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AUTHOR Sugai, George; Horner, Robert H.; Dunlap, Glen; Hieneman,Meme; Lewis, Timothy J.; Nelson, C. Michael; Scott,Terrance; Liaupsin, Carl; Sailor, Wayne; Turnbull, Ann P.;Turnbull, H. Rutherford, III; Wickham, Donna; Ruef, Michael;Wilcox, Brennan

TITLE Applying Positive Behavioral Support and FunctionalBehavioral Assessment in Schools. Technical Assistance Guide1, Version 1.4.3.

INSTITUTION Center on Positive Behavioral Interventions and Support(OSEP), Washington, DC.

SPONS AGENCY Special Education Programs (ED/OSERS), Washington, DC.;Office of Elementary and Secondary Education (ED),Washington, DC. Safe and Drug Free Schools Program.

PUB DATE 1999-08-28NOTE 24p.

CONTRACT H326S980003PUB TYPE Reports - Descriptive (141)EDRS PRICE MF01/PC01 Plus Postage.DESCRIPTORS Behavior Change; *Behavior Disorders; *Behavior

Modification; Behavior Problems; *Change Strategies; DataCollection; Educational Environment; Educational Planning;Elementary Secondary Education; Evaluation Methods;Individualized Education Programs; *Positive Reinforcement;*Program Implementation; Student Evaluation

IDENTIFIERS *Functional Behavioral Assessment; *Positive BehavioralSupport

ABSTRACTThis paper discusses how educators can apply positive

behavioral support (PBS) to students with and without disabilities andconduct functional behavioral assessments (FBAs). It begins by describing thechallenges that educators face in educating an increasingly heterogeneouspopulation of students, including students with external and internal problembehaviors. The paper next discusses the definitions and features of PBS inschools and the contributions of behavioral science, practical interventions,social values, and a systems perspective. The four change elements thatcharacterize PBS are described and include change of systems, change ofenvironments, change of student and adult behaviors, and change inappreciation of appropriate behavior. The second section provides an overviewof FBAs, including definitions, outcomes and defining features. Steps of theFBA and behavior support planning process are described and include: (1)

collect information regarding conditions under which problem behavior is andis not observed and more appropriate behavior is required; (2) developtestable hypotheses; (3) collect direct observation information; (4) designbehavior support plans; (5) develop implementation scripts; and (6) collectinformation effectiveness and efficiency of behavior support plan andredesign based on evaluation information. (Contains 100 references.) (CR)

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Positive Behavioral Support - 1

Technical Assistance Guide 1 Version 1.4.3 (8/28/99)

Applying Positive Behavioral Support

and Functional Behavioral

Assessment in Schools

OSEP Center on Positive Behavioral Interventions and Support'

U.S. DEPARTMENT OF EDUCATIONNATIONAL INSTITUTE OF EDUCATION

EDUCATIONAL RESOURCES INFORMATIONCENTER (ERIC)

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

o Minor changes have been made to improvereproduction quality.

Points of view or opinions stated in this docu-ment do not necessarily represent official NIEposition or policy.

EAsork

U.S. Office of SpecialMgaliratt Pirogttms

1 The Center is supported by a grant from the Office of Special Education Programs, withadditional funding from the Safe and Drug Free Schools Program, US Department of Education(H326S980003). Opinions expressed herein are those of the authors and do not necessarilyreflect the position of the US Department of Education, and such endorsements should not beinferred.

2BEST COPY AVAILABLE

Positive Behavioral Support 2

OSEP Center on Positive Behavioral Interventions and Supports

George Sugai and Robert H. Horner

University of Oregon

Glen Dunlap and Meme Hieneman

University of South Florida

Timothy J. Lewis

University of Missouri

C. Michael Nelson, Terrance Scott, and Carl Liaupsin

University of Kentucky

Wayne Sailor, Ann P. Turnbull, H. Rutherford Turnbull, Ill, Donna Wickham,Michael Ruef, and Brennan Wilcox

University of Kansas

3


Applying Positive Behavioral Support andFunctional

Behavioral Assessment in Schools

Introduction

On June 4, 1997, amendments tothe Individuals with Disabilities EducationAct (IDEA) became law (P.L. 105-17). Theseamendments introduced a number of newconcepts, two of which are particularlyimportant to the education of children whosebehaviors violate school codes of conductand/or are outside personal or interpersonalnorms of acceptable social behavior: (a)positive behavioral support (PBS) and (b)functional behavioral assessment (FBA).Section 614 (d)(3)(B)(i) of P.L. 105-17 statesthat "in the case of a child whose behaviorimpedes his or her learning or that of others,the child's IEP team must consider, whenappropriate, strategies, including positivebehavioral intervention strategies andsupports, to address that behavior." Section615 (k)(1)(B)(i) of the law states, "if the localeducational agency did not conduct afunctional behavioral assessment andimplement a behavioral intervention plan forsuch child before the behavior that resultedin the suspension described insubparagraph (A), the agency shall convenean IEP meeting to develop an assessmentplan to address that behavior." In addition, "ifthe child already has a behavioralintervention plan, the IEP Team shall reviewthe plan and modify it, as necessary, toaddress the behavior" [Section615(k)(1)(B)(ii)]. (FBA and BIP are notrequired in all cases of discipline but,instead, are required only in some clearlyspecified circumstances. For moreinformation on these matters, refer toTechnical Assistance Guideline #2.)

Positive behavioral support and FBAare not new. However, in the context of

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IDEA, they represent an important effort toimprove the quality of behavioralinterventions and behavioral supportplanning. As schools organize to meet theserequirements and to build their capacity tomeet the behavioral needs of all students,especially students with disabilities, attentionmust be given to the definitions, features,and uses of PBS and FBA. The purpose ofthis paper is to describe what is meant by"PBS" and "FBA."

Context

Schools are important environmentsin which children, families, educators, andcommunity members have opportunities tolearn, teach, and grow. For nearly 180 dayseach year and six hours each day,educators strive to provide students learningenvironments that are stable, positive, andpredictable. These environments have thepotential to provide positive adult and peerrole models, multiple and regularopportunities to experience academic andsocial success, and social exchanges thatfoster enduring peer and adult relationships.

Despite these positive attributes,teachers, students, families, and communitymembers face significant contemporarychallenges (Figure 1). Every year schoolsare being asked to do more with fewerresources. New initiatives to improveliteracy, enhance character, accommodaterapidly advancing technologies, andfacilitate school-to-work transitions areadded to the educator's workday. Schoolsare being asked to achieve new and moreresults, yet seldom are allowed to ceasework on the growing list of initiatives.


Impact of Challenges

A suburban high school with 1400 students reported over 2000 office referrals fromSeptember to February of one school year.

An urban middle school with 600 students reported over 2000 discipline referrals to the officefrom September to May.

4 A rural middle school with 530 students reported over 2600 office referrals. 304 students hadat least one referral, 136 students had at least 5 referrals, 34 students had more than 20referrals, and one student had 87 office referrals (Taylor-Greene et al., 1997).

In one state, expulsions increased from 426 to 2088 and suspensions went from 53,374 to66,914 over a four year period (Juvenile Justice Fact Sheet).

In another state, expulsions increased form 855 to 1180 between the 1994-95 and 1995-96school year (a 200% increase from 1991-92 school year) (Juvenile Justice Fact Sheet).

Being suspended or expelled school is reported by students is one of the top three school-related reasons for leaving school (National Association of Child Advocates, 1998).

In one state, 10.7% of students who had been suspended or expelled also were found in thestate's Department of Juvenile Justice Database; 5.4% of suspended students were arrestedwhile on suspension; and 18.7% were arrested while on expulsion (National Association ofChild Advocates, 1998).

4. 36% of general public school parents fear for the physical safety of their oldest child atschool, and 31% fear for the physical safety of their oldest child while playing in theirneighborhood (Gallup, Elam, & Rose, 1998).

4 The general public rated fighting/violence/gangs, lack of discipline, lack of funding, and use ofdrugs/dope as the top four biggest problems facing local schools. These same four havebeen in the top 4 for over 15 years (Gallup, Elam, & Rose, 1998).

Figure 1 Impact of Changes

Educators also are being asked toeducate an increasingly heterogeneouspopulation of students. An increasingnumber of students in our schools haveEnglish as a second language, limited familysupports, significant learning and/orbehavioral problems, families who facefinancial barriers, and a great need formental health, social welfare, medical, andvocational assistance (Knitzer, 1993;Knitzer, Steinberg, & Fleisch, 1990; Stevens& Price, 1992). Although most attention hasfocused on students with externalizing

5

problem behavior (e.g., aggressive,antisocial, destructive), students withinternalizing problem behavior (e.g., socialwithdrawal, depression) also represent animportant concern of families, schools, andcommunities (Kauffman, 1997).

In addition, the challengesassociated with educating students withsevere problem behavior are increasing(Biglan, 1995; Kauffman, 1997; Sprague,Sugai, & Walker, 1998; Sugai & Horner,1994; Walker, Colvin, & Ramsey, 1995).Although these students represent only 1 to5% of a school enrollment, often they can

account for more than 50% of the behavioralincidents handled by office personnel, andconsume significant amounts of educatorand administrator time (Taylor-Greene et al.,1997; Sugai, Sprague, Homer, & Walker, inpress). Many of these students requirecomprehensive behavioral supports thatinvolve family, school, and communityparticipation (Eber, 1996; Eber & Nelson,1997; Epstein et al., 1993; Walker et al.,1995; Walker et al., 1996).

Many schools lack the capacity toidentify, adopt, and sustain policies,practices and systems that effectively andefficiently meet the needs of all students(Mayer, 1995; Sugai & Homer, 1994, inpress; Taylor-Greene et al., 1997; Walker etal., 1996). Schools often rely on outsidebehavioral expertise because localpersonnel lack specialized skills to educatestudents with significant problem behaviors.School morale is often low because on-going staff support is limited. Although manystudents have significant social skill needs,social skill instruction is not a conspicuousand systemic component of the school-widecurriculum. Behavioral interventions are notbased on information obtained fromassessments. In general, systems for theidentification, adoption, and sustained use ofresearch-validated practices are lacking.

In sum, the challenges facingeducators are significant and persistent. Ifnot addressed, their impact on students,school personnel, families, and communitymembers can be dramatic. However, theproblem is not that schools lack proceduresand practices to address these challenges.Procedures and practices have beendefined and growing over the past 30 years(Mayer, 1995; Peacock Hill Working Group,1992; Sugai, 1998; Walker, 1995; Walker etal., 1998). The greater problem has beenthat we have been unable to create andsustain the "contextual fit" between what ourprocedures and practices and the featuresof the environments (e.g., classroom,workplace, home, neighborhood,playground) in which the student displaysproblem behavior (Albin, Lucyshyn, Horner,& Flannery, 1996). The systemic solution isto create effective "host environments" thatsupport the use of preferred and effectivepractices (Sugai & Homer, 1994; in press;

6


Zins & Ponti, 1990). Effective hostenvironments have policies (e.g., proactivediscipline handbooks, proceduralhandbooks), structures (e.g., behavioralsupport teams), and routines (e.g.,opportunities for students to learn expectedbehavior, staff development, data-baseddecision making) that promote theidentification, adoption, implementation, andmonitoring of research-validated practices.

As a society, we are looking toschools to be or become settings where ourchildren learn the skills for successfuladulthood (e.g., IDEA, Goals 200, ImprovingAmerica's Schools Act) in the context of anincreasingly heterogeneous general studentbody and students with intense patterns ofchronic problem behavior. The growingexpectation is that schools will deliversocially acceptable, effective, and efficientinterventions to ensure safe, productiveenvironments where norm-violating behavioris minimized and prosocial behavior ispromoted. Positive behavioral support andFBA represent important efforts towardachieving these goals.

Increasingly, efforts to establishschool-linked service arrangements forchildren and families are appearing aroundthe country (Sailor, 1996). These modelshave been tested and described innumerous schools (Adelman & Taylor, 1997;Dryfoos, 1997; Kagan, Goffin, Golub, &Pritchard, 1996; Schorr, 1997). In Kentucky,for example, efforts have been made toestablish school-linked services in thecontext of state-wide school reform (Mack,Nelson, & Sanders, 1998; Kearns, Kleinert,Farmer, War lick, Lewis, & Williams, in press;Kleinert, Kearns, & Kennedy, in press). Morerecently, these school, family, andcommunity partnerships have beendescribed under the "community schools"rubric (Benson & Harkavy, 1996; Lawson &Briar-Lawson, 1998).

These comprehensive systems-change initiatives are designed to create aseamless web of supports and services that"wrap around" children and families and tobring an end to the current fragmentationand categorical separation of school agencydirected programs. These systems-changeefforts create a gateway through which to

integrate PBS methods into the culture ofthe school and to extend effective andcoordinated participation in the behavioralsupport plan to family members andcommunity agency personnel (Sailor, 1996;in press).

Definition and Features of PositiveBehavioral Support in Schools

Optimizing the capacity of schoolsto address school-wide, classroom, andindividual problem behavior is possible inthe face of current challenges, but only ifworking policies, structures, and routinesemphasize the identification, adoption, andsustained use of research-validatedpractices. In recent years, PBS has beenemerging as an approach to enable schoolsto define and operationalize these structuresand procedures. New journals (e.g., Journalof Positive Behavioral Intervention),technical assistance centers (e.g., BeachCenter, Center on Positive BehavioralInterventions and Supports), and personnelpreparation programs have established PBSas the focus of their purpose and activities.

Definition

Positive behavioral support is ageneral term that refers to the application ofpositive behavioral interventions andsystems to achieve socially importantbehavior change. PBS was developedinitially as an alternative to aversiveinterventions used with students withsignificant disabilities who engaged inextreme forms of self-injury and aggression(Durand & Carr, 1985; Meyer & Evans,1989). More recently, the technology hasbeen applied successfully with a wide rangeof students, in a wide range of contexts(Carr et al., in press; Horner, Albin, &

7


Sprague, 19XX), and extended from anintervention approach for individual studentsto an intervention approach for entireschools (Colvin, Sugai, Good, & Lee, 1996;Colvin, Kame'enui & Sugai, 1993; Lewis,Colvin, & Sugai, in press; Lewis, Sugai &Colvin, 1998; Taylor-Greene, et al., 1997;Todd, Homer, Sugai & Sprague, in press).

Positive behavioral support is not anew intervention package, nor a new theoryof behavior, but an application of abehaviorally-based systems approach toenhancing the capacity of schools, families,and communities to design effectiveenvironments that improve the fit or linkbetween research-validated practices andthe environments in which teaching andlearning occurs. Attention is focused oncreating and sustaining school environmentsthat improve lifestyle results (personal,health, social, family, work, recreation, etc.)for all children and youth by making problembehavior less effective, efficient, andrelevant, and desired behavior morefunctional. In addition, the use of culturallyappropriate interventions is emphasized.Haring and De Vault (1996) indicate thatPBS is comprised of (a) "interventions thatconsider the contexts within which thebehavior occurs," (b) "interventions thataddress the functionality of the problembehavior," (c) "interventions that can bejustified by the outcomes," and (d)"outcomes that are acceptable to theindividual, the family, and the supportivecommunity" (p. 116).

Features

At the core, PBS is the integration of(a) behavioral science, (b) practicalinterventions, (c) social values, and (d) asystems perspective (Figure 2).


Behavioral Science Practical Interventions Lifestyle Outcomes Systems Perspective

4. Human behavior isaffected bybehavioral, bio-behavioral, social,and physicalenvironmental

4. Functionalbehavioralassessments areused to developbehavior supportplans.

4. Behavior changemust be sociallysignificant,comprehensive,durable, & relevant.

4. The quality & durability ofsupports are related directlyto the level of supportprovided by the hostenvironment.

factors. 4. The goal of PBS is 4. The implementation of4. Interventions enhancement of practices and decisions are

4. Much of humanbehavior is

emphasizeenvironmental

living and learningoptions.

policy-driven.

associated with redesign, 4. Emphasis is placed onunintentionallearningopportunities.

curriculumredesign, &removing rewards

4. PBS procedures aresocially and culturallyappropriate.

prevention & the sustaineduse of effective practices.

that inadvertently Applications occur in s A team-based approach to4. Human behavior is

learned and can bemaintain problembehavior.

least restrictivenatural settings.

problem solving is used.

changed. 4. Active administrative4. Teaching is a

central behavior4. The fit between

procedures andinvolvement is emphasized.

4.

change tool.

Research-validated practicesare emphasized.

values of students,families, educatorsmust be contextuallyappropriate.

4. Multi-systems (district,school-wide, nonclassroom,classroom, individual student,family, community) areconsidered.

4 Non-aversive4. Intervention

decisions aredata-based.

interventions (nopain, tissue damage,or humiliation) areused.

* A continuum of behaviorsupports is emphasized.

Figure 2 Foundations and Features of Positive Behavioral Support

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Behavioral science. An existingscience of human behavior links thebehavioral, cognitive, bio-physical,developmental, and physical-environmentalfactors that influence how a person behaves(Baer, Wolf, & Risley, 1968; Bijou & Baer,1978; Schwartz, 1989; Wolery, Bailey, &Sugai, 1988). Of particular interest arefactors that affect the development anddurability of disruptive and dangerousbehaviors (Biglan, 1995; Kauffman, 1997;Mayer, 1995; Patterson, Reid, & Dishion,1992; Walker et al., 1995). To a greatextent, when these behaviors are observedin our schools, they can be traced tounintentional behavioral student, peer,and/or teacher exchanges (Gunter, Denny,Jack, Shores, & Nelson, 1993; Sasso, Peck,Garrison-Harrell, 1998; Shores, Gunter, &Jack, 1993; Shores, Jack, Gunter, Ellis,DeBriere, & Wehby, 1993).

Although learning and teachingprocesses are complex and continuous andsome behavior initially is not learned (e.g.,bio-behavioral), key messages from thisscience are that much of human behavior islearned, comes under the control ofenvironmental factors, and can be changed.The strength of the science is that problembehaviors become more understandable,and as our understanding grows, so doesour ability to teach more socially appropriateand functional behavior. The PBS approachis founded on this science of humanbehavior. Different procedures andstrategies are applied at different levels, butthe fundamental principles of behavior arethe same.

Practical interventions. Thescience of human behavior has led to thedevelopment of practical strategies forpreventing and reducing problem behavior(e.g., Alberto & Troutman, 1999; Cooper,Heron, & Heward, 1987; Kerr & Nelson,1998; Koegel, Koegel, & Dunlap, 1996;Reich le & Wacker, 1993; Wolery, Bailey, &Sugai, 1988). Although implementationdetails vary across age groups, contexts,and behavior, PBS interventions havecommon features. Foremost among thesefeatures is the application of FBA, butequally important are emphases onenvironmental redesign (changing aspectsof the setting), curriculum redesign (teaching

9


new skills), modification of behavior(teaching and changing student and adultbehavior), and removing rewards thatmaintain problem behaviors (Carr et al.,1994; Luiselli & Cameron, 1998; O'Neill etal., 1997).

Positive behavioral supportprocedures emphasize assessment prior tointervention, manipulation of antecedentconditions to reduce or prevent thelikelihood that a problem behavior will occur,development of new social andcommunication skills that make problembehaviors irrelevant, and careful redesign ofconsequences to eliminate factors thatmaintain problem behaviors and toencourage more acceptable replacementsocial skills and behaviors. Positivebehavioral support is an approach thatemphasizes teaching as a central behaviorchange tool, and focuses on replacingcoercion with environmental redesign toachieve durable and meaningful change inthe behavior of students. As such, attentionis focused on adjusting adult behavior (e.g.,routines, responses, instructional routines)and improving learning environments (e.g.,curricular accommodations, socialnetworks).

Educators, parents, and communityagents must "work smarter" (Kameenui &Carnine, 1998) by using time more efficientlyand strategically selecting instructional andbehavioral strategies for which clearevidence of their effectiveness exists.Working smarter means using what worksfor all students, not just those with learningand behavioral difficulties (Delpit, 1995). ThePBS approach emphasizes theidentification, adoption, and sustained use ofpractices that have been research-validated.For students with serious antisocialbehaviors, a number of recent meta-analyses and descriptive literature reviewssupport the use of strategies that can beapplied by educators in schoolenvironments, especially, (a) contextually-targeted social skills instruction, (b)academic and curricular restructuring, and(c) behaviorally-based interventions(Gottfredson & Gottfredson, 1996; Kavale,Forness, 1999; Lipsey, 1991, 1992; Lipsey &Wilson, 1993; Tolan & Guerra, 1994). Othermore specific research-validated practices

include FBAs, direct instruction, and otherapplied behavior analytic strategies (Carr etal., in press).

Finally, the PBS approachemphasizes the use of data collection andanalysis to inform decision making (e.g.,direct behavioral observations, curriculum-based measurement). A variety of datasources (e.g., office discipline referrals,attendance and tardy reports, and academicprogress) are collected through a range ofmethods (e.g., archival review, interviews,direct observations) and from multiplesources (i.e., students, family members,educators, community members). In additionto behavioral factors, assessments considercognitive, bio-physical, developmental, andphysical-environmental factors to assist inunderstanding problem behavior and inguiding the development of comprehensivebehavioral support plans. Collectively, thesedata can be used to determine the student'scurrent level of functioning, the impact of theintervention on problem behavior, and/orimprovements in other lifestyle results (e.g.,family, work, recreation). With on-going datacollection, intervention and instructionalmodifications can be made in a timelymanner.

Social values. Positive behavioralsupport emphasizes consideration of socialvalues in both the results expected frombehavioral interventions and the strategiesemployed in delivering the interventions. Acentral PBS tenet is that behavior changeneeds to be socially significant. Behaviorchange should be (a) comprehensive in thatall relevant parts of a student's day (before,during, and after school) and importantsocial contexts (home, school,neighborhood, and community) are affected,(b) durable in that the change lasts for longtime periods, and (c) relevant in that thereduction of problem behaviors andincreases in prosocial behaviors affect livingand learning opportunities (academic,family, social, work). The goal of PBS ismore than the control of problem behavior; italso includes the enhancement of the livingand learning options available to the studentand to his or her peers and family (Risley,1996; Turnbull & Turnbull, 1996).

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Social values are also important indefining acceptable types of interventionprocedures. Positive behavioral supportemphasizes the importance of proceduresthat are socially and culturally appropriate.The contextual fit between interventionstrategies and the values of families,teachers, schools, support personnel, andcommunity agency personnel may affect thequality and durability of support efforts(Albin, 1998; Sailor, 1996). No interventionshould cause pain, tissue damage, orhumiliation to children and their families.Finally, careful consideration is given tolifestyle outcomes that go beyond simplebehavior reduction and enhancement. Thedevelopment of behavioral support plansand the evaluation of their effects considerthe student's current and future quality of lifein all settings and circumstances. Koegel,Koegel, and Dunlap (1996, p. xiv) add that"interventions should strive to enhance aperson's competencies and access todesirable environments, socialcircumstances, and activities" and "allpeople should be treated with respect anddignity and that interventions must thereforerefrain from interactions that are degrading,humiliating, or pain inducing."

Systems impact. PBS is ofparticular importance for schools given theemphasis on behavioral "systems" as wellas individual children. A systemsperspective provides support for theadoption and sustained use of effectiveschool practices (Sugai & Horner, 1994, inpress). Without a systems approach,identification of practices is limited,adoptions are incomplete, and attention toschool initiatives to address discipline isepisodic and short term (e.g., 18-24 months)(Sugai & Homer, in press; Zins & Ponti,1990).

PBS implementations considermultiple contexts: community, family, district,school, classroom, nonclassroom (e.g.,cafeteria, hallways, bus, playground, parkinglot), and individual. Efforts are policy-drivento ensure accountability, maximum positiveresults, participation in and progress throughthe general curriculum, and effective andefficient communications. In addition, aproactive (positive and preventative)perspective is maintained along three levels:

(a) PRIMARY: reducing the number of newcases of problem behavior, (b)SECONDARY: reducing the number ofcurrent cases of problem behavior, and (c)TERTIARY: reducing the intensity andcomplexity of current cases (Walker et al.,1996). A team-based approach is applied toprogram assessment, development, andproblem solving (Adelman & Taylor, 1997;Lawson & Briar-Lawson, 1997). Thisapproach enables input from multiplesources, broader expert knowledge base,and improved sustainability over time.

At all levels in the system, activeadministrator support and participation arerequired. Without strong leadership fromschool administrators, program efforts oftenare inefficient, incomplete, and ineffective(Colvin & Sprick, 1999). Similarly, whenproblem behavior is chronic and intense,

11


comprehensive linkages with other humanservice agencies (e.g., juvenile justice andcorrections, mental/public health, child andfamily services) are considered (Eber, 1996;Eber & Nelson, 1997; Epstein et al., 1993;Walker et al., 1995; Walker et al., 1996).

Taken as a whole, a systemsperspective to PBS provides a continuum ofbehavioral support (Figure 3) in whichprevention'is emphasized and intensity ofproblem behavior and context is considered.As a continuum, four change elementscharacterize PBS: (a) change of systems(policies, structures, routines), (b) change ofenvironments, (c) change of student andadult (parent, teacher, staff) behavior, and(d) change in appreciation of appropriatebehavior in all involved individuals (student,staff, family, etc.).

Students withChronic/IntenseProblem Behavior(1 - 7%)

/IrStudents At-Riskfor ProblemBehavior(5-15%)

Students withoutSerious ProblemBehaviors(80 -90%)

Tertiary Prevention

Secondary Prevention

Primary Prevention

All Students in School

Figure 3 Continuum of Behavioral Support

1 °4


Specialized IndividualInterventions(Individual StudentSystem)

Specialized GroupInterventions(At-Risk System)

Universal Interventions(School-Wide SystemClassroom System)

Functional Behavior Assessment-based Behavior Support Planning

Among the most important changesin applied behavioral analysis in the past 20years has been the development of FBA(special issue, Journal of Applied BehaviorAnalysis, 1994). The development ofpositive behavioral interventions and plansthat are guided by FBA is the foundation onwhich the PBS approach is delivered. Acentral message from this advancement isthat the design of successful behaviorchange interventions requires identificationof the events that reliably predict andmaintain problem behaviors (Carr, 1994;Horner, 1994; O'Neill et al., 1997; Repp,1994; Sugai, Lewis-Palmer, & Hagan, 1998).Historically, problem behaviors have beenviewed as residing within a child, and thediagnostic emphasis has been on the type ofproblem behavior or the link with disabilitytype (i.e., within the individual). Although alltypes of information may be useful in thedesign of effective support, the currentemphasis is on careful documentation of thepredicting and maintaining eventsassociated with problem behaviors.

Although useful in guiding decisionmaking at all levels, the FBA approach is thecornerstone of systems that address theeducational programming of students whodisplay the most significant and challengingproblem behavior. These students requirebehavior support plans that are specialized,individualized, and high intensity. Suchplans must be based on information aboutthe nature of the problem behavior and theenvironmental context in which the problembehavior is observed. The FBA approachprovides a systematic and informed meansby which targeted interventions can bedeveloped and monitored.

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Functional assessment is not newfor it can be found in a variety of disciplines(e.g., vocational education, physical therapy,chemistry, physics). However, in education,in particular, special education, functionalassessment had its beginning in the 1960'sin applied behavior analysis (Bijou & Baer,1961; 1978; Bijou, Peterson, & Ault, 1968;Bijou et al., 1969). Initially, research studiesand applied applications of the functionalassessment technology demonstrated thevalue of defining variables maintaining aproblem behavior prior to constructing anintervention (Carr, 1977; Carr & Durand,1985; Iwata, et al., 1982; Repp & Horner,1999; Touchette, MacDonald, & Langer,1985). Although most of this work has beenconducted with individuals with severedevelopmental and intellectual disabilities(Blakeslee, Sugai, & Gruba, 1993; Lohrman-O'Rourke et al., 1999), a growing body ofresearch and applications focuses onindividuals with normal intellectualfunctioning (e.g., emotional and behavioraldisorders, learning disabilities) (e.g.,Broussard & Northrup, 1995; Dunlap, Kern-Dunlap, Clarke, and Robbins, 1991; Dunlapet al., 1993; Dunlap et al., 1996; Kern et al.,1994; Lewis & Sugai, 1993, 1996a, 1996b;Umbreit, 1995; Volmer & Northrup, 1996).

In this section, we provide anoverview of FBA, including definition andoutcomes, defining features, and majorsteps, especially in relation to behaviorsupport development and planning.

Definition and Results

We define FBA as a systematicprocess of identifying problem behaviorsand the events that (a) reliably predictoccurrences and non-occurrence of thosebehaviors and (b) maintain the behaviorsacross time. The purpose of gathering thisinformation is to improve the effectiveness,relevance, and efficiency of behaviorsupport plans (Carr et al., 1997; Foster-Johnson & Dunlap, 1993; Horner, 1994;O'Neill et al., 1997; Sugai, Horner, &Sprague, 1999; Sugai, Lewis-Palmer, &Hagan, 1998; Tilly et al., 1998). Specifically,if we can identify the conditions under whichproblem behavior is likely to occur(triggering antecedents and maintainingconsequences), we can arrange

environments in ways that occurrences ofproblem behavior can be reduced and teachand encourage behaviors that can replaceproblem behavior.

A number of procedures exist forconducting a FBA (Center for EffectiveCollaboration and Practice, 1998), but wemaintain that any professionally appropriateassessment, at minimum, should concludewith three main results. The first ishypothesis statements that include three keyfeatures: (a) operational definitions of theproblem behavior(s), (b) descriptions of theantecedent events that reliably predictoccurrence and nonoccurrence of theproblem behavior, and (c) descriptions of theconsequence events that maintain theproblem behavior(s). The second is directobservation data supporting thesehypotheses. The third FBA result is abehavior support plan. The importance ofthe link between hypotheses that arederived from FBAs and the development ofcomprehensive behavior support plans mustbe emphasized. Behavior support plansprovide a summary of interventionmanipulations in four areas: (a) setting eventstrategies, (b) antecedent strategies, (c)behavior teaching strategies, and (d)consequence strategies. In addition, a

14


comprehensive behavior support planprovides implementation scripts that detail(a) who does what strategies when, where,how often, and why; (b) how emergency orcrisis situations will be handled; and (c) howimplementation and effectiveness will bemonitored.

In sum, FBA is not a set of forms orstatic products. It is a process ofunderstanding behavior in the context inwhich it is observed and of guiding thedevelopment of positive behavioralinterventions that are relevant, effective, andefficient. FBA is a best and preferredpractice for all challenging behavior, not justfor behavioral events that result insuspensions or other disciplinary actions.

Steps of the Functional BehavioralAssessment and Behavior SupportPlanning Process

In this section, an overview of thesix main steps involved in conducting anFBA and developing behavior support plansis provided (see Figure 4). Additionalguidelines for implementing the process areavailable in O'Neill et al. (1997); Sugai,Lewis-Palmer, and Hagan (1998); and Tillyet al. (1998).


Step Tools/Procedures Outcome1. Collect informationregarding conditions underwhich problem behavior is & isnot observed & moreappropriate behavior isrequired.

Archival review, analysisof routines, interviews,direct observation

Descriptions of possible settingevents, triggering antecedents,problem behavior response classes,maintaining consequences

2. Develop testable(manipulable) hypotheses.

Team analysis ofinformation from Step 1

Testable hypotheses

3. Collect direct observationinformation.

Direct observations Verified summary statements

4. Design behavior supportplans.

Team development Specification of (a) desired andacceptable alternative behavior, (b)antecedent strategies andmanipulations, (c) consequencestrategies and manipulations, (d)strategies for teaching desired andacceptable alternative behavior, & (e)setting event/establishing operationstrategies and manipulations

5. Develop implementationscripts.

Team development Scripts that specify how, when,where, etc. behavior support plan tobe implemented & by whom

6. Collect information oneffectiveness & efficiency ofbehavior support plan &redesign based on evaluationinformation

Team development Data on student progress & planimplementation, & redesign/updatedplan

Figure 4 Overview of Functional Behavioral Assessment and Behavioral Support planning

15

Step One. Using archival review,analysis of routines, interviews, and/or directobservations, information is gatheredregarding the conditions under which the (a)problem behavior is and is not observed and(b) more appropriate behavior is required.Attention is focused on four primary factors:(a) SETTING EVENTS/ESTABLISHINGOPERATIONS that make the problembehavior worse (e.g., diet, medicalconditions/illness, sleep, fatigue, socialconflicts), (b) ANTECEDENT EVENTS thatpredictably precede and trigger or occasionproblem behavior (e.g., task demands,instruction, peer/adult requests), (c)PROBLEM BEHAVIORS that as a responseclass or set are maintained by a commonfunction or outcome (e.g., attention,escape/avoidance), and (d)CONSEQUENCE EVENTS that predictablyfollow and maintain problem behavior(positive or negative reinforcement).

For example2, when Linda's teacherrequested assistance because of problembehaviors in his classroom, members of theschool's behavior support team interviewedthe teacher, reviewed Linda's behavioralincident records, examined her typical classand activity schedule, and consulted withother adults (e.g., parent, music teacher)who had firsthand knowledge about Linda'sstrengths and problem behaviors.

Step Two. The informationcollected in the first step is used to developtestable hypotheses which best describe theconditions under which the problembehavior is most likely to occur. A completetestable hypothesis indicates (a) problembehavior, (b) triggering antecedent events,(c) maintaining consequence events, and (d)influential setting events/establishingoperations (O'Neill et al., 1997).

For example, based on a review ofinterview and archival information, thebehavior support team determined thatwhen Linda's teacher asked her to redo

2 The details of this example have beensimplified to illustrate the general features ofeach step.


spelling and grammar errors in her essay(antecedent), Linda verbally protested, failedto follow directions, and used profanelanguage (problem behavior). Her teachertypically removed the essay task and turnedhis attention to other students (maintainingconsequence). Problem behaviors also weremore likely to occur and be worse inintensity when she had failed to completeher work during the prior math class or hadan argument with an adult (setting event).

Step Three. After testablehypotheses are developed, directobservation information is collected to verifythe accuracy or predictability of thesestatements. Usually, multiple observationsare conducted across multiple settings andsituations to determine whether problembehavior patterns occur under hypothesizedconditions and contexts. These observationsinvolve the careful documentation ofantecedent and consequence variables thatare present or absent when problembehaviors are and are not observed.

In cases where hypotheses aredifficult to establish or where problembehavior is particularly resistant tointervention, functional "analysis" may berecommended. A functional analysisinvolves a systematic manipulation (i.e.,removal and addition) of factors that arehypothesized as triggering or occasioningproblem behavior. These manipulations aredesigned to trigger problem behavior underone set of conditions and not under others.However, in educational and clinicalapplications, we do not recommendfunctional analysis without the (a) directinvolvement of an experienced behavioranalyst, (b) consent and collaboration byfamilies and caregivers, and (c) structuresfor maintaining appropriate accountability(e.g., data collection, monitoring ofimplementation fidelity).

In Linda's situation, the schoolcounselor, Linda's classroom teacher, andthe special education teacher conducteddirect observations during music, math, andlanguage arts periods. They noted thoseantecedent and consequence events thatwere associated with each problem behaviordisplayed by Linda. They also looked fortimes when or situations where the problem

16

behavior did not occur. For Linda, directobservation data confirmed the hypothesisstatement generated in the previous step.

Step Four. Based on informationfrom verified hypotheses, behavior supportplans are developed that specify possibleteaching strategies or manipulations for (a)desired and acceptable alternativebehaviors, (b) antecedent events, (c)consequence events, and (d) settingevents/establishing operations. This planserves as the basis for defining the actualimplementation of the behavioralintervention. Unlike more typical singledimension interventions that focus onreactive, consequence manipulations (e.g.,timeout, behavioral contracts), behaviorsupport plans that are based on FBAsconsider intervention components that are(a) instructionally focused (i.e., teachingacceptable and desired replacementbehaviors), (b) prevention focused (e.g.,neutralizing or eliminating the conditions thattrigger problem behaviors or make themworse or more likely), and (c)environmentally-based (e.g., rearrangementof the problem context).

For Linda, the behavior team, whichincluded Linda's teacher and father,developed a behavior plan that had thefollowing general elements: (a) teach Lindato ask for help and/or indicate that the taskis too difficult, and teach her to self-record atthe end of the period whether she "kept hercool" (behavior teaching), (b) reviewcorrection strategies, provide an answerkey, and point out what is correct about herwork before asking Linda to makecorrections (antecedent manipulations); (c)provide verbal praise for asking for help orindicating that work is too hard, do first 2-3corrections with Linda, check her self-recording, and give Linda a break from thetask if she appropriately begins her work(consequence manipulations); and (d) if shehas had a prior conflict with an adult, provideLinda with an opportunity to problem solvethe prior conflict and present her with aneutral and simple task before requestingmaking corrections (setting eventmanipulation).

Step Five. Implementation scriptsare developed to specify how, when, and

17


where the behavior support plan will beimplemented and by whom. Contingencyplans for responding to emergencies,training staff, and collecting data also areindicated. If necessary, resources andassistance from other support individuals oragencies (e.g., mental health, medical,vocational) are indicated.

For example, Linda's teacheragreed to implement the plan the next dayand to keep track of Linda's language artserrors and corrections as a way ofdetermining if the intervention was working.The counselor and special educationteacher developed simple checklist scripts toguide Linda's teacher through theimplementation of the behavior support plan.Linda's father agreed to provide positiveacknowledgements at home if Linda met hergoal for each day. If Linda's problembehavior escalated in intensity, thecounselor would come immediately to assistthe teacher.

Step Six. Information on theeffectiveness and efficiency of the behaviorsupport plan is collected regularly, and theplan is redesigned based on an evaluationof this information. A formative (direct,frequent, regular) approach is emphasized.In Linda's example, one or more membersof the behavior support team met withLinda's teacher every other day during thetwo weeks of the implementation of thebehavior support plan. This frequent supportwas provided to ensure that the plan wasworking, and to provide Linda's teacher withassistance in implementing the plan.

Conclusion

Schools can be great places forstudents, teachers, related servicespersonnel, families, human servicepractitioners, and community members towork collaboratively to achieve meaningfulresults for all children and youth. However,limited resources; diverse students, families,and neighborhoods; increases in schoolviolence; and increased socialresponsibilities have decreased theefficiency and effectiveness of manyschools. Although the solution is multi-faceted, schools can make a significantcontribution by "working smarter." This

approach requires the establishment ofproactive school environments (i.e., "hostenvironments") that have the capacities toidentify, adopt, and sustain the use ofeffective policies, systems, and practices.

Positive behavioral supportrepresents an important approach toidentifying and organizing effective schoolpractices, especially for students whopresent significant problem behavior.However, many systems-level challengesremain to be addressed. First, schools needguidelines for making the adoption andsustained use of PBS practices efficient andrelevant. Attention must be focused on thepolicies, environments, structures, andpractices of PBS. For example, addressingthe needs of students who presentsignificant problem behavior requirespersonnel with time, highly specialized skills,access to resources, and administrativesupports.

Second, balancing efforts andattention between school-wide andindividual student systems is a challenge formany schools. For example, a school-widediscipline system that operates efficientlyand effectively for the majority of students ina school can ease the high costs associatedwith addressing the intense needs of therelative small proportion of students whopresent the most significant problembehavior (Sugai, Homer, Sprague, &Walker, in press). However, many schoolslack the capacity to maintain the efficientand on-going operation of both school-wideand individual student systems. Increasingly,partnerships that include schools,community agencies, businesses, and familymembers offer new pathways for using PBSto change systems (II lback & Nelson, 1996;Sailor, 1996, in press).


Third, as the specialized nature ofinterventions increases with the increasingintensity of problem behavior, so does thecomplexity of the implementation. Schoolsneed user-friendly ways to use PBS andFBA based behavior support planning.Consideration must be given to the uniquefeatures (e.g., cultural, geographical,demographic, physical) of a school and itsstudents, families, teachers, and communitymembers.

Finally, Carr et al. (in press) notedthat lifestyle results were measured in lessthan 3% of PBS studies. Schools mustdevelop mechanisms for determining if theirefforts at the school-wide, classroom,nonclassroom, and individual student levelsactually are associated with meaningfuloutcome improvements for students, theirfamilies, and the school. Attention to thereduction of problem behavior isunderstandable; however, the impact of PBSefforts on larger lifestyle results (e.g., peerrelations, family functioning, communitymobility) also must be considered.

The PBS approach offers students,teachers, and family and communitymembers a process that begins to addressthese systems level challenges. Theprocess is based on an established scienceof human behavior, pays attention toimportant lifestyle results, works from asystems perspective, and gives priority toresearch-validated practices. The goal ofPBS is to use information from FBAs toguide the design of learning and teachingenvironments that support and encourageadaptive behavior and lessen the usefulnessof problem behavior.

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