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Quinn, Mary Magee; Gable, Robert A.; Rutherford, Robert B.,Jr.; Nelson, C. Michael; Howell, Kenneth W.Addressing Student Problem Behavior: An IEP Team'sIntroduction to Functional Behavioral Assessment andBehavior Intervention Plans. Second Edition.American Institutes for Research, Washington, DC. Center forEffective Collaboration and Practice.Special Education Programs (ED/OSERS), Washington, DC.;Substance Abuse and Mental Health Services Administration(DHHS/PHS), Rockville, MD. Center for Mental HealthServices.1998-09-1827p.; For the first edition, see ED 415 636.H237T60005Web site: http://www.air.org/cecp/resources/problembehavior/main.htmGuides Non-Classroom (055) -- Information Analyses (070)MF01/PCO2 Plus Postage.Behavior Change; *Behavior Disorders; Behavior Problems;Behavioral Science Research; Educational Legislation;Elementary Secondary Education; Federal Legislation;*Individualized Education Programs; InterdisciplinaryApproach; Intervention; Legal Responsibility; ProgramDevelopment; *Student Evaluation; Student RightsAmendments; Behavioral Assessment; *Functional Assessment;*Individuals with Disabilities Educ Act Amend 1997

This paper provides guidelines for conducting a functionalbehavioral assessment and developing positive behavior intervention planswith students who have behavior disorders or other disabilities in thecontext of requirements of the 1997 Amendments to the Individuals withDisabilities Education Act (IDEA). After an introduction, rights andrequirements under IDEA are specified, as are the roles and responsibilitiesof the Individualized Education Program (IEP) team members. Next, the valueof a functional assessment of behavior is presented, including examples toillustrate underlying causes for "acting out" behavior. Techniques forconducting the functional behavioral assessment are then presented andinclude direct assessment, indirect assessment using an informant, dataanalysis, and development of an hypothesis statement. The following sectionoffers ideas for IEP teams to consider when developing behavior interventionplans. These include the formation of specific goals and objectives andspecification of activities to accomplish the goals and objectives foraddressing skill deficits, performance deficits, and both skill andperformance deficits. The final two sections consider ways to modify thelearning environment and to evaluate the behavior intervention plan. Attachedare a list of organizational resources and sample forms for conducting andanalyzing a behavioral assessment. (Contains 40 references.) (CR)

ADDRESSING STUDENT PROBLEM BEHAVIOR

AN IEP TEAM'S INTRODUCTION To FUNCTIONAL BEHAVIORAL ASSESSMENT ANDBEHAVIOR INTERVENTION PLANS

(2n1 edition)

September 16, 1998

Prepared By

.S. DEPARTMENT OF EDUCATION0 ice of Educational Research and Improvement

E CATIONAL RESOURCES INFORMATIONCENTER (ERIC)

This document has been reproduced asreceived from the person or organizationoriginating it.

0 Minor changes have been made toimprove reproduction quality.

Points of view or opinions stated in thisdocument do not necessarily representofficial OERI position or policy.

The Center for Effective Collaboration and Practice

Mary Magee Quinn, Ph.D., Deputy Director, Center for Effective Collaboration and PracticeRobert A. Gable, Ph.D., Research Fellow; Professor, Old Dominion University

Robert B. Rutherford, Jr., Ph.D., Research Fellow; Professor, Arizona State UniversityC. Michael Nelson, Ed.D., Research Fellow; Professor, University Of Kentucky

Kenneth W. Howell, Ph.D., Research Fellow; Professor, Western Washington University

This information is copyright free. Readers are encouraged to copy and share it, but please credit the Center forEffective Collaboration and Practice.

ST C WAVAILA

Note: This document was reviewed for consistency with the Individuals with Disabilities Education Act (P.L. 105-17) by theU.S. Office of Special Education Programs.

This document was produced under grant number H237T60005. The views expressed herein do not necessarilyreflect the views of the U.S. Department of Education or any other Federal agency and should not be regarded as such. TheCenter for Effective Collaboration and Practice: Improving Services for Children and Youth with Emotional and BehavioralProblems is funded under a cooperative agreement with the Office of Special Education Programs, Office of Special Educationand Rehabilitative Services, U.S. Department of Education, with additional support from the Child, Adolescent, and FamilyBranch, Center for Mental Health Services, Substance Abuse and Mental Health Administration, of the U.S. Department ofHealth and Human Services.

ACKNOWLEDGMENTS

The authors wish to thank the following people for their valuable assistance in the conceptionand production of this document:

Ed Amundson, M.Ed., National Education AssociationBeth Bader, M.Ed., American Federation of TeachersGeorge Bear, Ph.D., University of DelawareKevin Dwyer, M.A., National Association of School PsychologistsFrank Gresham, Ph.D., University of California, RiversideMarsha Griswold, M.S., Baltimore City Public SchoolsBeverley Johns, M.S., Council for Children with Behavioral DisordersDixie Jordan, PACER CenterDavid Osher, Ph.D., Center for Effective Collaboration and PracticeTrina Osher, M.A., Federation of Families for Children's Mental HealthTeny Scott, Ph.D., University of KentuckyGeorge Sugai, Ph.D., University of Oregon

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TABLE OF CONTENTS

Acknowledgments

Introduction

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IDEA Rights and Requirements 2

IEP Team Roles and Responsibilities 2

Why a Functional Assessment of Behavior is Important 2

Conducting a Functional Behavioral Assessment 4

Identifying the Problem Behavior 4

Possible Alternative Assessment Strategies 4Techniques for Conducting the Functional Behavioral Assessment 6

Indirect Assessment 6

Direct Assessment 7

Data Analysis 7

Hypothesis Statement 7

Individuals Assessing Behavior 8

Behavior Intervention Plans 8

Addressing Skill Deficits 9

Addressing Performance Deficits 1 1

Addressing Both Skill and Performance Deficits 1 1

Modifying the Learning Environment 1 2

Providing Supports 1 2

Evaluating the Behavior Intervention Plan 1 3

Summary I 3

Resources 14

Appendix A A-1

Appendix B B-1

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ADDRESSING STUDENT PROBLEM BEHAVIOR

AN IEP TEAM'S INTRODUCTION To FUNCTIONAL BEHAVIORAL ASSESSMENT AND

BEHAVIOR INTERVENTION PLANS

IDEA does not arbitrarily mandate change, but it supports an environment conducive to theeducation of all students, including those with disabilities.

Educators have long understood thatbehavior difficulties can keep students

from functioning productively in class. Manyschool personnel have been considering theeffects of behavior on learning for some time.The 1997 Amendments to the IDEA take thatconsideration one step further: the relationshipbetween behavior and learning must not onlybe considered but acted upon.

The requirements specified in the 1997Amendments to the IDEA that pertain tofunctional behavioral assessments and positivebehavioral intervention plans and supports asthey relate to the responsibilities of the IEPteam and to the IEP itself are the subject of thispaper. This is the first in a series of workingpapers on developing and implementingfunctional behavioral assessments and behaviorintervention plans. It is intended to be used byschool personnel and parents who participate ina student's IEP meetings. Future papers willbe designed to convey more detailedinformation on functional behavioralassessment and on positive behavioralintervention plans and supports.

In order to give readers a cursory backgroundin the topics addressed herein, the concept of afunctional behavioral assessment to determinethe underlying "functions" of a student'sproblem behaviors is described, as are theprocess and guidelines for conducting afunctional behavioral assessment. Next we

offer a review of behavior intervention plans,including a description of how to develop,implement, and evaluate various interventions.

For readers who are unfamiliar with theseprocedures, there is a sampling of resourcesavailable for further study. We use bothgeneral and technical terminology to assist thereader in understanding techniques and toprovide the vocabulary necessary to locatefurther information on the subject at hand.

This initial discussion is not intended to providea complete course of training, but to offer anoverview of some of the techniques involved.Further, we do not advocate one philosophicalbase over another. Rather, we promote acombination of techniques to addressbehavioral, cognitive, and affective functions ofa student's behavior and advocate thedevelopment of positive behavioralinterventions and supports that tap each ofthese areas as well. The authors believe thatthe individuals charged with the responsibilityof developing and conducting functionalbehavioral assessments and behaviorintervention plans should be afforded propertraining in these techniques and provided thesupports necessary to effectively carry out theirduties.

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IDEA RIGHTS AND REQUIREMENTS

T he 1997 Amendments to IDEA areexplicit in what they require of an IEP

team addressing behavioral problems ofchildren with disabilities:

* The team must explore the need forstrategies and support systems to addressany behavior that may impede the learningof the child with the disability or thelearning of his or her peers(614(d)(3)(B)(0);

In response to certain disciplinary actionsby school personnel, the IEP team must,within 10 days, meet to formulate afunctional behavioral assessment plan tocollect data for developing a behaviorintervention plan; or, if a behaviorintervention plan already exists, the teammust review and revise it (as necessary), toensure that it addresses the behavior uponwhich disciplinary action is predicated(615(k)(1)(B)); and

States shall address the needs of in-serviceand pre-service personnel (includingprofessionals and paraprofessionals whoprovide special education, generaleducation, related services, or earlyintervention services) as they relate todeveloping and implementing positiveintervention strategies (653(c) (3)(D)(vi)).

IEP TEAM ROLES ANDRESPONSIBILITIES

s schools explore educational options,many educators are being cast in

unfamiliar roles and are acquiring newresponsibilities. In the past, special educatorsprovided classroom instruction to students withdisabilities. More recently, theirresponsibilities, like those of their colleagues in

general education, have enlarged to includeprofessional collaboration to support theparticipation of students with disabilities in thegeneral education curriculum.

Under the reauthorized IDEA, there is anincreased emphasis upon not only teachingstudents with disabilities in the generaleducation curriculum, but assessing theirprogress by means of appropriate instrumentsand procedures. In addition, demand tocollaborate with all relevant educationpersonnel to resolve behavior problems thatmay interfere with academic progress hasincreased. As members of IEP teams, generaleducators play an ever increasing role incollaboratively developing comprehensivemanagement and instructional plans forstudents with disabilities.

WHY A FUNCTIONAL ASSESSMENT

OF BEHAVIOR IS IMPORTANT

lthough professionals in the field holda variety of philosophical beliefs, they

generally agee that there is no single cause forproblem behaviors. The following examplesillustrate some of the underlying causes for"acting-out" behavior:

Juan, a 16 year old who reads at a secondgrade level, feels embarrassed to be seenwith an elementary text and reacts bythrowing his reading book across the roomand using inappropriate language to informthe teacher that he does not intend tocomplete his homework.

Sumi, an eight year old who reads StephenKing novels for recreation, fmds herreading assignments boring and, therefore,shoves her book and workbook to the floorwhen the teacher comments on her lack ofprogress.

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Maurice, a 10 year old who fmdsmultiplication of fractions difficult,becomes frustrated and throws tantrumswhen asked to complete worksheetsrequiring him to multiply fractions; and

Keny, a 12 year old who has problemspaying attention, is so overstimulated bywhat she sees out of the window and hearsin the nearby reading group, she slams hertext shut and loudly declares that shecannot work.

A conclusion gleaned from these examples maybe that, although the topography (what thebehavior looks like or sounds like) of thebehaviors may be similar, in each case, the"causes," or functions, of the behaviors arevery different. Thus, focusing only on thetopography will usually yield little informationabout effective interventions. Identifying theunderlying cause(s) of a student's behavior,however, or, more specifically, what thestudent "gets" or "avoids" through thebehavior, can provide the IEP team with thediagnostic information necessary to developproactive instructional strategies (such aspositive behavioral interventions and supports)that are crafted to address behaviors thatinterfere with academic instruction.

To illustrate this point, again consider theacting-out behaviors previously described.Reactive procedures, such as suspending eachstudent as a punishment for acting-out, willonly address the symptoms of the problem, andwill not eliminate the embarrassment Juan feels,Sumi's boredom, the frustration that Maurice isexperiencing, or Keny's overstimulation.Therefore, each of these behaviors are likely tooccur again, regardless of punishment, unlessthe underlying causes are addressed.

Functional behavioral assessment is generallyconsidered to be an approach that incorporates

a variety of techniques and strategies todiagnose the causes and to identify likelyinterventions intended to address problembehaviors. In other words, functionalbehavioral assessment looks beyond the overttopography of the behavior, and focuses,instead, upon identifying biological, social,affective, and environmental factors thatinitiate, sustain, or end the behavior in question.This approach is important because it leads the

observer beyond the "symptom" (the behavior)to the student's underlying motivation toescape, "avoid," or "get" something (which is,to the functional analyst, the root of allbehavior). Research and experience havedemonstrated that behavior intervention plansstemming from the knowledge of why a studentmisbehaves (i.e., based on a functionalbehavioral assessment) are extremely useful inaddressing a wide range of problems.

The functions of behavior are not usuallyconsidered inappropriate. Rather, it is thebehavior itself that is judged appropriate orinappropriate. For example, getting highgrades and acting-out may serve the samefunction (i.e., getting attention from adults),yet, the behaviors that lead to good grades arejudged to be more appropriate than those thatmake up acting-out behavior. For example, ifthe IEP team determines through a functionalbehavioral assessment that a student is seekingattention by acting-out, the team can develop aplan to teach the student more appropriateways to gain attention, thereby filling thestudent's need for attention with an alternativebehavior that serves the same function as theinappropriate behavior.

By incorporating functional behavioralassessment into the evaluation IEP process, theIEP team can gain the information needed todevelop a plan or include strategies in the IEP,and IEP team members can develop a plan thatteaches and supports replacement behaviors,

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which serve the same function as the problembehavior, itself (e.g., teaching Maurice tocalmly tell the teacher when he feels frustrated,and to ask for assistance when he fmds a tasktoo difficult to accomplish). At the same time,strategies may be developed to decrease oreven eliminate opportunities for the student toengage in behavior that hinders positiveacademic results (e.g., making sure thatMaurice's assignments are at his instructionallevel).

CONDUCTING A FUNCTIONAL

BEHAVIORAL ASSESSMENT

T dentifying the underlying causes of1 behavior may take many fonns; and, whilethe Amendments to IDEA advise a functionalbehavioral assessment approach (which coulddetermine specific contributors to behavior),they do not require or suggest specifictechniques or strategies to use when assessingthat behavior. While there are a variety oftechniques available to conduct a functionalbehavioral assessment, as a general matter, thefirst step in the process is to define the behaviorin concrete terms. In the following section wewill discuss techniques to define behavior.

Identifying the Problem Behavior

Before a functional behavioral assessmentcan be implemented, it is necessary to

pinpoint the behavior causing learning ordiscipline problems, and to define that behaviorin concrete terms that are easy to communicateand simple to measure and record. Ifdescriptions of behaviors are vague (e.g., poorattitude), it is difficult to determine appropriateinterventions. Examples of concretedescriptions of problem behaviors are:

Problem Behavior Concrete Definition

Trish is aggressive. Trish hits other students duringrecess when she does not get herway.

Carlos is disruptive. Carlos makes irrelevant andinappropriate comments duringclass discussion.

Jan is hyperactive. Jan leaves her assigned area withoutpermission.

Jan completes only small portions ofher independent work.

Jan blurts out answers withoutraising her hand.

It may be necessary to carefully and objectivelyobserve the student's behavior in differentsettings and during different types of activities,and to conduct interviews with other schoolstaff and caregivers, in order to pinpoint thespecific characteristics of the behavior.

Once the problem behavior has been definedconcretely, the team can begin to devise a planfor conducting a functional behavioralassessment to determine functions of thebehavior. The following discussion can beused to guide teams in choosing the mosteffective techniques to determine the likelycauses of behavior.

POSSIBLE ALTERNATIVE ASSESSMENT

STRATEGIES

The use of a variety of assessmenttechniques should lead teams to better

understand student behavior. Each techniquecan, in effect, bring the team closer todeveloping a workable intervention plan.

A well developed assessment plan and aproperly executed functional behavioralassessment should identify the contextualfactors that contribute to behavior.Determining the specific contextual factors fora behavior is accomplished by collecting

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information on the various conditions underwhich a student is most and least likely to be asuccessful learner. That information, collectedboth indirectly and directly, allows schoolpersonnel to predict the circumstances underwhich the problem behavior is likely and notlikely to occur.

Multiple sources and methods are used for thiskind of assessment, as a single source ofinformation generally does not producesufficiently accurate information, especially ifthe problem behavior serves several functionsthat vary according to circumstance (e.g.,making inappropriate comments during lecturesmay serve to get peer attention in someinstances, while in other situations it may serveto avoid the possibility of being called on by theteacher).

It is important to understand, though, thatcontextual factors are more than the sum ofobservable behaviors, and include certainaffective and cognitive behaviors, as well. Inother words, the trigger, or antecedent for thebehavior, may not be something that anyoneelse can directly observe, and, therefore, mustbe identified using indirect measures. Forinstance, if the student acts out when given aworksheet, it may not be the worksheet thatcaused the acting-out, but the fact that thestudent does not know what is required andthus anticipates failure or ridicule. Informationof this type may be gleaned through adiscussion with the student.

Since problem behavior stems from a variety ofcauses, it is best to examine the behavior fromas many different angles as possible. Teams,for instance, should consider what the "pay-off' for engaging in either inappropriate orappropriate behavior is, or what the student"escapes," "avoids," or "gets" by engaging inthe behavior. This process should identifyworkable techniques for developing and

conducting functional behavioral assessmentsand developing behavior interventions. Whenconsidering problem behaviors, teams mightask the following questions.

Is the problem behavior linked to a skilldeficit?

Is there evidence to suggest that the studentdoes not know how to perform the skill and,therefore cannot? Students who lack theskills to perform expected tasks may exhibitbehaviors that help them avoid or escapethose tasks. If the team suspects that thestudent "can't" perform the skills, or has askill deficit, they could devise a functionalbehavioral assessment plan to determine theanswers to further questions, such as thefollowing:

Does the student understand the behavioralexpectations for the situation?

Does the student realize that he or she isengaging in unacceptable behavior, or hasthat behavior simply become a "habit"?

Is it within the student's power to controlthe behavior, or does he or she needsupport?

Does the student have the skills necessaryto perform expected, new behaviors?

Does the student have the skill, but, forsome reason, not the desire to modify his orher behavior?

Sometimes it may be that the student canperform a skill, but, for some reason, doesnot use it consistently (e.g., in particularsettings). This situation is often referred toas a "performance deficit." Students whocan, but do not perform certain tasks may beexperiencing consequences that affect theirperformance (e.g., their non-performance isrewarded by peer or teacher attention, or

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performance of the task is not sufficientlyrewarding). If the team suspects that theproblem is a result of a performance deficit,it may be helpful to devise an assessmentplan that addresses questions such as thefollowing:

Is it possible that the student is uncertainabout the appropriateness of the behavior(e.g., it is appropriate to clap loudly andyell during sporting events, yet thesebehaviors are often inappropriate whenplaying academic games in the classroom)?

Does the student find any value in engagingin appropriate behavior?

Is the behavior problem associated withcertain social or environmental conditions?

Is the student attempting to avoid a"low-interest" or demanding task?

What current rules, routines, orexpectations does the student considerirrelevant?

Addressing such questions will assist the IEPteam in determining the necessary componentsof the assessment plan, and ultimately will leadto more effective behavior intervention plans.Some techniques that could be consideredwhen developing a functional behavioralassessment plan are discussed in the followingsection.

Techniques for Conducting theFunctional Behavioral Assessment

T ndirect assessment. Indirect or informant1 assessment relies heavily upon the use of

structured interviews with students, teachers,and other adults who have direct responsibilityfor the students concerned. Individuals shouldstructure the interview so that it yieldsinformation regarding the questions discussedin the previous section, such as:

In what settings do you observe thebehavior?

Are there any settings where the behaviordoes not occur?

Who is present when the behavior occurs?

What activities or interactions take placejust prior to the behavior?

What usually happens immediately after thebehavior?

Can you think of a more acceptablebehavior that might replace this behavior?

Interviews with the student may be useful inidentifying how he or she perceived thesituation and what caused her or him to reactor act in the way they did. Examples ofquestions that one may ask include:

What were you thinking just before youthrew the textbook?

How did the assignment make you feel?

Can you tell me how Mr. Smith expectsyou to contribute to class lectures?

When you have a "temper tantrum" inclass, what usually happens afterward?

Commercially available student questionnaires,motivational scales, and checklists can also beused to structure indirect assessments ofbehavior. The district's school psychologist orother qualified personnel can be a valuablesource of information regarding the feasibilityof using these instruments.

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Direct assessment. Direct assessment involvesobserving and recording situational factorssurrounding a problem behavior (e.g.,antecedent and consequent events). Anevaluator may observe the behavior in thesetting that it is likely to occur, and record datausing an Antecedent-Behavior-Consequence(ABC) approach. (Appendix A shows twoexamples of an ABC recording sheet.)

The observer also may choose to use a matrixor scatter plot to chart the relationship betweenspecific instructional variables and studentresponses. (See Appendix B for examples.)These techniques also will be useful inidentifying possible environmental factors (e.g.,seating arrangements), activities (e.g.,independent work), or temporal factors (e.g.,mornings) that may influence the behavior.These tools can be developed specifically toaddress the type of variable in question, andcan be customized to analyze specific behaviorsand situations (e.g., increments of 5 minutes,30 minutes, 1 hour, or even a few days).Regardless of the tool, observations that occurconsistently across time and situations, and thatreflect both quantitative and qualitativemeasures of the behavior in question, arerecommended.

Data analysis. Once the team is satisfied thatenough data have been collected, the next stepis to compare and analyze the information.This analysis will help the team to determinewhether or not there are any patternsassociated with the behavior (e.g., wheneverTrish does not get her way, she reacts byhitting someone). If patterns cannot bedetermined, the team should review and revise(as necessary) the functional behavioralassessment plan to identify other methods forassessing behavior.

Hypothesis statement. Drawing uponinformation that emerges from the analysis,

school personnel can establish a hypothesisregarding the function of the behaviors inquestion. This hypothesis predicts the generalconditions under which the behavior is mostand least likely to occur (antecedents), as wellas the probable consequences that serve tomaintain it. For instance, should a teacherreport that Lucia calls out during instruction, afunctional behavioral assessment might revealthe function of the behavior is to gain attention(e.g., verbal approval of classmates), avoidinstruction (e.g., difficult assignment), seekexcitement (i.e., external stimulation), or bothto gain attention and avoid a low-interestsubject.

Only when the relevance of the behavior isknown is it possible to speculate about the truefunction of the behavior and establish anindividual behavior intervention plan. In otherwords, before any plan is set in motion, theteam needs to formulate a plausible explanation(hypothesis) for the student's behavior. It isthen desirable to manipulate various conditionsto verify the assumptions made by the teamregarding the function of the behavior. Forinstance, the team working with Lucia in theexample above may hypothesize that duringclass discussions, Lucia calls out to get peerattention. Thus, the teacher might makeaccommodations in the environment to ensurethat Lucia gets the peer attention she seeks as aconsequence of appropriate, rather thaninappropriate behaviors. If this manipulationchanges Lucia's behavior, the team can assumetheir hypothesis was correct; if Lucia'sbehavior remains unchanged following theenvironmental manipulation, a new hypothesisneeds to be formulated using data collectedduring the functional behavioral assessment.

Many products are available commercially toassess behaviors in order to determine theirfunction. Sources for more information abouttechniques, strategies, and tools for assessing

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behavior are presented in the last section of thisdiscussion.

INDIVIDUALS ASSESSING BEHAVIOR

persons responsible for conducting thefunctional behavioral assessment will vary

from state to state and possibly from district todistrict. Some behavioral assessmentprocedures, such as standardized tests, mayrequire an individual with specific training (e.g.,behavior specialist or school psychologist).With specialized training, experience, andsupport, however, many components of theassessment can be conducted by otherindividuals, such as special or general educationteachers, counselors, and administrators.Again, it is important to note that interventionsshould not be based upon one assessmentmeasure, alone, or upon data collected by onlyone observer.

BEHAVIOR INTERVENTION PLANS

fter collecting data on a student'sbehavior, and after developing a

hypothesis of the likely function of thatbehavior, a team develops (or revises) thestudent's behavior intervention plan orstrategies in the IEP. These may includepositive strategies, program or curricularmodifications, and supplementary aids andsupports required to address the disruptivebehaviors in question. It is helpful to use thedata collected during the functional behavioralassessment to develop the behaviorintervention plan or strategies and to determinethe discrepancy between the child's actual andexpected behavior.

The input of the general education teacher, asappropriate (i.e., if the student is, or may beparticipating in the regular educationenvironment), is especially crucial at this point.

He or she will be able to relay to the team notonly his or her behavioral expectations, but alsovaluable information about how the existingclassroom environment and/or generaleducation curriculum can be modified tosupport the student.

Intervention plans and strategies emphasizingskills students need in order to behave in amore appropriate manner, or plans providingmotivation to conform to required standards,will be more effective than plans that simplyserve to control behavior. Interventions basedupon control often fail to generalize (i.e.,continue to be used for long periods of time, inmany settings, and in a variety of situations)and many times they serve only to suppressbehavior resulting in a child manifestingunaddressed needs in alternative, inappropriateways. Positive plans for behavioralintervention, on the other hand, will addressboth the source of the problem and the problemitself.

IEP teams may want to consider the followingtechniques when designing behaviorintervention plans, strategies, and supports:

* Manipulate the antecedents and/orconsequences of the behavior;

Teach more acceptable replacementbehaviors that serve the same function asthe inappropriate behavior;

Implement changes in curriculum andinstructional strategies; and

Modify the physical environment

The following section describes some ideas IEPteams may consider when developing behaviorintervention plans and strategies.

ADDRESSING SKILL DEFICITS

An assessment might indicate the studenthas a skill deficit, and does not knowhow to perform desired skills. The

functional behavioral assessment may showthat, although ineffective, the child may engagein the inappropriate behavior to escape or avoida situation: (1) for which he or she lacks theappropriate skills; or (2) because she or helacks appropriate, alternative skills and trulybelieves this behavior is effective in gettingwhat he or she wants or needs. For example, achild may engage in physically violent behaviorbecause he or she believes violence is necessaryto efficiently end the confrontational situation,and may believe that these behaviors willeffectively accomplish his or her goals.However, when taught to use appropriateproblem-solving techniques, the student will bemore likely to approach potentially volatilesituations in a nonviolent manner. If this is thecase, the intervention may address that deficitby including, within the larger plan, adescription of how to teach the problem-solving skills needed to support the child.

If the student does not know what thebehavioral expectations are, the plan can beformulated to teach expectations, and wouldinclude the supports, aids, strategies, andmodifications necessary to accomplish thisinstruction, with expectations explained inconcrete terms. For example, if the expectationis "to listen to lectures," the intervention planmight include the following:

Goal: During classroom lectures, Jim willmake only relevant comments and ask onlyrelevant questions in 80 percent of theopportunities.Ob'ectives: Given a 50 minute, large group(i.e., more than 20 students) classroom lecture,Jim will ask one appropriate question andmake two relevant comments on each of 3

consecutive school days.

Activities to accomplish the goal andob'ectives:

The teacher will model examples and non-examples of situations when listening isimportant and assist Jim in identifying thecomponents of active listening (e.g., handsand feet still, eyes facing the speaker, quietlips, think about what is being said anddetermine if you need more information,think about how the information makes youfeel, and if necessary, make a comment orask a question);

Jim will list the situations in which activelistening skills are important and willdescribe the necessary behaviors in each ofthose situations;

Jim will participate in "role-plays" ofsituations in which active listening skills arenecessary;

Jim will practice active listening in each ofthe situations listed above and willreport the results to his teacher, counselor,or parent;

Jim will monitor the opportunity anddegree to which he actively listens duringlectures and will reinforce himself (e.g., "Idid a great job!"); and

Jim will identify and use active listeningskills in situations other than class lectures.

If the student does not realize that he or she isengaging in the behavior, (i.e., the student isreacting out of habit), the team may devise aplan to cue the child when she or he is soengaged. Such a cue could be private andunderstood only by the teacher and the student.If Mariah, for instance, impulsively talks out

during Ms. Bader's class discussions, Ms.Bader and Mariah may awee that Ms. Baderwill look directly at Mariah and slightly move

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her right hand in an upward motion to remindMariah to raise her hand. If Mariah does raiseher hand, Ms. Bader agrees to call on her.

Sometimes, for biological or other reasons, astudent is unable to control his or her behaviorwithout supports. If the IEP team believes thestudent needs medical services for diagnosticand evaluation purposes, an appropriatereferral can be made.

Should the student not know how to performthe expected behaviors, the intervention plancould include modifications and supports toteach the child the needed skills. Suchinsfruction may require teaching academic skillsas well as behavioral and cognitive skills, andmay require a team member to do a taskanalysis (i.e., break down a skill into itscomponent parts) of the individual behaviorsthat make up the skill. For example, if the skillis to "think through and solve social problems,"the individual skills may include:

Define the problem (What is the goal?What is the obstacle?);

List the possible solutions to the problem;

Determine the likely consequences of eachsolution;

Evaluate each solution to determine whichsolution has the best likelihood of solvingthe problem in the long term;

Pick the best solution;

Plan how to cany out the solution;

Cany out the solution; and

Evaluate the effectiveness of the solution(and decide where to go from there).

The behavior intervention plan, in the previouscase, would likely include methods to teach thenecessary skills to the child, and would providethe supports necessary to accomplish such

plans. Methods may include the followingcomponents:

Identify the steps necessary to solve socialproblems;

Recognize the steps to solve socialproblems when they are modeled by ateacher or a peer;

Participate in role-play situations requiringthe use of the social problem solving skills;and

Practice social problem solving in real-lifesituations.

A technique known as curricular integration isuseful in teaching skills to students, as thetechnique integrates positive strategies formodifying problem behavior into the existingclassroom curriculum, and is based upon thepremise that a skill is more likely to be learnedwhen taught in the context in which it is used.Teachers who incorporate behavioralinterventions into daily instruction generallystate that this technique has proven to beparticularly effective for teaching replacementbehaviors.

ADDRESSING PERFORMANCE DEFICITS

T f the functional behavioral assessment1 reveals that the student knows the skills

necessary to perform the behavior, but does notconsistently use them, the intervention planmay include techniques, strategies, andsupports designed to increase motivation toperform the skills.

If the assessment reveals that the student isengaging in the problem behavior because it ismore desirable (or reinforcing) than thealternative, appropriate behavior, theintervention plan could include techniques formaking the appropriate behavior more

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desirable. For instance, if the student makesrude comments in class in order to make herpeers laugh, the plan might include strategiesfor rewarding appropriate comments as well asteaching the student appropriate ways to gainpeer attention. Behavioral contracts or tokeneconomies and other interventions that includepeer and family support may be necessary inorder to change the behavior.

Sometimes a child does not perform thebehavior simply because he or she sees novalue in it. While the relevance of much ofwhat we expect students to learn in school isapparent to most children, sometimes(especially with older children) it is not. Forexample, if Sheran wants to be a hairdresserwhen she graduates, she may not see any valuein learning about the Battle of Waterloo.Therefore, the intervention plan may includestrategies to increase her motivation, such asdemonstrating to Sheran that she must passHistory in order to graduate and be acceptedinto the beauty school program at the localcommunity college.Another technique for working with studentswho lack intrinsic motivators is to provideextrinsic motivators. If the student cannot seeany intrinsic value in performing the expectedbehaviors, it may be necessary to, at leastinitially, reinforce the behaviors with some typeof extrinsic reward, such as food, activities,toys, tokens, or free time. Of course, extrinsicrewards should gradually be replaced withmore "naturally occurring" rewards, such asgood grades, approval from others, or thesheer pleasure that comes from success. Thisprocess of fading out, or gradually replacingextrinsic rewards with more natural or intrinsicrewards, may be facilitated by pairing theextrinsic reward with an intrinsic reward. Forexample, when rewarding David with popcornfor completing his homework, theparaprofessional could say, David, you havecompleted all of your homework this week, and

your class participation has increased becauseyou are better prepared. You must be veryproud of yourself for the hard work you havedone. In this way, David should eventuallybecome intrinsically rewarded by a sense ofpride in completing all of his assignments

ADDRESSING Bom SKILL ANDPERFORMANCE DEFICITS

S ome student problems are so significant1.3 they require a combination of

techniques and supports. For example, if thestudent finds it difficult to control his or heranger, she or he may need to be taught certainskills, including the following:

recognize the physical signs that heor she is becoming angry,

use relaxation skills,

apply problem-solving skills, and

practice communication skills;

and have the added support of:

the school counselor,

the school psychologist, and

curricular or environmentalmodifications.

In addition, the student may need to beprovided with external rewards forappropriately dealing with anger.

Many professionals and professionalorganizations agree that it is usually ineffectiveand often unethical to use aversive techniquesto control behaviors, except in very extremecases, such as situations in which:

the child's behavior severely endangers heror his safety or the safety of others,

every possible positive intervention has

been tried for an appropriate length of timeand found ineffective, and

the behavior of the student severely limitshis or her learning or socialization, or thatof others.

It is important for IEP teams to consider allpositive interventions before they considerpunishment as an option. Punishment oftenmakes behavior worse. Further, punishmentseeks to control the symptom of the problemand does not address the function of thebehavior.

MODIFYING THE LEARNING

ENVIRONMENT

T n addition to factors of skill andmotivation, the functional behavioral

assessment may reveal conditions within thelearning environment, itself, that mayprecipitate problem behavior. Factors that canserve as precursors to misbehavior range fromthe physical arrangement of the classroom orstudent seating assignment to academic tasksthat are "too demanding" or "too boring."Again, simple curricular or environmentalmodifications may be enough to eliminate suchproblems.

Providing Supports

Sometimes supports are necessary to helpstudents use appropriate behavior. Thestudent, for example, may benefit from workwith school personnel, such as counselors orschool psychologists. Other people who mayprovide sources of support include:

* Peers, who may provide academic orbehavioral support through tutoring orconflict-resolution activities, therebyfulfilling the student's need for attention inappropriate ways;

Families, who may provide supportthrough setting up a homework center inthe home and developing a homeworkschedule;

Teachers and paraprofessionals, who mayprovide both academic supports andcurricular modifications to address anddecrease a student's need to avoidacademically challenging situations; and

Language pathologists, who are able toincrease a child's expressive and receptivelanguage skills, thereby providing the childwith alternative ways to respond to anysituation.

In addition, a variety of adults and students inand around the school and community maycontribute support. An example of how oneLocal Education Agency helped a student usesome of his energy in an appropriate mannerinvolved allowing the student to work with theschool custodian, contingent upon hiscompleting his academic work each day.

Whatever the approach, the more proactiveand inclusive the behavior intervention planand the more closely it reflects the results of thefunctional behavioral assessment the morelikely that it will succeed. In brief, one'soptions for positive behavioral interventionsmay include:

Replacing problem behaviors withappropriate behaviors that serve the same(or similar) function as inappropriate ones;

Increasing rates of existing appropriatebehaviors;

Making changes to the environment thateliminate the possibility of engaging ininappropriate behavior; and

Providing the supports necessary for thechild to use the appropriate behaviors.

Care should be given to select a behavior that

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likely will be elicited by and reinforced in thenatural environment, for example, usingappropriate problem-solving skills on theplayground will help the student stay out of theprincipal's office.

EVALUATING THE BEHAVIOR

INTERVENTION PLAN

T t is good practice for IEP teams to include1 two evaluation procedures in anintervention plan: one procedure designed tomonitor the faithfulness with which themanagement plan is implemented, the otherdesigned to measure changes in behavior. If astudent already has a behavior interventionplan, the IEP team may elect to review the planand modify it, or they may determine that moreinformation is necessary and that a functionalbehavioral assessment is needed.The Amendments to the IDEA require the IEPteam "in the case of a child whose behaviorimpedes his or her learning or that of others,consider, when appropriate, strategies,including positive behavior interventions,strategies, and supports to address thatbehavior" (614(d)(3)(B)(i). To be meaningful,behavior intervention plans need to bereviewed at least annually and revised asappropriate. However, the plan may bereviewed and reevaluated whenever anymember of the child's IEP team feels that areview is necessary. Circumstances that maywarrant such a review include:

* The child has reached his or her behavioralgoals and objectives or benchmarks, and

new goals and objectives need to beestablished;

The "situation" has changed and thebehavioral interventions no longer addressthe current needs of the student;

Consideration of a change in placement;and

It is clear that the original behaviorintervention plan is not bringing aboutpositive changes in the student's behavior.

The point is to predicate all evaluation onstudent success.

SUMMARY

The practice of conducting functionalbehavioral assessments allows IEP

teams to develop more effective and efficientbehavior intervention plans. Emphasis should beon enlarging student capacity to profit frominstruction, which can be accomplished bydesigning pupil-specific interventions that notonly discourage inappropriate behaviors, butteach alternative behaviors, and provide thestudent with the opportunity and motivation toengage in that behavior. If done correctly, thenet result of behavioral assessments is thatschool personnel are better able to provide aneducational environment that addresses thelearning needs of all students.

RESOURCES

Because there are many resources available to help in the development and implementation of effectivebehavior intervention plans, the following are simply a sampling of possible sources of information:

Alberto, P.A., & Troutman, A.C. (1995). Applied behavior analysis for teachers (4th ed.).

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Englewood Cliffs, NJ: Merrill/Prentice-Hall.

Bullock, L.M., & Gable, R.A. (Eds.) (1997). Making collaboration work for children, youth,families, schools, and communities. Reston, VA: Council for Children with Behavioral Disorders &Chesapeake Institute.

Carr, E. G., Robinson, S., & Polumbo, L. W. (1990). The wrong issue: Aversive versusnonaversive treatment. The right issue: Functional versus nonfunctional treatment. In A. Repp & N.Singh (Eds.), Aversive and nonaversive treatment: The great debate in developmental disabilities (pp.361-380). De Kalb, IL: Sycamore Press.

Carr, E. G., & Durand, V. M. (1985). Reducing behavior problems through functionalcommunication training. Journal of Applied Behavior Analysis, 18, 111-126.

Cooper, L. J., Wacker, D. P., Thursby, D., Plagmann, L. A., Harding, J., Millard, T., & Derby,M. (1992). Analysis of the effects of task preferences, task demands, and adult attention on childbehavior in outpatient and classroom settings. Journal of Applied Behavior Analysis, 25, 823-840.

Donnellan, A. M., Mirenda, P. L., Mesaros, R. A., & Fassbender, L. L. (1984). Analyzing thecommunicative functions of aberrant behavior. Journal of The Association of Persons with SevereHandicaps, 9, 201-212.

Dunlap, G., Kern, L., dePerczel, M., Clarke, S., Wilson, D., Childs, K.E., White, R., & Falk,G. D. (1993). Functional analysis of classroom variables for students with emotional and behavioraldisorders. Behavioral Disorders, 18, 275-291.

Durand, V. M. (1990). Severe behavior problems: A functional communication trainingapproach. New York: Guilford.

Durand, V. M. (1993). Functional assessment and functional analysis. In M. D. Smith (Ed.).Behavior modification for exceptional children and youth. Boston: Andover Medical Publishers.

Durand, V. M., & Crimmins, D. B. (1988). Identifying the variables maintaining self-injuriousbehavior. Journal of Autism and Developmental Disorders, 18, 99-117.

Fuchs, D., Fuchs, L., & Bahr, M. (1990). Mainstream assistant teams: A scientific basis forthe art of consultation. Exceptional Children, 57, 128-139.

Gable, R. A. (1996). A critical analysis of functional assessment: Issues for researchers andpractitioners. Behavioral Disorders, 22, 36-40.

Gable, R. A., Sugai, G. M., Lewis, T. J., Nelson, J. R., Cheney, D., Safran, S. P., & Safran, J.S. (1997). Individual and systemic approaches to collaboration and consultation. Reston, VA:Council for Children with Behavioral Disorders.

Gresham, F.M. (1991). Whatever happened to functional analysis in behavioral consultation? Journalof Educational and Psychological Consultation, 2, 387-392.

Haynes, S. N., & 0"Brien, W. H. (1990) Functional analysis in behavior therapy. Clinical PsychologyReview, 10, 649-668.

Hendrickson, J. M., Gable, R. A., Novak, C., & Peck, S. (1996). Functional assessment for teachingacademics. Education and Treatment of Children, 19, 257-271.

Horner, R. H., & Day, H. M. (1991). The effects of response efficiency on functionally equivalentcompeting behaviors. Journal of Applied Behavior Analysis, 24, 719-732.

Horner, R. H., Sprague, J. R., 0"Brien, M., & Heathfield, L. T. (1990). The role of responseefficiency in the reduction of problem behaviors through functional equivalence training. Journal of theAssociation for Persons with Severe Handicaps, 15, 91-97.

Iwata, B. A., Vollmer, T. R., & Zarcone, J. R. (1990). The experimental (functional) analysis ofbehavior disorders: Methodology, applications, and limitations. In A. C. Repp & N. Singh (Eds.), Aversiveand nonaversive treatment: The great debate in developmental disabilities (pp. 301-330). DeKalb, IL:Sycamore Press.

Kaplan, J.S. (with Carter, J.) (1995). Beyond behavior modification: A cognitive-behavioral approachto behavior management in the school (3rd edition). Austin, TX: Pro-Ed.

Karsh, K. G., Repp, A. C., Dahlquist, C. M., & Munk, D. (1995). In vivo functionalassessment and multi-element interventions for problem behaviors of students with disabilities inclassroom settings. Journal of Behavioral Education, 5, 189-210.

Kerr, M.M., & Nelson, C.M. (1998). Strategies for managing behavior problems in theclassroom (3rd edition). New York: MacMillan.

Lawry, J. R., Storey, K., & Danko, C. D. (1993). Analyzing behavior problems in theclassroom: A case study of functional analysis. Intervention in the School and Clinic, 29, 96-100.

Lewis, T. J. (1997). Teaching students with behavioral difficulties. Reston, VA: Council forExceptional Children.

Lewis, T. J., Scott, T. M., & Sugai, G. M. (1994). The problem behavior questionnaire: Ateacher-based instrument to develop functional hypotheses of problem behavior in general educationclassrooms. Diagnostique, 19, 103-115.

Lewis, T. J., & Sugai, G. M. (1994). Functional assessment of problem behavior: A pilotinvestigation of the comparative and interactive effects of teacher and peer social attention on studentsin general education settings. School Psychology Quarterly, 11, 1-19.

Long, N., & Morse, W.C. (1996). Conflict in the classroom. Austin, TX: Pro-Ed.

Lovaas, 0. I., Freitag, G., Gold, V. J., & Kassorla, I. C. (1965). Experimental studies inchildhood schizophrenia: Analysis of self-destructive behavior. Journal of Experimental ChildPsychology, 2, 67-84.

Mathur, S. R., Quinn, M .M., & Rutherford, R.B. (1996). Teacher-mediated behaviormanagement strategies for children with emotional/behavioral disorders. Reston, VA: Council forChildren with Behavioral Disorders.

Pierce, W. D., & Epling, W. F. (1980). What happened to the analysis in applied behavioranalysis? The Behavior Analyst, 3, 1-10.

Reed, H., Thomas, E., Sprague, J. R., & Horner, R. H. (1997). Student guided functionalassessment interview: An analysis of student and teacher agreement. Journal of Behavioral Education,7, 33-49.

Rutherford, R.B., Quinn, M.M., & Mathur, S.R. (1996). Effective strategies for teachingappropriate behaviors to children with emotional/behavioral disorders. Reston, VA: Council forChildren with Behavioral Disorders.

Sasso, G. M., Reimers, T. M., Cooper, L. J., Wacker, D., & Berg, W. (1992). Use ofdescriptive and experimental analyses to identify the functional properties of aberrant behavior inschool settings. Journal of Applied Behavior Analysis, 25, 809-821.

Schmid, R. E., & Evans, W. H. (1997). Curriculum and instruction practices for students withemotional/behavioral disorders. Reston, VA: Council for Children with Behavioral Disorders.

Sugai, G. M., Bullis, M., & Cumblad, C. (1997). Skill development and support of educationalpersonnel. Journal of Emotional and Behavioral Disorders, 5, 55-64.

Sugai, G. M., & Lewis, T. J. (1996). Preferred and promising practices for social skillinstruction. Focus on Exceptional Children, 29, 1-16.

Sugai, G. M., & Tindal, G. A. (1993). Effective school consultation: An interactive approach.Pacific Grove, CA: Brooks/Cole.

Touchette, P. E., MacDonald, R. F., & Langer, S. N. (1985). A scatter plot for identifyingstimulus control of problem behavior. Journal of Applied Behavior Analysis, 18, 343-351.

Walker, H. M., Colvin, G., & Ramsey, E. (1995). Antisocial behavior in school: Strategies andbest practices. Pacific Grove, CA: Brooks/Cole.

Wood, F. M. (1994). May I ask you why you are hitting yourself'? Using oral self-reports inthe functional assessment of adolescents' behavior disorders. Preventing School Failure, 38, 16-20.

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Center for Effective Collaboration and Practice

American Institutes for Research1000 Thomas Jefferson Street, NWSuite 400Washington, DC 20007Toll free: (888) 457-1551Local: (202) 944-5400E-mail: center@air-dc.orgWeb site: http://www.air-dc.org/cecp/cecp.html

Council for Exceptional Children

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Institute on Violence and Destructive Behavior

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National Information Center for Children and Youth with Disabilities

Academy for Educational DevelopmentP.O. Box 1492Washington, DC 20013-1492Toll-free: (800) 695-0285Local: (202) 884-8200E-mail: nichcy@aed.orgWeb site: http://nichcy.org/

Office of Special Education Programs

U.S. Department of EducationMary E. Switzer Building330 C Street, SWWashington, DC 20202Toll-Free: (800)872-5327Local: (202) 401-2000Web site: http://www.ed.gov/offices/OSERS/OSEP/index.html

OSEP's Technical Assistance and Dissemination Network

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ABC OBSERVATION FORM

Student Name: Observation Date:

Observer: Time:

Activity: Class Period:

Behavior:

ANTECEDENT BEHAVIOR CONSEQUENCE

A- 1

24Appendix A

ABC OBSERVATION FORM

Student: Observer:

Date: Time: Activity:

Context of Incident:

Antecedent:

Behavior:

Consequence:

Comments/Other Observations:

A-2

2 5

Appendix A

SCATTER PLOT ASSESSMENT

Student Name: Starting Date:

0 socially engaged Z low rates of social engagement I. not socially engaged

Observer:

9:00

5/1 5/2 5/3 5/4 5/5 5/8 5/9 5/10 5/11 5/12

9:05

9:10

9:15

9:20

9:25

9:30

9:35

9:40

9:45

9:50

9:55

10:00

B- 1

2 6Appendix B

FUNCTIONAL BEHAVIORAL ASSESSMENT MATRIX

Observed Behaviors

Off-task

Out-of-seat

Talk-out

Non-compliant

Other

Code: EI = no behavior

Z = low rates of behavior. = persistent behavior

B-2 27 Appendix B

[:1

'yr

U.S. Department of EducationOffice of Educational Research and Improvement (OERI)

National Library of Education (NLE)Educational Resources Information Center (ERIC)

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