirable behavior
tion of the behavior and of the variables that set in different situations and concluded that “he
the occasion for the occurrence (or nonoccurrence) does that because . . .” or “she does that in order
of problem behaviors and the consequences that to . . .” has developed a type of summary statement
maintain those behaviors. concerning variables influencing behavior. Our
experience has been that an FBA is helpful in
the design of behavioral support once the assess-
What Is a Functional ment information provides a hypothesis of the
Behavioral Assessment? function of the behavior that allows confident
Functional behavioral assessment is a process for prediction of the conditions in which the prob-
gathering information that can be used to maxi- lem behavior is likely to occur and when there is
mize the effectiveness and efficiency of a behavior agreement about the consequences that appear
support plan. An FBA is complete when six main to maintain the problem behavior. It is important
outcomes have been achieved, as shown in Key that FBA procedures match the complexity of the
Point 1.1. problem behavior. That is, if less rigorous and
easy-to-implement assessment procedures pro-
duce a confident description of the events that
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
6 Chapter 1 ■ Introduction
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An Overview of Approaches in Comprehensive Functional Assessment 7
the context and adding instruction, which then 4. What events and situations reliably predict
changes the behavior of the student (she now that problem behaviors will not occur?
knows difficult words and does not have to engage 5. Given a specific situation when the problem be-
in the escape behavior). Changing the environ- havior occurs, what are the consequences that
ment often involves changing teacher/staff/parent appear to maintain the problem behavior?
behavior, as well as teaching new adaptive and
6. What appropriate behaviors (if any) could
appropriate skills that serve the same function
produce the same consequences (e.g., serve the
as the problem behavior. Functional assessment
same function) that appear to maintain the
is a process for understanding the context (ante-
problem behavior?
cedents and consequences) associated with prob-
lem behaviors. Interviews are one valuable tool for 7. What can we learn from previous behavior
identifying the features of a context that are im- support efforts about strategies that have been
portant for or associated with a person’s problem tried and found to be ineffective, partially effec-
behavior. Interviews are also a way to learn more tive, or effective for only a short time?
about a person’s current skills and behavior.
A description of behavior is provided in Key
Point 1.3. Direct Observation
The second strategy for collecting functional assess-
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
8 Chapter 1 ■ Introduction
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Additional Issues to Consider before Conducting a Functional Assessment 9
students with problem behaviors receiving spe- with problem behaviors. These ethical questions
cial education services in the Individuals with regarding functional assessment and positive be-
Disabilities Education Improvement Act of 2004. havior interventions and supports are outlined in
A number of states (e.g., Minnesota, Florida, Ethical Considerations 1.1. These issues are ad-
California, Utah, Washington, Oregon, and New dressed both directly and indirectly in the rest of
York) have instituted laws or state regulations this book.
stipulating the need for a functional assessment
prior to significant behavioral interventions.
Many professional organizations such as TASH;
Additional Issues to Consider
The Alliance to Prevent Restraint, Aversive In- before Conducting a
terventions and Seclusion (APR AIS); Families Functional Assessment
Against Restraint and Seclusion; The National
Given the need for a broad impact, behavioral
Alliance on Mental Illness; American Associa-
support can often benefit from companion as-
tion on Intellectual and Developmental Disabili-
sessment procedures. Three companion sources
ties (A AIDD); The Arc; and The Association for
of assessment data that we have used and found
Positive Behavior Support have formal position
valuable are (1) person-centered planning, (2) ac-
statements on the need for functional assessment
tivity pattern assessment, and (3) assessment of
and positive behavior supports.
medical and physical conditions and issues.
Functional behavioral assessment is now a pro-
fessional standard for teachers, psychologists, and
adult service providers delivering behavioral support
Person-Centered Planning
to students and adults. It is a foundational process
for the design and implementation of positive behav- A variety of approaches have been developed to
ioral interventions and supports. The use of func- create a person-centered plan (PCP), or vision of
tional assessment not only makes programmatic the future for an individual. This plan is devel-
sense but is also an expected practice in the field. oped with all the individuals actively involved in
In addition, many ethical and legal concerns a person’s life. Typically, there is a broad focus,
have been raised regarding the use of different in- including strong emphasis on the personal pref-
terventions that have been used with individuals erences and strengths of the person and not just
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
10 Chapter 1 ■ Introduction
the problems and difficulties he or she experi- effects and side effects of medication regimes
ences. The process of person-centered planning represent another important area to consider,
offers a broader context in which to build posi- given the large number of persons with dis-
tive behavioral interventions and support plans. abilities who receive a variety of neuroleptic,
It is through this broader process that we follow seizure control, and other types of medications.
the advice of the noted behavior analyst Dr. Todd Determining the influence of such medical or
Risley to begin good behavioral support by helping physical variables and developing strategies
a person “get a life,” and then build in the more for dealing with them typically requires a collab-
detailed behavior support systems that may be orative support process that includes appropri-
needed (Risley, 1996). ate medical personnel to provide the necessary
information and services.
Activity Patterns and Social Life
Our quality of life, and therefore our behavior, is
A Statement of Values
greatly influenced by the activities in which we Functional behavioral assessment is not a
engage and the social life we experience. In analyz- value-free technology. We offer the materials and
ing people’s activity patterns, you can address is- procedures in this handbook with three value-
sues such as the variety of activities they perform, based assumptions. The first is that behavior-
the degree of community integration they experi- al support must be conducted with the dignity
ence, and the extent to which their preferences are of the person as a primary concern. Functional
reflected and accommodated. In considering their assessment is appropriate because it acknowledges
social life, the makeup of their social network that a person’s behavior is functional. People do
(size, presence or absence of significant others, not engage in self-injury, aggression, severe prop-
longevity of relationships) and the nature of their erty destruction, or seriously disruptive behaviors
social interactions (such as number of opportuni- solely because they have a label such as autism or
ties to engage in preferred activities with preferred mental illness. Rather, they engage in patterns of
people) can provide important clues to the changes behavior that are effective for them and continue
needed in support. Two instruments referenced to be effective for them in some way. There is logic
in Appendix A, the Resident Lifestyle Inventory to their behavior, and functional assessment is an
(Kennedy, Horner, Newton, & Kanda, 1990) and the attempt to understand that logic.
Social Network Analysis Form (Kennedy, Horner, The second value-based assumption is that the
& Newton, 1990) have proven useful in analyzing objective of functional assessment is not just to
these lifestyle issues. We recommend their inclu- define and eliminate undesirable behaviors but
sion or the use of similar instruments within the to understand the structure and function of those
comprehensive assessment process leading to a behaviors in order to teach and promote effective
behavioral support plan. alternatives. The goal of positive behavioral inter-
ventions and supports is to create environments
Medical and Physical Issues and patterns of support around people that make
It can be very important to examine medical or their problem behaviors irrelevant, ineffective, or
physical conditions that may be influencing prob- inefficient. For example, if Sanela hits her head
lem behaviors. Too often behavioral interventions with her fist in order to get attention from staff,
have been used to address problem behaviors that she can be taught a more efficient replacement
have a medical or physical etiology. One impor- strategy that is positive and serves the same
tant concern is to identify or rule out the presence function, such as holding up a card that says, “I
of medical or physical issues that are associated would like attention from you please.” We hope
with specific patterns of severe problem behav- the information you obtain by using the materi-
iors. Many conditions including allergies, sinus or als and procedures presented in this handbook
middle ear infections, premenstrual and menstrual will make you more effective at identifying the
cycle effects, urinary tract infections, tooth- following:
aches, and chronic constipation may exacer- ●●
Unnecessary situations that prompt undesir-
bate the occurrence of particular behaviors. The able behaviors you can eliminate or modify.
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
A Statement of Values 11
●●
New or alternative skills you can teach that
will be more effective and efficient than the TeachSource Video Case 1.1
undesirable behaviors, thereby making them
unnecessary.
●●
Effective staff responses to problem behaviors,
including responses that minimize reinforce-
ment for problem behavior and promote perfor-
mance of desired alternative behaviors.
The third value-based assumption is that func-
tional assessment is a process for looking at
relationships between behavior and the environ-
ment. It is not simply a “review” of the person
with problem behaviors. Problem behaviors can-
not be addressed without looking at the broader Go to the Education CourseMate website to watch
environmental contexts within which they occur. the Video Case on Response to Intervention: The
A functional behavioral assessment should produce Three-Tier Model in a Preschool Environment and
information about the undesirable behaviors, then answer the following questions:
relevant structural features of the environment, 1. How could understanding the function of a
and the behavior of support providers and pat- problem behavior influence the type of academic
terns of support, such as staffing patterns. An instruction that might be successful for a student?
FBA is as much an analysis of the environment 2. How could information from functional
(schedules, activity patterns, curriculum, sup- assessment observations be used to guide
port staff, physical settings) as it is of the behavior teacher understanding of student behavior for
of the person. Do not allow an FBA to become a Tier 2 or Tier 3 Response to Interventions?
process that “blames” the person for behaving in 3. How important might functional assessment
undesirable or unwanted ways. information be important in reporting information
about a student?
Watch on CourseMate.
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
2 Window to the World
Functional Assessment
and Analysis Strategies
Kiran is 10 years old and is part of a regular fourth-grade class. He has been
evaluated as “learning disabled” and has an IEP. Kiran engages in sev-
eral behaviors that are viewed as major problem behaviors by his teacher,
Ms. Martinez. These behaviors include refusing to do independent seat work,
failing to complete work, not paying attention to teacher instructions, playing
with academic materials (papers, pencils, books, ruler), and making crude
comments to other students. Kiran’s behavior is considered unacceptable
in the classroom, on the playground, and in the halls and cafeteria. He has
received several office discipline referrals (ODRs) for his behavior, but these
do not appear to be having any impact on his problem behaviors, and his
academic performance is declining. His teacher has submitted a Request for
Assistance form to the school’s Positive Behavioral Intervention and Support
(PBIS) team, asking that it consider developing an individualized behavior
support plan for Kiran. The PBIS team agrees to conduct a functional behav-
ioral assessment (FBA) with Kiran as the first step toward developing and imple-
menting a behavior support plan. The team includes the school’s special
education teacher, Ms. Washington, who has received training and is expe-
rienced in conducting FBAs. She notes that she will review the information
provided by Ms. Martinez on the Request for Assistance and on Kiran’s ODR
forms, then sit down with Ms. Martinez and her classroom assistant to do an
FBA interview, and finally schedule some times to observe Kiran in the settings
and contexts where problem behaviors are most frequently occurring. She
will also contact Kiran’s family regarding interviewing one or both parents and
perhaps having Kiran join that interview as well.