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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

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.
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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Printed in China
1 2 3 4 5 6 7 17 16 15 14 13

To the children, students and adults who

taught us how to conduct and use functional

assessment procedures; and to the families,

teachers, and community staff who used

previous versions of the tools in this book and

helped us understand how to make these tools

more practical and effective.

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

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.

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

2 Functional The Content of the Functional Assessment

Observation Form 42

Assessment and Analysis Using the Functional Assessment

Observation Form 45
Strategies 13 Exercise in Form Setup, Observation, and
Recording 48
The Assessment Process 14 Interpreting Functional Analysis Observation
Form Data 50
The Functional Assessment
Interview (FAI) 14 Confirming or Revising Initial Summary
Statements 51
Who Should Be Interviewed? 14
Examples in Analyzing Data from Direct
What Are the Outcomes of a Functional Observations 51
Assessment Interview? 15
Decision Making Based on Observational
How Long Does a Functional Behavioral Data 55
Assessment Interview Take? 15

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

of the Behavior to the Writing Behavior Support Plans 99

Intervention 67 Why Write Behavior Support Plans? 99

Identifying Potential Interventions 99
Importance of Linking Function and Elements of Behavior Support Plans 99
Intervention 69
Operational Descriptions 100
Function versus Topography 69 Summary Statements 101
Function-Based Teaching General Approach 101
Interventions 70
Safety or Crisis Plan 101
102

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

C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83

Interview Form 123 4.7 Competing behavior model form. 84
D: Blank Functional Assessment Observation 4.8 Competing behavior model and
Form 127 intervention strategies for Mara. 87
E: Functional Assessment Observation Form 4.9 Competing behavior model and
for Yolanda 129 intervention strategies for Erica. 88
F: Summary Statements for Observation Form 4.10 Competing behavior model and
Examples 131 intervention strategies for Cornell. 89
G: Blank Competing Behavior Model 4.11 Competing behavior model and
Form 133 intervention strategies for Stewart. 90
4.12 Competing behavior model and
intervention strategies for Curtis:
Figures yelling and throwing. 91
4.13 Competing behavior model and
2.1 Defining the consequences that maintain intervention strategies for Curtis: pinching
problem behavior. 19 and scratching. 92
2.2 Completed Functional Assessment Interview 4.14 Competing behavior model and
form for Curtis Jackson. 23 intervention strategies for Curtis: calling
2.3 Example of completed daily schedule out, slapping, and pounding. 93
matrix (from Student-Directed Functional 5.1 Flowchart of variables to consider for
Assessment Interview). 34 identifying potential interventions. 100
2.4 Summary diagram of problem behavior 5.2 Example behavior support plan for
situation. 35 Mara. 103
2.5 Completed example of the Student-Directed
Functional Assessment Interview. 36 Boxes
2.6 Functional Assessment Observation Form. 43
2.7 Completed observation form for Joe. 46 The Six Primary Outcomes of the Functional
Assessment Process 5
2.8 Blank observation form for exercise. 49
Three Strategies for Collecting Functional
2.9 Completed observation form for Erin. 52 Assessment Information 6
2.10 Completed observation form for Peter. 54 What Is Behavior? 7
2.11 Completed observation form for Curtis. 56 Examples of Summary Statements Based on
2.12 Functional analysis manipulation of Interview Information 22
antecedent conditions (easy versus hard tasks) Steps for Setting Up a Functional Assessment
for Greg. 62 Observation Form for Collecting Data 45
2.13 Functional analysis manipulation of Basic Steps for Recording Data on the
consequence conditions for Ben. 63 Functional Assessment Observation Form 48
2.14 An example of brief functional assessment Basic Guidelines for Interpreting Data from the
with Shante. 64 Functional Assessment Observation Form 53
4.1 Your diagram of a summary statement. 81 Guidelines for Conducting Functional Analysis
Manipulations 66
4.2 Expanded competing behavior model. 82
The Three Steps Involved in Completing a
4.3 Anchina expanded competing behavior Competing Behavior Model 80
model. 82
Competing Behavior Model for Kiran 96
4.4 Mara’s assessment information. 83
Behavior Support Plan: Competing Behavior
4.5 Competing behavior diagram for Mara. 83 Model for Kiran 97
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.
ix

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.

Instructor Ancillaries Robert E. O’Neill

Cengage Learning’s Education CourseMate brings Richard W. Albin
course concepts to life with interactive learning, Keith Storey
study, and exam preparation tools that support Robert H. Horner
the printed textbook. CourseMate includes the Jeffrey Sprague
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.

1 Window to the World

Introduction

■ Case Study ONE

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?

Window to the World ■ Case Study TWO

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
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 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.

Purpose of the Handbook behavioral assessments and analyses. The focus

has changed from relying on punishing problem
This handbook presents specific forms and pro- behaviors to using functional assessment and
cedures for the comprehensive functional assess- analysis information to design function-based
ment of problem behaviors and for the use of the positive behavioral intervention and support
information gathered in designing and implement- (PBIS) strategies that are focused on redesigning
ing individualized positive behavioral intervention environments to promote socially adaptive behav-
and support plans for assisting and supporting iors and building skills for the individual.
individuals such as Chris and Yolea. Functional The Individuals with Disabilities Education Im-
behavioral assessment (FBA) is the general label provement Act (IDEIA) of 2004 requires the use
used to describe a set of processes for collecting of scientifically based instructional practices.
information about problem behaviors and for de- IDEIA also maintains the requirement for using
fining the events in an environment that reliably FBAs and written behavioral intervention plans
predict and maintain those problem behaviors. when a student’s “misconduct has been found
Gathering and summarizing this information pro- to have a direct and substantial relationship to
vides a foundation for development of a function- his or her disability” (U.S. Department of Edu-
based behavior support plan (BSP). The primary cation, 2009). Functional behavioral assessment
goal of FBA is to improve the effectiveness and has an extensive empirical database indicating
efficiency of a BSP. that it is an effective and validated strategy to use
Functional behavioral assessment processes in schools and other settings. In addition to the
can include interviews, rating scales, checklists, U.S. Department of Education’s regulations for
direct observations in natural conditions, and schools, many states have rules and regulations
sometimes systematic manipulations of condi- requiring FBA use prior to developing behavioral
tions to conduct experimental analysis of prob- interventions and supports for persons with in-
lem situations. These experimental analyses, in tellectual and developmental disabilities receiving
which behavior is observed while elements of the residential, employment, and other services and
environment are manipulated (in such ways as supports in the community. In other words, FBA
purposely setting up specific conditions to see represents best practice in the field for students
whether they lead to problem behavior, or giving and adults who need behavior support.
rewards following problem behavior) are a part of The purpose of this handbook is to present the
comprehensive functional assessment and carry logic, forms, and examples that allow the reader
the labels structural analysis and functional analy- to conduct functional behavioral assessment in
sis. Over the past several decades, major effort typical school, work, or community settings in or-
has been focused on identifying the simplest and der to develop a function-based positive behavio-
most efficient strategies for conducting functional ral intervention and support plan that addresses
In this book we use the term problem behavior. A variety of terms have been used in the professional literature such as
undesirable, difficult, acting out, disruptive, challenging, inappropriate, at-risk, and target behavior. What we mean by problem
behavior is behavior that creates problems for the individual in his or her academic, social, work, and/or community settings
from the perspective of the teacher, family member, or other professional support providers.

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

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).

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

✷Key Point 1.1

The Six Primary Outcomes of the Functional
predict and maintain a problem behavior, there
is no reason to use more complex assessment.
For example, it is easy to understand why a child
Assessment Process in a grocery store is tantruming and screaming
1. A clear description of the problem behav- for candy (the function is to obtain the candy),
iors, including classes or sequences of and it would not be necessary to carry out a for-
behaviors that frequently occur together mal assessment. If, however, a procedure such
2. Identification of the immediate antecedents as an interview does not generate clear and un-
that predict when the problem behaviors derstandable patterns, then more intense and
will and will not occur precise observations and manipulations may be
warranted. The procedures and tools described
3. Identification of the setting events, times,
in this handbook offer a range of effective and
and situations that predict when the prob-
efficient strategies for conducting a compre-
lem behaviors will and will not occur across
hensive functional assessment. In fact, in their
the full range of typical daily routines
entirety the procedures presented here may be
4. Identification of the consequences that
more comprehensive than a clinician or prac-
maintain the problem behaviors i.e. what
titioner (behavior specialist, teacher, program
function (or functions) do the behaviors
manager) often needs for the design of a typical
appear to serve for the person.
support plan. However, the full range of assess-
5. Development of one or more summary ment approaches and options needed for those
statements or hypotheses that describe individuals and situations in which a durable
specific behaviors, a specific type of situa- and complex behavior, or group of behaviors, has
tion in which they occur, and the outcomes been identified is included in this handbook.
or reinforcers maintaining them in that situ-
ation
6. Collection of direct observation data that An Overview of Approaches
support the summary statements that have
been developed
in Comprehensive Functional
Assessment
Specific methods for collecting functional assess-
The processes used in conducting an FBA ment information fall into three general strate-
can take many forms and have many levels of gies: informant methods, direct observation, and
precision. Anyone who has ever used an A-B-C systematic manipulation of conditions—functional
(antecedent-behavior-consequence) data collec- and structural analyses (Key Point 1.2).

Informant Methods What events or changes in these situations seem

to be associated with increases and decreases in
The first strategy for conducting functional behav- problem behavior? It is important to note that two
ioral assessment is to talk to the person with prob- individuals in the same setting, with the same
lem behaviors (if possible) and to those people who type of problem behavior, may be responding to
have direct contact with and knowledge about the extremely different features in the environment.
individual. The purpose of the interview is to pro- For example, one student may become physically
vide information about the occurrence of problem aggressive when other students invade his space.
behaviors or to seek such information from rel- Another student may become physically aggres-
evant others (parents, teachers). Interviews (even sive when left on her own, in order to get attention
self-interviews) and other informant methods from others (the teacher and peers). One goal of
(checklists, questionnaires, rating scales) can be the interview is to understand the function of the
useful in determining the function of the behavior behavior and which of the many antecedent and
and in defining and narrowing the range of vari- consequence features in that setting and routine
ables that may affect the behaviors of concern. are associated with the problem behaviors.
Interviews are typically a good way of pulling to- The role of a functional assessment is to place
gether the body of existing knowledge regarding a the problem behavior in the context of that sit-
person’s patterns of behavior. uation for that specific individual. Too often we
talk and operate as if a person “has” a behavior.
✷Key Point 1.2
Three Strategies for Collecting Functional
Applied behavior analysis has taught us that we
should always analyze behavior as occurring in
Assessment Information contexts, not as inherent in the person. Yolea is
not a “screamer”; rather, when presented with
Strategy 1: Informant methods. Talk to the
work she does not know how to do, Yolea will
individual and/or to those who know the
scream until the work is removed (or she gets
individual best.
help with it). Chris may be called a bully, but his
Strategy 2: Direct observation. Observe the person
behavior problems may be better analyzed by
in natural conditions over an extended time
considering that he intimidates others by push-
period.
ing and harassing them in order to get money or
Strategy 3: Functional analysis manipulations.
favors from them, while also getting attention and
Systematically manipulate potential control-
status among his peers.
ling variables (consequences or structural
When we consider problem behaviors as occur-
variables) in analog or natural conditions, and
ring in people, it is logical to focus on “fixing” or
observe effects on the person’s behavior.
trying to change the people. When we consider
problem behaviors as occurring in contexts, it
A major goal of any FBA interview is to iden- becomes logical to focus on changing the con-
tify which of the many events in an environment text and how people behave within the context.
seem to be linked to the specific problem behav- Behavior change occurs by changing environ-
ior of a specific person. When you are conduct- ments and by teaching skills to individuals that
ing an interview, consider the daily routines the provide more effective ways to behave within the
person performs. If you are focusing on a student context of the situation. For example, if a student
in school, what are the routines of the school day is having problem behavior when asked to read
and classroom? How do students enter the room? out loud in reading group (to avoid reading out
What are the morning class periods and activi- loud because the student is embarrassed about
ties? What happens during transitions (from set- poor reading skills), then the teacher may pre-
ting to setting, task to task, or person to person)? screen passages with the student to pick ones she
How do students move from room to room? What knows or do pre-teaching on the passage to be
happens during recess and lunch? Consider the read so that the student knows all the difficult
problem behaviors in the context of the specific sit- words. The teacher may also have the student join
uations and settings in which they occur. Use the a remedial reading group so that she better learns
interview questions to understand what features how to sound out new and unfamiliar words. The
of these situations appear salient for the person. teacher is changing the environment by modifying

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-

✷Key Point 1.3

What Is Behavior?
ment information is to systematically observe the
person with problem behavior in his or her daily rou-
tines. Systematic, direct observation has long been
Behavior is something that the person does the foundation of applied use and evaluation of be-
that can be observed, with two or more havioral procedures. Direct observations usually
observers agreeing that the behavior oc- are done by teachers, direct support staff, and/or
curred (e.g., “feeling” is not observable, while family members who already work or live with the
“following a teacher’s direction” is observable). person of interest. The observations must be done in
Behavior does not refer to inner states of the a manner that does not interfere with normal daily
individual, such as aggressiveness or emotional events or require extensive training. In most cases,
disturbances. Covert feelings or states are not the observers record when a problem behavior oc-
observable. For example, “yelling at the teacher” curs, what was happening just before the behav ior
is overt and can be observed and measured. occurred, what happened right after the behavior
“Feeling frustrated at the teacher” is an inner occurred, and what their perception of the function
state that is difficult to define, observe, and of the behavior was in that instance. When such
accurately measure. information is collected for 10–15 instances of the
problem behavior, it typically allows observers an
opportunity to discover whether a pattern exists
Many examples of functional behavioral as- that will allow determination of the following:
sessment interviews, checklists, rating scales,
and questionnaires can be found in the literature. 1. What is the function of the behavior?
In most cases, however, these tools share an em- 2. What problem behaviors happen together?
phasis on gaining information about the following: 3. When, where, and with whom are problem
1. What are the problem behaviors that are caus- behaviors most likely to occur?
ing concern? 4. When, where, and with whom are problem
2. What events or conditions that occur signifi- behaviors least likely to occur?
cantly earlier in time prior to the problem 5. What consequences appear to maintain occur-
behavior can increase the predictability that rence of the problem behavior?
the problem behavior will occur? In Chapter 2, we present a Functional Assess-
3. What events and situations that occur just ment Observation Form (FAOF). We have found
before the problem behaviors reliably predict this form to be practical, efficient, and effective for
(are associated with) occurrence of problem confirming and building on information obtained
behaviors? from more indirect informant methods.

Systematic Manipulations—Functional designed to identify the function of the problem

and Structural Analyses behavior and relationships between problem be-
haviors and the antecedents and consequences
The third strategy for gathering functional as- that occasion and maintain these behaviors.
sessment information involves the systematic The assumption is that by understanding these
manipulation of specific variables that are or are relationships we can develop PBIS plans that
not associated with the problem behaviors. In will be more effective and efficient and that will
conducting a structural or functional analysis, produce broader change in the academic skills,
you carefully observe the behavior while sys- social skills, and lifestyle of the individual with
tematically manipulating the environment. One problem behaviors.
frequently used method of functional analysis
involves the manipulation of consequences de-
livered contingent on the occurrence of targeted
Why Conduct a Functional
behaviors. Structural analysis involves manipu-
lating antecedent variables and contexts such
Assessment?
as task difficulty, task length, levels of atten- There are two central reasons for conducting a
tion provided during an activity, or the pres- functional assessment. The first is that informa-
ence or absence of choice in an activity, and tion about when, where, and why problem behav-
recording frequency or rates of occurrence of iors occur and do not occur is extremely valu-
targeted behaviors. Functional analysis and able in building effective and efficient behavioral
structural analysis are formal tests of the rela- support. Without understanding the function of
tionship between environmental variables and the problem behavior, the success of the inter-
the occurrence or nonoccurrence of problem be- vention will be hit or miss. If interventions are
haviors. These analyses are the most precise, developed without a functional assessment, they
rigorous, and controlled methods used in con- may make problem behaviors worse. We have all
ducting a comprehensive functional assessment. seen instances in which a child was having tan-
Systematic manipulation of context variables is trums to gain a treat and then was told she could
the only approach that allows unambiguous dem- have the treat if she were quiet, or a child who
onstration of a functional relation between envi- was behaving aggressively to avoid a task was
ronmental events (antecedents or consequences) sent to the corner for his behavior (this is an ex-
and problem behaviors. ample of negative reinforcement). In each case,
Conducting systematic manipulations can be the presumed solution actually reinforced the
expensive in time and energy, but in some cases problem behavior. The danger of making problem
may be the only way to ensure an adequate as- behaviors worse is very real. Functional assess-
sessment of problem behaviors. Because func- ment not only helps in the development of effec-
tional and structural analyses involve creating tive and efficient plans, but it also helps us avoid
situations that will, or are likely to, provoke the programmatic errors.
problem behavior and because success of the The second reason a functional behavioral
process requires research-like skills, it is rec- assessment should be done with severe problem
ommended that systematic manipulations be behaviors is that it is a professional standard. For
conducted only with the direct involvement of a instance, The Association for Behavior Analysts
person trained in conducting research in func- published the “Right to Effective Treatment” in
tional assessment, positive behavioral inter- 1988, which includes the right of all individu-
vention and support, and/or applied behavior als who receive behavioral intervention to a pro-
analysis. fessionally competent functional assessment.
This handbook presents specific procedures The National Institutes of Health conducted an
for implementing each of these three functional important consensus conference on dangerous
assessment strategies. Our emphasis, however, and destructive behavior (NIH Consensus Re-
is on interview and direct observation methods port, 1989), which strongly endorsed the use of
because we believe these are the most applicable functional assessment procedures. The U.S.
in schools, homes, and communities. The key Department of Education mandates the use of
issue to remember is that these strategies are FBA in developing behavioral interventions for

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

Ethical Considerations 1.1

Ethical Questions Regarding Functional Assessment and Positive

Behavior Interventions and Supports
1. Do interventions have to be 6. Should punishment proce- 9. Is it more important to make
based on the function of the dures be used only as a desirable responses more
behavior to be successful? last resort? probable or to make undesir-
2. Does a functional assessment 7. Do individuals with problem able responses less probable?
of the problem behavior invari- behavior have the right to 10. Do aversive procedures topo-
ably indicate what the most “effective treatments” that graphically resemble torture?
effective intervention will be? involve aversive consequence- 11. Is any intervention always
3. Is it wrong to reduce undesir- based interventions such as effective?
able behaviors? the application of sensory
12. Are we ethically bound to use
punishment, physical punish-
4. Is it ever okay to harm students intervention procedures that
ment, or electrical shock?
when using punishment reduce problem behavior as
procedures? 8. Is it acceptable under certain rapidly as possible?
conditions to use aversive
5. Can all problem behaviors be
consequence-based Adapted from Brown, Michaels, Oliva, &
decreased without the use of
interventions? Woolf (2008); Carr, Robinson, & Palumbo
punishment?
(1990); Singh, Lloyd, & Kendall (1990);
Storey & Post (2012).

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.

●●
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.

■ Case Study ONE

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.

Window to the World ■ Case Study TWO

Mitch is a 19-year-old student in a transition program operated by the school

district and housed at the local community college. He is considered by the
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The destruction of the cone. As soon as the volcanic cone ceases to grow
by eruptions the agents of erosion begin to wear it down, and the length of
time that has elapsed since the period of active growth may be roughly
measured by the degree to which the cone has been dissected. We infer that
Mount Shasta, whose conical shape is still preserved despite the gullies one
thousand feet deep which trench its sides (Fig. 235), is younger than Mount
Hood, which erosive agencies have carved to a pyramidal form (Fig. 236). The
pile of materials accumulated about a volcanic vent, no matter how vast in bulk,
is at last swept entirely away. The cone of the volcano, active or extinct, is not
old as the earth counts time; volcanoes are short- lived geological phenomena.

Fig. 237. Crandall Volcano

Crandall volcano. This name is given to a dissected
ancient volcano in the Yellowstone National Park, which
once, it is estimated, reared its head thousands of feet above
the surrounding country and greatly exceeded in bulk either
Mount Shasta or Mount Etna. Not a line of the original
mountain remains; all has been swept away by erosion
except some four thousand feet of the base of the pile. This
basal wreck now appears as a rugged region about thirty
miles in diameter, trenched by deep valleys and cut into
sharp peaks and precipitous ridges. In the center of the area
is found the nucleus (N, Fig. 237),—a mass of coarsely
crystalline rock that congealed deep in the old volcanic pipe.
From it there radiate in all directions, like the spokes of a
wheel, long dikes whose rock grows rapidly finer of grain as
it leaves the vicinity of the once heated core. The remainder
of the base of the ancient mountain is made of rudely
bedded tuffs and volcanic breccia, with occasional flows of
lava, some of the fragments of the breccia measuring as
much as twenty feet in diameter. On the sides of canyons the Fig. 238. Fossil Tree
breccia is carved by rain erosion to fantastic pinnacles. At Trunks, Yellowstone
different levels in the midst of these beds of tuff and lava are National Park
many old forest grounds. The stumps and trunks of the
trees, now turned to stone, still in many cases stand upright where once they grew on the
slopes of the mountain as it was building (Fig. 238). The great size and age of some of these
trees indicate, the lapse of time between the eruption whose lavas or tuffs weathered to the soil
on which they grew and the subsequent eruption which buried them beneath showers of stones
and ashes.

Near the edge of the area lies Death Gulch, in which carbon dioxide is given off in such
quantities that in quiet weather it accumulates in a heavy layer along the ground and suffocates
the animals which may enter it.

CHAPTER XII

UNDERGROUND STRUCTURES OF
IGNEOUS ORIGIN
It is because long-continued erosion lays bare the innermost anatomy of an
extinct volcano, and even sweeps away the entire pile with much of the
underlying strata, thus leaving the very roots of the volcano open to view, that
we are able to study underground volcanic structures. With these we include,
for convenience, intrusions of molten rock which have been driven upward into
the crust, but which may not have succeeded in breaking way to the surface
and establishing a volcano. All these structures are built of rock forced when in
a fluid or pasty state into some cavity which it has found or made, and we may
classify them therefore, according to the shape of the molds in which the
molten rock has congealed, as (1) dikes, (2) volcanic necks, (3) intrusive
sheets, and (4) intrusive masses.

Dikes. The sheet of once molten rock with which a fissure has been filled is
known as a dike. Dikes are formed when volcanic cones are rent by explosions
or by the weight of the lava column in the duct, and on the dissection of the
pile they appear as radiating vertical ribs cutting across the layers of lava and
tuff of which the cone is built. In regions undergoing deformation rocks lying
deep below the ground are often broken and the fissures are filled with molten
rock from beneath, which finds no outlet to the surface. Such dikes are common
in areas of the most ancient rocks, which have been brought to light by long
erosion.

In exceptional cases dikes may reach the length of fifty or one hundred
miles. They vary in width from a fraction of a foot to even as much as three
hundred feet.
Fig. 239. Dikes, Spanish Peaks, Colorado

Dikes are commonly more fine of grain on the sides than in the center, and may have a
glassy and crackled surface where they meet the inclosing rock. Can you account for this on any
principle which you have learned?

Fig. 240. A Dissected Volcanic Cone

N, volcanic neck; l, l, lava-topped table mountains; t, t,
beds of tuff;
d, d, dikes; dotted lines indicate the initial profile

Volcanic necks. The pipe of a volcano rises from far below the base of the
cone,—from the deep reservoir from which its eruptions are supplied. When the
volcano has become extinct this great tube remains filled with hardened lava. It
forms a cylindrical core of solid rock, except for some distance below the
ancient crater, where it may contain a mass of fragments which had fallen back
into the chimney after being hurled into the air.
As the mountain is worn down, this central
column known as the volcanic neck is left
standing as a conical hill (Fig. 240). Even
when every other trace of the volcano has
been swept away, erosion will not have passed
below this great stalk on which the volcano
was borne as a fiery flower whose site it
remains to mark. In volcanic regions of deep Fig. 241. Mount Johnson,
denudation volcanic necks rise solitary and a Volcanic Neck near
abrupt from the surrounding country as dome- Montreal
shaped hills. They are marked features in the
landscape in parts of Scotland and in the St. Lawrence valley about
Montreal (Fig. 241).

Fig. 242. The Palisades of the Hudson,

New Jersey

Intrusive sheets. Sheets of igneous rocks are sometimes found

interleaved with sedimentary strata, especially in regions where the rocks
have been deformed and have suffered from volcanic action. In some
instances such a sheet is seen to be contemporaneous (p. 248). In other
instances the sheet must be intrusive. The overlying stratum, as well as
that beneath, has been affected by the heat of the once molten rock. We
infer that the igneous rock when in a molten state was forced between the
strata, much as a card may be pushed between the leaves of a closed
book. The liquid wedged its way between the layers, lifting those above to
make room for itself. The source of the intrusive sheet may often be traced
to some dike (known therefore as the feeding dike), or to some mass of
igneous rock.

Intrusive sheets may extend a score and more of miles, and, like the
longest surface flows, the most extensive sheets consist of the more fusible
and fluid lavas,—those of the basic class of which basalt is an example.
Intrusive sheets are usually harder than the strata in which they lie and are
therefore often left in relief after long denudation of the region (Fig. 315).

On the west bank of the Hudson there extends

from New York Bay north for thirty miles a bold cliff
several hundred feet high,— the Palisades of the
Hudson. It is the outcropping edge of a sheet of
ancient igneous rock, which rests on stratified
sandstones and is overlain by strata of the same Fig. 243. Diagram of the
series. Sandstones and lava sheet together dip gently Palisades of the Hudson
to the west and the latter disappears from view two i, intrusive sheet; s, sandstone; d,
miles back from the river.
feeding dike;
It is an interesting question whether the Palisades HR, Hudson River
sheet is contemporaneous or intrusive. Was it
outpoured on the sandstones beneath it when they formed the floor of the sea, and
covered forthwith by the sediments of the strata above, or was it intruded among these
beds at a later date?

The latter is the case: for the overlying

stratum is intensely baked along the zone of
contact. At the west edge of the sheet is
found the dike in which the lava rose to
force its way far and wide between the
strata.

Fig. 244. Section of Electric Peak. Electric Peak, one of the prominent
E. and Gray Peak, G, mountains of the Yellowstone National Park,
Yellowstone National Park is carved out of a mass of strata into which
many sheets of molten rock have been
Intrusive sheets and masses of igneous
intruded. The western summit consists of
rock are drawn in black such a sheet several hundred feet thick.
Studying the section of Figure 244, what
inference do you draw as to the source of these intrusive sheets?

Intrusive Masses
Bosses. This name is generally applied to
huge irregular masses of coarsely crystalline
igneous rock lying in the midst of other
formations. Bosses vary greatly in size and
may reach scores of miles in extent. Seldom
are there any evidences found that bosses
ever had connection with the surface. On the
other hand, it is often proved that they have
Fig. 245. Stone Mountain, been driven, or have melted their way,
Georgia, a Granite Boss upward into the formations in which they lie;
for they give off dikes and intrusive sheets,
and have profoundly altered the rocks about them by their heat.

The texture of the rock of bosses proves

that consolidation proceeded slowly and at
great depths, and it is only because of vast
denudation that they are now exposed to
view. Bosses are commonly harder than the
rocks about them, and stand up, therefore,
as rounded hills and mountainous ridges
long after the surrounding country has worn
to a low plain (Fig. 245).

Figure 246 exhibits a few small bosses of

granite near Baltimore as examples of
numerous areas of igneous rock within the
Piedmont Belt which represent bodies of
molten rock which solidified deep below the
surface. Fig. 246. Map of Granite
Bosses near Baltimore
The Spanish Peaks of southeastern Colorado were (areas horizontally Lined)
formed by the upthrust of immense masses of
igneous rock, bulging and breaking the overlying strata. On one side of the mountains the
throw of the fault is nearly a mile, and fragments of deep-lying beds were dragged upward
by the rising masses. The adjacent rocks were altered by heat to a distance of several
thousand feet. No evidence appears that the molten rock ever reached the surface, and if
volcanic eruptions ever took place either in lava flows or fragmental materials, all traces of
them have been effaced. The rock of the intrusive masses is coarsely crystalline, and no
doubt solidified slowly under the pressure of vast thicknesses of overlying rock, now
mostly removed by erosion.
A magnificent system of dikes radiates from the Peaks to a distance of fifteen miles,
some now being left by long erosion as walls a hundred feet in height (Fig. 239). Intrusive
sheets fed by the dikes penetrate the surrounding strata, and their edges are cut by
canyons as much as twenty-five miles from the mountain. In these strata are valuable
beds of lignite, an imperfect coal, which the heat of dikes and sheets has changed to coke.

Laccoliths. The laccolith (Greek laccos,

cistern; lithos, stone) is a variety of intrusive
masses in which molten rock has spread
between the strata, and, lifting the strata
above it to a dome- shaped form, has
collected beneath them in a lens-shaped
body with a flat base.
Fig. 247. Section of a
The Henry Mountains, a small group of detached Laccolith
peaks in southern Utah, rise from a plateau of horizontal rocks. Some of the peaks are
carved wholly in separate domelike uplifts of the strata of the plateau. In others, as Mount
Hillers, the largest of the group, there is exposed on the summit a core of igneous rock
from which the sedimentary rocks of the flanks dip steeply outward in all directions. In still
others erosion has stripped off the covering strata and has laid bare the core to its base;
and its shape is here seen to be that of a plano-convex lens or a baker’s bun, its flat base
resting on the undisturbed bedded rocks beneath. The structure of Mount Hillers is shown
in Figure 248. The nucleus of igneous rock is four miles in diameter and more than a mile
in depth.

Regional intrusions. These vast

bodies of igneous rock, which may
reach hundreds of miles in diameter,
differ little from bosses except in their
immense bulk. Like bosses, regional
intrusions give off dikes and sheets and
greatly change the rocks about them by
Fig. 248. Section of Mount their heat. They are now exposed to
Hillers view only because of the profound
denudation which has removed the
upheaved dome of rocks beneath which they slowly cooled. Such intrusions
are accompanied —whether as cause or as effect is still hardly known—by
deformations, and their masses of igneous rock are thus found as the core
of many great mountain ranges. The granitic masses of which the Bitter
Root Mountains and the Sierra Nevadas have been largely carved are each
more than three hundred miles in length. Immense regional intrusions, the
cores of once lofty mountain ranges, are found upon the Laurentian
peneplain.

Physiographic effects of intrusive masses. We have already seen

examples of the topographic effects of intrusive masses in Mount Hillers,
the Spanish Peaks, and in the great mountain ranges mentioned in the
paragraph on regional intrusions, although in the latter instances these
effects are entangled with the effects of other processes. Masses of
igneous rock cannot be intruded within the crust without an accompanying
deformation on a scale corresponding to the bulk of the intruded mass. The
overlying strata are arched into hills or mountains, or, if the molten material
is of great extent, the strata may conceivably be floated upward to the
height of a plateau. We may suppose that the transference of molten
matter from one region to another may be among the causes of slow
subsidences and elevations. Intrusions give rise to fissures, dikes, and
intrusive sheets, and these dislocations cannot fail to produce earthquakes.
Where intrusive masses open communication with the surface, volcanoes
are established or fissure eruptions occur such as those of Iceland.

The Intrusive Rocks

The igneous rocks are divided into two general classes,—the volcanic or
eruptive rocks, which have been outpoured in open air or on the floor of
the sea, and the intrusive rocks, which have been intruded within the rocks
of the crust and have solidified below the surface. The two classes are alike
in chemical composition and may be divided into acidic and basic groups.
In texture the intrusive rocks differ from the volcanic rocks because of the
different conditions under which they have solidified. They cooled far more
slowly beneath the cover of the rocks into which they were pressed than is
permitted to lava flows in open air. Their constituent minerals had ample
opportunity to sort themselves and crystallize from the fluid mixture, and
none of that mixture was left to congeal as a glassy paste.

They consolidated also under pressure. They are never scoriaceous, for
the steam with which they were charged was not allowed to expand and
distend them with steam blebs. In the rocks of the larger intrusive masses
one may see with a powerful microscope exceedingly minute cavities, to be
counted by many millions to the cubic inch, in which the gaseous water
which the mass contained was held imprisoned under the immense
pressure of the overlying rocks.

Naturally these characteristics are best developed in the intrusives

which cooled most slowly, i.e. in the deepest-seated and largest masses;
while in those which cooled more rapidly, as in dikes and sheets, we find
gradations approaching the texture of surface flows.

Varieties of the intrusive rocks. We will now describe a few of the

varieties of rocks of deep-seated intrusions. All are even grained, consisting
of a mass of crystalline grains formed during one continuous stage of
solidification, and no porphyritic crystals appear as in lavas.

Granite, as we have learned already, is composed of three minerals,—

quartz, feldspar, and mica. According to the color of the feldspar the rock
may be red, or pink, or gray. Hornblende—a black or dark green mineral,
an iron-magnesian silicate, about as hard as feldspar—is sometimes found
as a fourth constituent, and the rock is then known as hornblendic granite.
Granite is an acidic rock corresponding to rhyolite in chemical composition.
We may believe that the same molten mass which supplies this acidic lava
in surface flows solidifies as granite deep below ground in the volcanic
reservoir.

Syenite, composed of feldspar and mica, has consolidated from a less

siliceous mixture than has granite.

Diorite, still less siliceous, is composed of hornblende and feldspar,—the

latter mineral being of different variety from the feldspar of granite and
syenite.

Gabbro, a typical basic rock, corresponds to basalt in chemical

composition. It is a dark, heavy, coarsely crystalline aggregate of feldspar
and augite (a dark mineral allied to hornblende). It often contains
magnetite (the magnetic black oxide of iron) and olivine (a greenish
magnesian silicate).

In the northern states all these types, and many others also of the vast
number of varieties of intrusive rocks, can be found among the rocks of the
drift brought from the areas of igneous rock in Canada and the states of
our northern border.
Summary. The
records of geology prove
that since the earliest of
their annals tremendous
forces have been active
in the earth. In all the
past, under pressures
inconceivably great,
molten rock has been Fig. 250. A and B.
driven upward into the Mountains of
rocks of the crust. It has coarsely Crystalline
Fig. 249. Ground Plan squeezed into fissures Igneous i,
of Dikes in Granite. forming dikes; it has surrounded by
(Scale 80 feet to the burrowed among the Sedimentary Strata s
inch) strata as intrusive and s´
What is the relative age of sheets; it has melted the Copy each diagram and
the dikes rocks away or lifted the complete it, so as to
aa, bb, and cc? overlying strata, filling show whether the mass
of igneous rock is a
the chambers which it volcanic neck, a boss, or
has made with intrusive masses. During all a laccolith
geological ages molten rock has found way to the
surface, and volcanoes have darkened the sky with clouds of ashes and
poured streams of glowing lava down their sides. The older strata,—the
strata which have been most deeply buried,—and especially those which
have suffered most from folding and from fracture, show the largest
amount of igneous intrusions. The molten rock which has been driven from
the earth’s interior to within the crust or to the surface during geologic time
must be reckoned in millions of cubic miles.

Fig. 251. Fig. 252.

1, limestone; 2, tuff; 3, 5, 7, shale a, sedimentary strata with intrusive sheets;
with marine shells; 4, 6, lava, b, sedimentary strata; c, lava flow; d, dike.
dotted portions scoriaceous. Give Give the succession of events recorded in
the history recorded in this section this section

Fig. 253.
Which of the lava sheets of this
section are contemporaneous anti
which intrusive,—A, whose upper Fig. 254. Mato Tepee, Wyoming
surface is overlain with a This magnificent tower of igneous rock
conglomerate of rolled lava three hundred feet in height has been
pebbles; B, the cracks and seams called by some a volcanic neck. Is the
of whose upper surface are filled direction of the columns that which would
with the material of the overlying obtain in the cylindrical pipe of a volcano?
sandstone; C, which breaks across The tower is probably the remnant of a
the strata in which it is imbedded; small laccolith, an outlying member of a
D, which includes fragments of group of laccoliths situated not far distant
both the underlying and overlying
strata and penetrates their crevices
and seams?

The Interior Condition of the Earth and Causes

of Vulcanism and Deformation

The problems of volcanoes and of deformation are so closely connected

with that of the earth’s interior that we may consider them together. Few of
these problems are solved, and we may only state some known facts and
the probable conclusions which may be drawn as inferences from them.
The interior of the earth is hot. Volcanoes prove that in many parts
of the earth there exist within reach of the surface regions of such intense
heat that the rock is in a molten condition. Deep wells and mines show
everywhere an increase in temperature below the surface shell affected by
the heat of summer and the cold of winter,—a shell in temperate latitudes
sixty or seventy feet thick. Thus in a boring more than a mile deep at
Schladebach, Germany, the earth grows warmer at the rate of 1° F. for
every sixty-seven feet as we descend. Taking the average rate of increase
at one degree for every sixty feet of descent, and assuming that this rate,
observed at the moderate distances open to observation, continues to at
least thirty-five miles, the temperature at that depth must be more than
three thousand degrees,—a temperature at which all ordinary rocks would
melt at the earth’s surface. The rate of increase in temperature probably
lessens as we go downward, and it may not be appreciable below a few
hundred miles. But there is no reason to doubt that the interior of the earth
is intensely hot. Below a depth of one or two score miles we may imagine
the rocks everywhere glowing with heat.

Although the heat of the interior is great enough to melt all rocks at
atmospheric pressure, it does not follow that the interior is fluid. Pressure
raises the fusing point of rocks, and the weight of the crust may keep the
interior in what may be called a solid state, although so hot as to be a
liquid or a gas were the pressure to be removed.

The interior of the earth is dense and heavy. The earth behaves
as a globe more rigid than glass under the strains to which it is subjected
by the attractions of the sun and moon and other heavenly bodies. The jar
of world-shaking earthquakes passes through the earth’s interior with
nearly twice the velocity with which it would traverse solid steel, and since
the speed of elastic waves depends on the density and elasticity of the
medium, it follows that the globe is as a whole more dense and rigid than
steel. The interior of the earth is extremely dense and rigid.

The common rocks of the crust are about two and a half times heavier
than water, while the earth as a whole weighs five and six-tenths times as
much as a globe of water of the same size. The interior is therefore much
more heavy than the crust. This may be caused in part by compression of
the interior under the enormous weight of the crust, and in part also by an
assortment of material, the heavier substances, such as the heavy metals,
having gravitated towards the center.

Between the crust, which is solid because it is cool, and the interior,
which is hot enough to melt were it not for the pressure which keeps it
dense and rigid, there may be an intermediate zone in which heat and
pressure are so evenly balanced that here rock liquefies whenever and
wherever the pressure upon it may be relieved by movements of the crust.
It is perhaps from such a subcrustal layer that the lava of volcanoes is
supplied.

The causes of volcanic action. It is now generally believed that the

heat of volcanoes is that of the earth’s interior. Other causes, such as
friction and crushing in the making of mountains and the chemical
reactions between oxidizing agents of the crust and the unoxidized interior,
have been suggested, but to most geologists they seem inadequate.

There is much difference of opinion as to the force which causes molten

rock to rise to the surface in the ducts of volcanoes. Steam is so evidently
concerned in explosive eruptions that many believe that lava is driven
upward by the expansive force of the steam with which it is charged, much
as a viscid liquid rises and boils over in a test tube or kettle.

But in quiet eruptions, and still more in the irruption of intrusive sheets
and masses, there is little if any evidence that steam is the driving force. It
is therefore believed by many geologists that it is pressure due to crustal
movements and internal stresses which squeezes molten rock from below
into fissures and ducts in the crust. It is held by some that where
considerable water is supplied to the rising column of lava, as from the
ground water of the surrounding region, and where the lava is viscid so
that steam does not readily escape, the eruption is of the explosive type;
when these conditions do not obtain, the lava outwells quietly, as in the
Hawaiian volcanoes. It is held by others not only that volcanoes are due to
the outflow of the earth’s deep-seated heat, but also that the steam and
other emitted gases are for the most part native to the earth’s interior and
never have had place in the circulation of atmospheric and ground waters.

Volcanic action and deformation. Volcanoes do not occur on wide

plains or among ancient mountains. On the other hand, where movements
of the earth’s crust are in progress in the uplift of high plateaus, and still
more in mountain making, molten rock may reach the surface, or may be
driven upward toward it forming great intrusive masses. Thus extensive
lava flows accompanied the upheaval of the block mountains of western
North America and the uplift of the Colorado plateau. A line of recent
volcanoes may be traced along the system of rift valleys which extends
from the Jordan and Dead Sea through eastern Africa to Lake Nyassa. The
volcanoes of the Andes show how conspicuous volcanic action may be in
young rising ranges. Folded mountains often show a core of igneous rock,
which by long erosion has come to form the axis and the highest peaks of
the range, as if the molten rock had been squeezed up under the rising
upfolds. As we decipher the records of the rocks in historical geology we
shall see more fully how, in all the past, volcanic action has characterized
the periods of great crustal movements, and how it has been absent when
and where the earth’s crust has remained comparatively at rest.

The causes of deformation. As the earth’s interior, or nucleus, is

highly heated it must be constantly though slowly losing its heat by
conduction through the crust and into space; and since the nucleus is
cooling it must also be contracting. The nucleus has contracted also
because of the extrusion of molten matter, the loss of constituent gases
given off in volcanic eruptions, and (still more important) the compression
and consolidation of its material under gravity. As the nucleus contracts, it
tends to draw away from the cooled and solid crust, and the latter settles,
adapting itself to the shrinking nucleus much as the skin of a withering
apple wrinkles down upon the shrunken fruit. The unsupported weight of
the spherical crust develops enormous tangential pressures, similar to the
stresses of an arch or dome, and when these lateral thrusts accumulate
beyond the power of resistance the solid rock is warped and folded and
broken.

Since the planet attained its present mass it has thus been lessening in
volume. Notwithstanding local and relative upheavals the earth’s surface on
the whole has drawn nearer and nearer to the center. The portions of the
lithosphere which have been carried down the farthest have received the
waters of the oceans, while those portions which have been carried down
the least have emerged as continents.

Although it serves our convenience to refer the movements of the crust

to the sea level as datum plane, it is understood that this level is by no
means fixed. Changes in the ocean basins increase or reduce their capacity
and thus lower or raise the level of the sea. But since these basins are
connected, the effect of any change upon the water level is so distributed
that it is far less noticeable than a corresponding change would be upon
the land.

CHAPTER XIII

METAMORPHISM AND MINERAL VEINS

Under the action of internal agencies rocks of all kinds may be rendered
harder, more firmly cemented, and more crystalline. These processes are
known as metamorphism, and the rocks affected, whether originally
sedimentary or igneous, are called metamorphic rocks. We may contrast
with metamorphism the action of external agencies in weathering, which
render rocks less coherent by dissolving their soluble parts and breaking
down their crystalline grains.

Contact metamorphism. Rocks beneath a lava flow or in contact with

igneous intrusions are found to be metamorphosed to various degrees by
the heat of the cooling mass. The adjacent strata may be changed only in
color, hardness, and texture. Thus, next to a dike, bituminous coal may be
baked to coke or anthracite, and chalk and limestone to crystalline marble.
Sandstone may be converted into quartzite, and shale into argillite, a
compact, massive clay rock. New minerals may also be developed. In
sedimentary rocks there may be produced crystals of mica and of garnet (a
mineral as hard as quartz, commonly occurring in red, twelve-sided
crystals). Where the changes are most profound, rocks may be wholly
made over in structure and mineral composition.

In contact metamorphism, thin sheets of molten rock produce less

effect than thicker ones. The strongest heat effects are naturally caused by
bosses and regional intrusions, and the zone of change about them may be
several miles in width. In these changes heated waters and vapors from
the masses of igneous rocks undoubtedly play a very important part.

Which will be more strongly altered, the rocks about a closed dike in which lava began
to cool as soon as it filled the fissure, or the rocks about a dike which opened on the
surface and through which the molten rock flowed for some time?

Taking into consideration the part played by heated waters, which will produce the
most far-reaching metamorphism, dikes which cut across the bedding planes or intrusive
sheets which are thrust between the strata?

Regional metamorphism. Metamorphic rocks occur wide-spread in

many regions, often hundreds of square miles in area, where such
extensive changes cannot be accounted for by igneous intrusions. Such are
the dissected cores of lofty mountains, as the Alps, and the worn-down
bases of ancient ranges, as in New England, large areas in the Piedmont
Belt, and the Laurentian peneplain.

In these regions the rocks have yielded to immense pressure. They

have been folded, crumpled, and mashed, and even their minute grains, as
one may see with a microscope, have often been puckered, broken, and
crushed to powder. It is to these mechanical movements and strains which
the rocks have suffered in every part that we may attribute their
metamorphism, and the degree to which they have been changed is in
direct proportion to the degree to which they have been deformed and
mashed.

Other factors, however, have played important parts. Rock crushing

develops heat, and allows a freer circulation of heated waters and vapors.
Thus chemical reactions are greatly quickened; minerals are dissolved and
redeposited in new positions, or their chemical constituents may recombine
in new minerals, entirely changing the nature of the rock, as when, for
example, feldspar recrystallizes as quartz and mica.

Early stages of metamorphism are seen in slate. Pressure has hardened the marine
muds, the arkose (p. 186), or the volcanic ash from which slates are derived, and has
caused them to cleave by the rearrangement of their particles.
Under somewhat greater pressure, slate becomes phyllite, a clay slate whose cleavage surfaces are lustrous with flat-
lying mica flakes. The same pressure which has caused the rock to cleave has set free some of its mineral constituents
along the cleavage planes to crystallize there as mica.
Foliation. Under still stronger
pressure the whole structure of the
rock is altered. The minerals of which
it is composed, and the new minerals
which develop by heat and pressure,
arrange themselves along planes of
cleavage or of shear in rudely parallel
leaves, or folia. Of this structure,
called foliation, we may distinguish
two types,—a coarser feldspathic
type, and a fine type in which other
minerals than feldspar predominate.

Gneiss is the general name under

which are comprised coarsely foliated
rocks banded with irregular layers of
feldspar and other minerals. The Fig. 255. A Foliated Rock
gneisses appear to be due in many
cases to the crushing and shearing of deep-seated igneous rocks, such as
granite and gabbro.

The crystalline schists, representing the finer types of foliation, consist

of thin, parallel, crystalline leaves, which are often remarkably crumpled.
These folia can be distinguished from the laminae of sedimentary rocks by
their lenticular form and lack of continuity, and especially by the fact that
they consist of platy, crystalline grains, and not of particles rounded by
wear.

Mica schist, the most common of schists, and in fact of all metamorphic rocks, is
composed of mica and quartz in alternating wavy folia. All gradations between it and
phyllite may be traced, and in many cases we may prove it due to the metamorphism of
slates and shales. It is widespread in New England and along the eastern side of the
Appalachians. Talc schist consists of quartz and talc, a light-colored magnesian mineral of
greasy feel, and so soft that it can be scratched with the thumb nail.

Hornblende schist, resulting in many cases from the foliation of basic igneous rocks, is
made of folia of hornblende alternating with bands of quartz and feldspar. Hornblende
schist is common over large areas in the Lake Superior region.

Quartz schist is produced from quartzite by the development of fine folia of mica along
planes of shear. All gradations may be found between it and unfoliated quartzite on the
one hand and mica schist on the other.
Under the resistless pressure of crustal movements almost any rocks, sandstones,
shales, lavas of all kinds, granites, diorites, and gabbros may be metamorphosed into
schists by crushing and shearing. Limestones, however, are metamorphosed by pressure
into marble, the grains of carbonate of lime recrystallizing freely to interlocking crystals of
calcite.

These few examples must suffice of the great class of metamorphic

rocks. As we have seen, they owe their origin to the alteration of both of
the other classes of rocks—the sedimentary and the igneous—by heat and
pressure, assisted usually by the presence of water. The fact of change is
seen in their hardness arid cementation, their more or less complete
recrystallization, and their foliation; but the change is often so complete
that no trace of their original structure and mineral composition remains to
tell whether the rocks from which they were derived were sedimentary or
igneous, or to what variety of either of these classes they belonged.

Fig. 256. Contorted Gneiss, the Ottawa River, Canada

In many cases, however, the early history of a metamorphic rock can be

deciphered. Fossils not wholly obliterated may prove it originally water-laid.
Schists may contain rolled-out pebbles, showing their derivation from a
conglomerate. Dikes of igneous rocks may be followed into a region where
they have been foliated by pressure.
The most thoroughly metamorphosed
rocks may sometimes be traced out
into unaltered sedimentary or
igneous rocks, or among them may
be found patches of little change
where their history maybe read.

Metamorphism is most common

among rocks of the earlier geological
ages, and most rare among rocks of
Fig. 257. Quartz Veins in Slate recent formation. No doubt it is now
in progress where deep-buried
sediments are invaded by heat either from intrusive igneous masses or
from the earth’s interior, or are suffering slow deformation under the thrust
of mountain-making forces.

Suggest how rocks now in process of metamorphism may sometimes be exposed to

view. Why do metamorphic rocks appear on the surface to-day?

Mineral Veins
In regions of folded and broken rocks fissures are frequently found to
be filled with sheets of crystalline minerals deposited from solution by
underground water, and fissures thus filled are known as mineral veins.
Much of the importance of mineral veins is due to the fact that they are
often metalliferous, carrying valuable native metals and metallic ores
disseminated in fine particles, in strings, and sometimes in large masses in
the midst of the valueless nonmetallic minerals which make up what is
known as the vein stone.

The most common vein stones are quartz and calcite. fluorite (calcium fluoride), a
mineral harder than calcite and crystallizing in cubes of various colors, and barite (barium
sulphate), a heavy white mineral, are abundant in many veins.

The gold-bearing quartz veins of California

traverse the metamorphic slates of the Sierra
Nevada Mountains. Below the zone of solution
(p. 45) these veins consist of a vein stone of
quartz mingled with pyrite (p. 13), the latter
containing threads and grains of native gold. But Fig. 258. Placer Deposits in
to the depth of about fifty feet from the surface California
the pyrite of the vein has been dissolved, leaving
g, gold-bearing gravels in present
a rusty, cellular quartz with grains of the
insoluble gold scattered through it. river beds; g´, ancient gold-bearing
river gravels; a, a, lava flows capping
The placer deposits of California and other table mountains; s, slate. Draw a
regions are gold- bearing deposits of gravel and
diagram showing by dotted lines
sand in river beds. The heavy gold is apt to be
found mostly near or upon the solid rock, and its conditions before the lava flows
grains, like those of the sand, are always occurred. What changes have since
rounded. How the gold came in the placers we taken place?
may leave the pupil to suggest.

Copper is found in a number of ores, and also in the native metal.

Below the zone of surface changes the ore of a copper vein is often a
double sulphide of iron and copper called chalcopyrite, a mineral softer
than pyrite—it can easily be scratched with a knife—and deeper yellow in
color. For several score of feet below the ground the vein may consist of
rusty quartz from which the metallic ores have been dissolved; but at the
base of the zone of solution we may find exceedingly rich deposits of
copper ores,— copper sulphides, red and black copper oxides, and green
and blue copper carbonates, which have clearly been brought down in
solution from the leached upper portion of the vein.

Origin of mineral veins. Both vein stones and ores have been
deposited slowly from solution in water, much as crystals of salt are
deposited on the sides of a jar of saturated brine. In our study of
underground water we learned that it is everywhere circulating through the
permeable rocks of the crust, descending to profound depths under the
action of gravity and again driven to the surface by hydrostatic pressure.
Now fissures, wherever they occur, form the trunk channels of the
underground circulation. Water descends from the surface along these
rifts; it moves laterally from either side to the fissure plane, just as ground
water seeps through the surrounding rocks from every direction to a well;
and it ascends through these natural water ways as in an artesian well,
whenever they intersect an aquifer in which water is under hydrostatic
pressure.

The waters which deposit vein stones and ores are commonly hot, and
in many cases they have derived their heat from intrusions of igneous rock
still uncooled within the crust. The solvent power of the water is thus
greatly increased, and it takes up into solution various substances from the
igneous and sedimentary rocks which it traverses. For various reasons
these substances stances are deposited in the vein as ores and vein stones.
On rising through the fissure the water cools and loses pressure, and its
capacity to hold minerals in solution is therefore lessened. Besides, as
different currents meet in the fissure, some ascending, some descending,
and some coming in from the sides, the chemical reaction of these various
weak solutions upon one another and upon the walls of the vein
precipitates the minerals of vein stuffs and ores.

As an illustration of the method of vein deposits we may cite the case of a wooden box
pipe used in the Comstock mines, Nevada, to carry the hot water of the mine from one
level to another, which in ten years was lined with calcium carbonate more than half an
inch thick.

The Steamboat Springs, Nevada, furnish examples of mineral veins in process of

formation. The steaming water rises through fissures in volcanic rocks and is now
depositing in the rifts a vein stone of quartz, with metallic ores of iron, mercury, lead, and
other metals.

Fig. 259. Reconcentration of Ores in Mineral

Veins
A, original vein; B, same after reconcentration; v,
mineral vein; s, surface of ground (dotted line, former
surfaces of the ground); sp, spring; o, vein leached of
ores by descending waters in zone of solution; m, rich
ore deposits reconcentrated from above; n, unchanged
portion of vein
Reconcentration. Near the base of the zone of solution veins are
often stored with exceptionally large and valuable ore deposits. This local
enrichment of the vein is due to the reconcentration of its metalliferous
ores. As the surface of the land is slowly lowered by weathering and
running water, the zone of solution is lowered at an equal rate and
encroaches constantly on the zone of cementation. The minerals of veins
are therefore constantly being dissolved along their upper portions and
carried down the fissures by ground water to lower levels, where they are
redeposited.

Many of the richest ore deposits are thus due to successive

concentrations: the ores were leached originally from the rocks to a large
extent by laterally seeping waters; they were concentrated in the ore
deposits of the vein chiefly by ascending currents; they have been
reconcentrated by descending waters in the way just mentioned.

The original source of the metals. It is to the igneous rocks that we

may look for the original source of the metals of veins. Lavas contain
minute percentages of various metallic compounds, and no doubt this was
the case also with the igneous rocks which formed the original earth crust.
By the erosion of the igneous rocks the metals have been distributed
among sedimentary strata, and even the sea has taken into solution an
appreciable amount of gold and other metals, but in this widely diffused
condition they are wholly useless to man. The concentration which has
made them available is due to the interaction of many agencies. Earth
movements fracturing deeply the rocks of the crust, the intrusion of heated
masses, the circulation of underground waters, have all cooperated in the
concentration of the metals of mineral veins.

While fissure veins are the most important of mineral veins, the latter term is applied
also to any water way which has been filled by similar deposits from solution. Thus in
soluble rocks, such as limestones, joints enlarged by percolating water are sometimes
filled with metalliferous deposits, as, for example, the lead and zinc deposits of the upper
Mississippi valley. Even a porous aquifer may be made the seat of mineral deposits, as in
the case of some copper-bearing and silver-bearing sandstones of New Mexico.
Fig. 260. Geological Map of the United states and Part of Canada
Click on map to view larger version

PART III

HISTORICAL GEOLOGY

CHAPTER XIV
THE GEOLOGICAL RECORD
What a formation records. We have already learned that each
individual body of stratified rock, or formation, constitutes a record of the
time when it was laid. The structure and the character of the sediments of
each formation tell whether the area was land or sea at the time when
they were spread; and if the former, whether the land was river plain, or
lake bed, or was covered with wind-blown sands, or by the deposits of an
ice sheet. If the sediments are marine, we may know also whether they
were laid in shoal water near the shore or in deeper water out at sea, and
whether during a period of emergence, or during a period of subsidence
when the sea transgressed the land. By the same means each formation
records the stage in the cycle of erosion of the land mass from which its
sediments were derived (p. 185). An unconformity between two marine
formations records the fact that between the periods when they were
deposited in the sea the area emerged as land and suffered erosion
(p. 227). The attitude and structure of the strata tell also of the foldings
and fractures, the deformation and the metamorphism, which they have
suffered; and the igneous rocks associated with them as lava flows and
igneous intrusions add other details to the story. Each formation is thus a
separate local chapter in the geological history of the earth, and its strata
are its leaves. It contains an authentic record of the physical conditions—
the geography—of the time and place when and where its sediments were
laid.

Past cycles of erosion. These chapters in the history of the planet

are very numerous, although much of the record has been destroyed in
various ways. A succession of different formations is usually seen in any
considerable section of the crust, such as a deep canyon or where the
edges of upturned strata are exposed to view on the flanks of mountain
ranges; and in any extensive area, such as a state of the Union or a
province of Canada, the number of formations outcropping on the surface
is large.

It is thus learned that our present continent is made up for the most
part of old continental deltas. Some, recently emerged as the strata of
young coastal plains, are the records of recent cycles of erosion; while
others were deposited in the early history of the earth, and in many
instances have been crumpled into mountains, which afterwards were
leveled to their bases and lowered beneath the sea to receive a cover of
later sediments before they were again uplifted to form land.

The cycle of erosion now in progress and recorded in the layers of

stratified rock being spread beneath the sea in continental deltas has
therefore been preceded by many similar cycles. Again and again
movements of the crust have brought to an end one cycle— sometimes
when only well under way, and sometimes when drawing toward its close—
and have begun another. Again and again they have added to the land
areas which before were sea, with all their deposition records of earlier
cycles, or have lowered areas of land beneath the sea to receive new
sediments.

The age of the earth. The thickness of the stratified rocks now
exposed upon the eroded surface of the continents is very great. In the
Appalachian region the strata are seven or eight miles thick, and still
greater thicknesses have been measured in several other mountain ranges.
The aggregate thickness of all the formations of the stratified rocks of the
earth’s crust, giving to each formation its maximum thickness wherever
found, amounts to not less than forty miles. Knowing how slowly sediments
accumulate upon the sea floor (p.184), we must believe that the successive
cycles which the earth has seen stretch back into a past almost
inconceivably remote, and measure tens of millions and perhaps even
hundreds of millions of years.

How the formations are correlated and the geological record

made up. Arranged in the order of their succession, the formations of the
earth’s crust would constitute a connected record in which the geological
history of the planet may be read, and therefore known as the geological
record. But to arrange the formations in their natural order is not an easy
task. A complete set of the volumes of the record is to be found in no
single region. Their leaves and chapters are scattered over the land surface
of the globe. In one area certain chapters may be found, though perhaps
with many missing leaves, and with intervening chapters wanting, and
these absent parts perhaps can be supplied only after long search through
many other regions.

Adjacent strata in any region are arranged according to the law of

superposition, i.e. any stratum is younger than that on which it was
deposited, just as in a pile of paper, any sheet was laid later than that on
which it rests. Where rocks have been disturbed, their original attitude
must be determined before the law can be applied. Nor can the law of
superposition be used in identifying and comparing the strata of different
regions where the formations cannot be traced continuously from one
region to the other.

The formations of different regions are arranged in their true order by

the law of included organisms; i.e. formations, however widely separated,
which contain a similar assemblage of fossils are equivalent and belong to
the same division of geological time.

The correlation of formations by means of fossils may be explained by the formations

now being deposited about the north Atlantic. Lithologically they are extremely various.
On the continental shelf of North America limestones of different kinds are forming off
Florida, and sandstones and shales from Georgia northward. Separated from them by the
deep Atlantic oozes are other sedimentary deposits now accumulating along the west
coast of Europe. If now all these offshore formations were raised to open air, how could
they be correlated? Surely not by lithological likeness, for in this respect they would be
quite diverse. All would be similar, however, in the fossils which they contain. Some fossil
species would be identical in all these formations and others would be closely allied.
Making all due allowance for differences in species due to local differences in climate and
other physical causes, it would still be plain that plants and animals so similar lived at the
same period of time, and that the formations in which their remains were imbedded were
contemporaneous in a broad way. The presence of the bones of whales and other marine
mammals would prove that the strata were laid after the appearance of mammals upon
earth, and imbedded relics of man would give a still closer approximation to their age. In
the same way we correlate the earlier geological formations.

For example, in 1902 there were collected the first fossils ever found on the antarctic
continent. Among the dozen specimens obtained were some fossil ammonites (a family of
chambered shells) of genera which are found on other continents in certain formations
classified as the Cretaceous system, and which occur neither above these formations nor
below them. On the basis of these few fossils we may be confident that the strata in which
they were found in the antarctic region were laid in the same period of geologic time as
were the Cretaceous rocks of the United States and Canada.

The record as a time scale. By means of the law of included

organisms and the law of superposition the formations of different
countries and continents are correlated and arranged in their natural order.
When the geological record is thus obtained it may be used as a universal
time scale for geological history. Geological time is separated into divisions
corresponding to the times during which the successive formations were
laid. The largest assemblages of formations are known as groups, while the
corresponding divisions of time are known as eras. Groups are subdivided
into systems, and systems into series. Series are divided into stages and
substages,—subdivisions which do not concern us in this brief treatise. The
corresponding divisions of time are given in the following table.

Strata Time
Group Era
System Period
Series Epoch

The geologist is now prepared to read the physical history—the

geographical development—of any country or of any continent by means of
its formations, when he has given each formation its true place in the
geological record as a time scale.

The following chart exhibits the main divisions of the record, the name
given to each being given also to the corresponding time division. Thus we
speak of the Cambrian system, meaning a certain succession of formations
which are classified together because of broad resemblances in their
included organisms; and of the Cambrian period, meaning the time during
which these rocks were deposited.

Group and Era System and Period Series and Epoch

Recent
Quaternary
Pleistocene
Cenozoic Pliocene
Tertiary Miocene
Eocene
Cretaceous
Mesozoic Jurassic
Triassic
Permian
Carboniferous Pennsylvanian
Mississippian
Paleozoic Devonian
Silurian
Ordovician
Cambrian
Algonkian
Archean

Fossils and what they teach

The geological formations contain a record still more important than

that of the geographical development of the continents; the fossils
imbedded in the rocks of each formation tell of the kinds of animals and
plants which inhabited the earth at that time, and from these fossils we are
therefore able to construct the history of life upon the earth.

Fossils. These remains of organisms are found in the strata in all degrees of
perfection, from trails and tracks and fragmentary impressions, to perfectly preserved
shells, wood, bones, and complete skeletons. As a rule, it is only the hard parts of animals
and plants which have left any traces in the rocks. Sometimes the original hard substance
is preserved, but more often it has been replaced by some less soluble material.
Petrifaction, as this process of slow replacement is called, is often carried on in the most
exquisite detail. When wood, for example, is undergoing petrifaction, the woody tissue
may be replaced, particle by particle, by silica in solution through the action of
underground waters, even the microscopic structures of the wood being perfectly
reproduced. In shells originally made of aragonite, a crystalline form of carbonate of lime,
that mineral is usually replaced by calcite, a more stable form of the same substance. The
most common petrifying materials are calcite, silica, and pyrite (p. 13).

Often the organic substance has neither been preserved nor replaced, but the form has
been retained by means of molds and casts. Permanent impressions, or molds, may be
made in sediments not only by the hard parts of organisms, but also by such soft and
perishable parts as the leaves of plants, and, in the rarest instances, by the skin of animals
and the feathers of birds. In fine-grained limestones even the imprints of jellyfish have
been retained.

The different kinds of molds and casts may be illustrated by

means of a clam shell and some moist clay, the latter representing
the sediments in which the remains of animals and plants are
entombed. Imbedding the shell in the clay and allowing the clay to
harden, we have a mold of the exterior of the shell, as is seen on
cutting the clay matrix in two and removing the shell from it. Filling
this mold with clay of different color, we obtain a cast of the
exterior, which represents accurately the original form and surface
Fig. 261. markings of the shell. In nature, shells and other relics of animals or
Section of Cast plants are often removed by being dissolved by percolating waters,
and Mold of a and the molds are either filled with sediments or with minerals
Shell deposited from solution.
a, shell; b, mold
of exterior; c, cast Where the fossil is hollow, a cast of the interior is made in the
of interior same way. Interior casts of shells reproduce any markings on the
inside of the valves, and casts of the interior of the skulls of ancient
vertebrates show the form and size of their brains.

Imperfection of the life record. At the present time only the

smallest fraction of the life on earth ever gets entombed in rocks now
forming. In the forest great fallen tree trunks, as well as dead leaves,
decay, and only add a little to the layer of dark vegetable mold from which
they grew. The bones of land animals are, for the most part, left unburied
on the surface and are soon destroyed by chemical agencies. Even where,
as in the swamps of river, flood plains and in other bogs, there are
preserved the remains of plants, and sometimes insects, together with the
bones of some animal drowned or mired, in most cases these swamp and
bog deposits are sooner or later destroyed by the shifting channels of the
stream or by the general erosion of the land.

In the sea the conditions for preservation are more favorable than on
land; yet even here the proportion of animals and plants whose hard parts
are fossilized is very small compared with those which either totally decay
before they are buried in slowly accumulating sediments or are ground to
powder by waves and currents.

We may infer that during each period of the past, as at the present,
only a very insignificant fraction of the innumerable organisms of sea and
land escaped destruction and left in continental and oceanic deposits
permanent records of their existence. Scanty as these original life records
must have been, they have been largely destroyed by metamorphism of
the rocks in which they were imbedded, by solution in underground waters,
and by the vast denudation under which the sediments of earlier periods
have been eroded to furnish materials for the sedimentary records of later
times. Moreover, very much of what has escaped destruction still remains
undiscovered. The immense bulk of the stratified rocks is buried and
inaccessible, and the records of the past which it contains can never be
known. Comparatively few outcrops have been thoroughly searched for
fossils. Although new species are constantly being discovered, each
discovery may be considered as the outcome of a series of happy
accidents,—that the remains of individuals of this particular species
happened to be imbedded and fossilized, that they happened to escape
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To the children, students and adults who

taught us how to conduct and use functional

assessment procedures; and to the families,

teachers, and community staff who used

previous versions of the tools in this book and

helped us understand how to make these tools

more practical and effective.

2 Functional The Content of the Functional Assessment

Assessment and Analysis Using the Functional Assessment

of the Behavior to the Writing Behavior Support Plans 99

Intervention 67 Why Write Behavior Support Plans? 99

C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83

Instructor Ancillaries Robert E. O’Neill

1 Window to the World

■ Case Study ONE

Window to the World ■ Case Study TWO

Purpose of the Handbook behavioral assessments and analyses. The focus

✷Key Point 1.1

Informant Methods What events or changes in these situations seem

✷Key Point 1.3

Systematic Manipulations—Functional designed to identify the function of the problem

Ethical Considerations 1.1

Ethical Questions Regarding Functional Assessment and Positive

■ Case Study ONE

Window to the World ■ Case Study TWO

Mitch is a 19-year-old student in a transition program operated by the school

Fig. 237. Crandall Volcano

Fig. 240. A Dissected Volcanic Cone

Fig. 242. The Palisades of the Hudson,

Intrusive sheets. Sheets of igneous rocks are sometimes found

On the west bank of the Hudson there extends

The latter is the case: for the overlying

The texture of the rock of bosses proves

Figure 246 exhibits a few small bosses of

Laccoliths. The laccolith (Greek laccos,

Regional intrusions. These vast

Physiographic effects of intrusive masses. We have already seen

The Intrusive Rocks

Naturally these characteristics are best developed in the intrusives

Varieties of the intrusive rocks. We will now describe a few of the

Granite, as we have learned already, is composed of three minerals,—

Syenite, composed of feldspar and mica, has consolidated from a less

Diorite, still less siliceous, is composed of hornblende and feldspar,—the

Gabbro, a typical basic rock, corresponds to basalt in chemical

Fig. 251. Fig. 252.

The Interior Condition of the Earth and Causes

The problems of volcanoes and of deformation are so closely connected

The causes of volcanic action. It is now generally believed that the

There is much difference of opinion as to the force which causes molten

Volcanic action and deformation. Volcanoes do not occur on wide

The causes of deformation. As the earth’s interior, or nucleus, is

Although it serves our convenience to refer the movements of the crust

METAMORPHISM AND MINERAL VEINS

Contact metamorphism. Rocks beneath a lava flow or in contact with

In contact metamorphism, thin sheets of molten rock produce less

Regional metamorphism. Metamorphic rocks occur wide-spread in

In these regions the rocks have yielded to immense pressure. They

Other factors, however, have played important parts. Rock crushing

Gneiss is the general name under

The crystalline schists, representing the finer types of foliation, consist

These few examples must suffice of the great class of metamorphic

Fig. 256. Contorted Gneiss, the Ottawa River, Canada

C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83