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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
13
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Exploring the Variety of Random
Documents with Different Content
Auferstehung begriffen waren – kurz: wenn die Reise nicht so lang
gewesen, wäre es gar nicht gegangen.
Vier Stunden der Tagesfahrt brauchte Heidi allein zur
Vervollkommnung der Wertschätzung ihres Papas. Wenn er ihr
zwanzig Märchen erzählt hatte, wollte sie wissen, ob es tausend
gäbe, und ob er sie nun alle erzählt hätte, und er sollte doch gleich
noch mal von vorne anfangen, und bei jedem neuen wollte sie einen
Knoten in die Schnur ihres Nastuchtäschleins knüpfen, damit kein
Irrtum entstehe …
So lief das weiter. Und so ging die Fahrt herum. Rübezahl und
Papa traten für die Kleine allgemach an die Stelle des lieben Gottes.
Abends schrieb Jockele manchmal noch einen Brief in den
Hardanger Fjord, ans Horn oder an die beiden Alten im
Frühlingshause; denn eigentlich müde wurde man ja von diesem
neumodischen Reisen nicht, sondern nur ungeheuer wohlig und
ausgeruht. Was daher kam: man hatte sich ganz voller Himmel und
Hochwald geatmet.
Da passierte etwas. Es passierte etwas ganz Unerhörtes.
Als die Dichterkutsche hinter Oberwiesenthal auf die Kammstraße
des Erzgebirges rollte – das war also am fünften Tage nach der
Ausreise – bekam Herr Salzer das Fieber.
Einen Tag lang trug er es schweratmend mit sich herum. Am
nächsten Morgen fand es sich: auch die Tante Veronika war
angesteckt worden. Salzer, der sogar einen grauen Zylinderhut
riskiert hatte, wollte unter keinen Umständen hinter der Zeit
dreinhinken. Er stellte also fest, daß ihre Krankheit das Reisefieber
wäre. Das ließe sich nur heilen, wenn sie schnurstracks einen Wagen
nähmen und hinterdrein führen.
Weiß Gott, die Sache wurde gemacht!
Als die Dichterkutsche ins Isergebirge einbog, setzten sich die
Rösser vor der zweiten in Ibenheim am Walde in Bewegung. Tante
Veronika diesmal in einem neuen grauseidenen Umhang, den ihr
Herr Salzer gestiftet hatte, in einem silbergrauen Kapotthütchen mit
veilchenfarbenen Bindebändern und mit dem gelben Krückstock. Und
Herr Salzer im grauen Zylinderhut. Es war außerordentlich.
Den Reiseweg wußten sie auswendig; denn so an die drei Jahre
hatte Jockele den gelehrten Freund daran in Begeisterung gehüllt.
Also.
Natürlich hatten die Drei in der ersten Dichterkutsche von der
zweiten keine Ahnung. Sie fuhren dahin, als wäre die ihrige ganz
allein auf der Welt. Die Alten hatten es ein bißchen eiliger, und auch
sie fanden die Reise kurzweilig. »Herrlich, herrlich!« sagte Herr
Salzer und rollte seine Augen auf dem grünen Tuche der Matten und
Bergwälder und auf dem blauen des Himmels herum, als wären sie
ein paar blanke Billardkugeln. Herrlich! Herrlich!
So langten sie auf dem gleichen Wege in Johannisbad bei Freiheit
im Riesengebirge an. Es war ein großes Ereignis. Alle
zweihundertzwanzig Einwohner des Ortes nahmen daran teil.
»Heidi! Heidi, die Großmama ist gekommen!«
Ja, lieber Gott, wo ist denn das Kind? Es flatterte doch so aufgetan
um die Mittagsmusik am Kurbrunnen!
»Heidi! Heidi!«
Kein Mensch wußte, wo Heidi war. Aber ängstlich war man gar
nicht; denn das kleine Fräulein im blauen Röckchen lächelte alle
Finsternis der Erde hell.
Tante Veronika brauchte ein Viertelstündchen Mittagsschlaf. Und
da es gerade ihre Zeit war, geleitete Frau Do sie auf ihr Zimmer und
sagte, sie solle nur recht hübsch sorglos schlafen.
Als Do wieder herunterkam, war Heidi immer noch nicht da. Ein
kleines Mädel sagte: »O, die Heidi ist vor einer Viertelstunde in den
Wald gelaufen, dort beim hohen Steig hinan. Sie hat im
Sommergrase gestanden und hat mit den Schmetterlingen geredet.«
In den Wald gelaufen? Na!
»Jo,« sagte Do, »ich werde nun doch ein bißchen ängstlich.«
»Ach lieber gar – das gescheite Mädel.«
»Ich kenne das,« sagte Do. »Sie redet mit Schmetterlingen und
Vögeln und mit blitzenden Bächlein; sie versteht ja all diese
Sprachen von ihrem Papa her …«
Keine drei Minuten vergingen, so hatte der Herr Salzer seinen
grauen Zylinder aufgestülpt, griff in der Hast nach Tante Veronikas
Krückstock, der da am Tisch im Kurgarten lehnte, und hüpfte hinter
Do und Jo den hohen Steig entlang gegen den Waldrand.
Es schwammen Schmetterlinge in der Mittagssonne – Heidi nicht.
Es sangen Drosseln, es sangen Grasmücken – Heidi nicht.
Es plauderte ein Bächlein zwischen den Blütenköpfen dahin –
Heidi nicht.
»Heidi! Heid – di! Heiei – diih!«
Ja, vor einer kleinen Erdenfrist war die Heidi dort gewesen! Man
konnte noch die Füßchen im Grase sehen. Aber da kam ein
Schwalbenschwanz am Waldrande daher gesegelt – es war, als
schwämme er auf der Kurmusik, die man ganz traumhaft bis hier
herauf hören konnte.
»Wo fliegst du denn hin?« fragte Heidi den Sommervogel in dem
schönen gelben Kleidchen mit den schwarzen Streifen und blauen
Tupfen darauf.
Der Schmetterling sagte nichts, bog in den Wald und winkte so mit
den Flügeln. Da ging Heidi ein bißchen hinterdrein.
Auf einmal – da zog ein Trauermantel um einen silbernen
Birkenstamm. Der hatte ein Röckchen aus dunkelbraunem Sammet
an, funkelnagelneu, und mit hellgelben Borten.
»Ei, du bist ein kleines Mädchen wie ich,« sagte das himmelblaue
Menschenkind; »denn die Buben bei den Trauermänteln tragen
Kleider aus schwarzem Sammet. Darf ich mitkommen?«
Der Trauermantel winkte mit den Flügeln und flog über den Bach.
Plötzlich konnte das Bächlein reden und sagte: »Guten Tag, Heidi
Sinsheimer. Komm, spring ein bißchen mit mir den Berg hinunter. Wir
laufen zur Buschgroßmutter!«
»Meinst du auch, daß ich mich wieder heimfinde von solch einer
langen Reise? Du mußt doch bedenken, daß ich noch ein recht
kleiner Mensch bin.«
»Haha,« lachte das Bächlein, »nichts leichter als das! Du brauchst
nur immer an meinem Ufer zurückzulaufen, bis du zu der weißen
Birke kommst; von dort führt das Pfädlein aus dem Walde.«
Ein Stückchen ging Heidi mit. Das Bächlein plätscherte so herrlich
um die Steine. Da sangen sie ein Lied miteinander, und Heidi
pflückte im Wandern und Singen ein Händchen voll Vergißmeinnicht.
Und da sie an einen Mooshang gelangte, setzte sie sich hin und
wollte ein Kränzlein winden … winden … la … la … l …
Auf einmal guckte ein liebes kleines Gesicht über den Spiegel des
Baches heraus. Das sah genau aus wie Heidis Gesicht, das sie vorhin
darin gesehen hatte, und hatte so goldene Härchen und so zwei
Augen voller Frühling.
»Heidi,« sagte das Kleine, das da über den Bachrand guckte, »paß
auf, jetzt kommt gleich der Elfenzug durch den Wald!«
Und schon ging es los. Es war eine sehr merkwürdige Geschichte;
denn es kam mitten auf der silbernen Straße des Bächleins daher:
hundert Elfen, oder tausend, oder eine Million – das wußte Heidi
nicht so genau. Aber es waren lauter Elfen in herrlichen bunten
Kleidchen. Hohe Stengel rosaroten Fingerhuts schwangen die ersten
und klingelten damit, daß die Luft wackelte. Dunkelrotes Löwenmaul
trugen die anderen und Mohnblumen, und dann kam ein schöner
junger Elfenjunge mit braunen Locken, der spielte auf einer
Hirtenflöte, wie sie jener Knabe beim Schneebruche geblasen hatte.
Danach marschierten sie alle im Takt und marschierten hinüber auf
die Waldwiese, die an dem Berghange lag. Viele winkten dem
kleinen Mädchen am anderen Ufer: »Heidi! Heidi, komm mit! Weißt
du denn nicht, daß Herr Rübezahl heute Hochzeit hält?«
»Ah,« sagte Heidi, »das trifft sich ja großartig! Natürlich komm'
ich da mit. Aber ein bißchen will ich noch warten und dem langen
Zuge zugucken – es sind ja eine Million.«
Es kamen immer mehr, und sie schritten im Takte der Pfeife. In
der Mitte des Zuges ging ein schönes weißes Pferd, und darauf saß
ein wunderschönes Jungfräulein. Das war die Braut. Sie hatte ein
seegrünes Schleierkleid an, und das Haar fiel ihr über die Schultern
wie gesponnenes Mondlicht.
Ein Mann führte das Pferd am Zügel über alle Fährnisse. Der hatte
einen so großen Bart, daß er ihm bis auf die Bergschuhe hinabfiel.
Und in der Hand hatte er einen mäßigen Fichtenstamm als
Spazierstock.
»Ist das der Herr Rübezahl?« fragte Heidi.
»Natürlich! Und du bist wohl gar ein richtiges Menschenkind, weil
du den König der Berge nicht kennst?«
»O,« sagte Heidi, »kennen tu ich ihn schon. Ich kenn' ihn sogar
sehr gut. Aber, nicht wahr – wenn man einem Bergkönig zum ersten
Male begegnet –«
»Komm mit, komm mit!« sagten die Elfen, und warfen ihr Blumen
herüber; die sprangen dem kleinen Mädchen an die Nase oder auf
die Stirn und waren kühl wie Morgentau.
Dann ging sie mit und ging richtig im Takte der Pfeife, die nun von
ganz fern über den Hügel herüberklang. Sie lief auch rasch einmal zu
dem weißen Pferd und warf der schönen jungen Elfenbraut ihre
Vergißmeinnicht in den Schoß. Da nickte die sehr lieblich und
königlich. Und Heidi machte ihr einen feinen Knicks.
Nach einer Weile kamen sie auf eine kleine Wiese im Walde. Dort
stand ein Himmelbett aus blauer Seide, und oben auf dem Himmel
saßen zwölf Engel und wackelten mit den Flügeln.
Auf einmal erklang eine mächtige Stimme. Nämlich: der Herr
Rübezahl hielt eine Rede …
Es war aber gar nicht der Herr Rübezahl, sondern es war der Herr
Professor Salzer, der hatte den gelben Krückstock in die Erde
gestochen und den grauen Stoffzylinder daraufgestülpt, wischte sich
den Schweiß von der Stirn und sagte: »Na, Heidi, was ist dir denn
eigentlich eingefallen?«
Und neben ihm standen Papa und Mama und eine große Menge
Menschen aus Johannisbad, dazu die halbe Kurmusik; denn als es
ruchbar geworden, daß Heidi weg wäre, die der Liebling aller war,
kriegten sie das Suchen und stürzten gegen den Wald, als wäre dort
ein Luftschiff niedergegangen und sie müßten es besehen.
Und nun tat Heidi die Augen auf und sagte: »O, jetzt seid ihr
gerade zu spät gekommen! Nämlich, der Herr Rübezahl hat heute
Hochzeit und eben ist der ganze Zug hier vorübergeschritten.«
Eigentlich wollte Mama ein bißchen schelten. Aber nun ging das
nicht. Es gab nur Küsse, und der Großpapa Salzer hatte ihr noch
etwas sehr Schönes mitgebracht.
Ein Glück war, daß Fräulein Sinsheimer die ganze Aufregung
verschlafen hatte.
E
inmal im August, als schon die Linden tief drinnen im Astwerk die
ersten goldenen Blätter aufsteckten, war der ganze
Freundeskreis wieder im Märchenhause versammelt. Auch die
Tante Veronika war mit aus Ibenheim gekommen. Sie hatten die
fröhliche Heimkehr gefeiert, und Herr Salzer war Festredner
gewesen. Zwei Stunden war ihm Frist gesteckt worden dafür – das
war lange. Aber es ist zu bedenken, daß er über die Erlebnisse
zweier Dichterkutschen und über Rübezahls Hochzeit und die schöne
Elfenbraut im seegrünen Schleierkleide und über ein Himmelbett mit
zwölf Engeln zu berichten hatte …
Es war schön. Es war atemberaubend schön. Es war so
springlebendig, daß sie meinten, sie machten die Reise in dieser
Nacht noch einmal. Aber nun waren es vier Dichterkutschen.
Als Herr Salzer fertig war, waren sie noch lange nicht müde, und
Gwendolin bat: »So, Jockele, und nun lies uns deinen Roman.«
»Das nächste Mal,« sagte er, »es ist ja gleich Mitternacht.«
Da schlugen die Uhren.
Im Verlag Ullstein & Co, Berlin, erschien ferner in der Sammlung der
Ullstein-Bücher von

Max Geißler
Jockele
und die Mädchen
Ein Buch der Jugend ist dieser erste Jockele-Roman
Geißlers und ein Buch der genialischen Lehrjahre,
durch die der schwarzlockige Jakobus Sinsheimer,
Kunstschüler in Weimar und Student in Jena, zum
Manne reift. Kluge und törichte, blonde und dunkle,
sanfte und ausgelassene Mädchen begleiten das
verhätschelte Naturkind. An die rauschende Ilm
versetzt der Roman, in den Weimarer Stadtpark,
ins Liszthaus, nach Tiefurt, Belvedere und
Ettersburg. Allen Reiz der Erinnerung macht
er lebendig, der für die deutsche Andacht
diese Stuben und Gärten umklingt, und der
traulich hinüberspielt in die Gegenwart
mit ihrem frohen, jungen
Menschenwesen.

In gleicher Ausstattung zu gleichem Preise

Verlag Ullstein & Co, Berlin

Ferner erschien von

Max Geißler
Der Stein der Weisen
Die letzten fünfundzwanzig Jahre deutschen Lebens umfaßt Max
Geißlers Roman, der ganz eingesponnen ist in den Frieden des
dunkelgrünen Bergwaldes. Durchs Wettertal fährt im Juli 1890 der
Doktor Valerius Degenhart aus Frankfurt a. Main, der Träumer, der
aus der zerrüttenden Berufsarbeit sich nach der großen Stille sehnt.
Im Wettertal läßt er, als seine unmoderne Reisekutsche verunglückt,
zu dauernder Rast sich nieder. Zwischen Himmel und Erde, vor einer
Natur von unsagbarer Schönheit baut er sich sein Haus, die
Streitburg. Wenig Äußeres geschieht in diesem Buch. Aber es hat
eine Melodie tiefinnerster Seligkeit, die im Herzen nachklingt wie der
Glanz endloser Sommertage, und die Andacht, mit der es vom
wahren Glück spricht, kommt aus dem besten Erbteil des deutschen
Wesens.

Preis 4.50 Mark

Von Max Geißler sind im Verlage von L. Staackmann

in Leipzig erschienen:
Das Tristanlied. Epos
Die Rose von Schottland. Epos
Gedichte. Volksausgabe
Die neuen Gedichte. Volksausgabe
Die Bernsteinhexe. Schauspiel
Die Herrgottswiege. Roman
Das hohe Licht. Roman
Soldatenballaden
Am Sonnenwirbel. Roman
Das Heidejahr. Roman
Das Moordorf. Roman
Das sechste Gebot. Roman
Der Erlkönig. Roman
Die Glocken von Robbensiel. Roman
Nach Rußland wollen wir reiten! Roman
Die Musikantenstadt. Roman
Hütten im Hochland. Roman
Inseln im Winde. Roman
Die goldenen Türme. Roman
Die Wacht in Polen. Roman
Das neue Märchenbuch
Briefe an meine Frau
Ullstein & Co
Berlin SW 68
Weitere Anmerkungen zur Transkription
Offensichtliche Fehler wurden stillschweigend korrigiert. Die Darstellung der Ellipsen
wurde vereinheitlicht. Die Originalschreibweise wurde beibehalten. Der Schmutztitel
wurde entfernt.
Korrekturen:
S. 22: übernächtigen → übermächtigen
diesem besinnlichen, etwas übermächtigen Kopfe nicht
S. 43: Harsager → Harfager
Ballade über Harald Harfager gesungen
S. 57: pflag → pflog
den Bergen sein verschwiegenes Dasein pflog
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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

In gleicher Ausstattung zu gleichem Preise

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