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Functional Behavior Assessment (FBA) Training Manual

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Functional Behavior
Assessment (FBA)
Training Manual

Montana Autism Education Project, Doug Doty Coordinator

Montana’s Office of Public Instruction
Author/Editor: Cheryl Young-Pelton, Ed. D., BCBA-D
Montana State University Billings

1
 Components of an FBA

Gather Develop &

Identify the Assess the Causes of the Develop a
Information on Implement
Challenging Challenging Behavior Theory or
the Challenging Behavioral
Behavior (Function) Hypothesis
Behavior Interventions

Goals of this Training Document:

1. Describe problem behavior in observable and measurable terms with a well-written Response Definition.

2. Be prepared to explain how problem behavior interferes with learning.

3. Explain how behavioral function helps determine a more effective behavior intervention plan and how it is part of an IEP.

4. Identify possible causes of the problem behavior by writing a theory or hypothesis statement. This describes the context,
behavioral topography, and function of the behavior.

5. Make recommendations to address the problem behavior including prosocial replacement behavior. Subsequent IEPs, positive
behavior support (PBS) plans, related services, teachers' lesson plans, and parental assistance can all be used to address the
identified causes and subsequent problem behaviors.

2
 Recommended Components of an FBA (and Table of Contents)

Component Page
Number
1. Description of target behavior – Response Definition 7

2. Review of records – Cumulative file, previous IEPs and Evaluations, 10

medical, etc.
3. Checklists related to circumstances surrounding the behavior (MAS, FAST) 11

4. Student interviews 15

5. Interviews with others (parents, teachers, counselors, administrators) 15

6. FBA Team meetings (School-wide Behavior Support, Academic or Grade 16

Level teams)
7. Direct observations in natural settings (duration, frequency, etc.) 17

8. Scatterplot(s) – (time of day, day of week, class by class, location, etc.) 25

9. Antecedent-Behavior Consequence (ABC) Analysis 26

10. Functional Assessment Observation Form – structured form with key codes 29

11. Reinforcer identification – conduct reinforcer assessments 31

12. Ecological context – clear description of events, people, places and things 35

13. Development of hypothesis statement 36

14. Analogue experimentation – prepare, implement, and review intervention 42

Adapted from: von Ravensberg, H. & Tobin, T. J. (2004). IDEA 2004 Final Regulations: The Reauthorized
Functional Behavioral Assessment. Educational and Community Supports, College of Education,
University of Oregon. Retrieved from the internet on October 25, 2008 at
www.uoregon.edu/~hvr/docs/idea04fba.doc

3
 Functional Behavior Assessment

A Functional Behavioral Assessment (FBA) is a process for gathering information to

understand the structure and function(s) of a student’s behavior(s) in order to develop an

effective and efficient behavioral intervention plan that teaches and encourages alternative

behaviors. Individualization is highly important in determining behavioral function.

Federal rules require that consent be obtained in order to conduct an FBA. In Montana,

parent permission to conduct a functional behavior assessment can be obtained through the use

of the Evaluation Plan form.

An FBA should include:

1. A clear description of the problem behaviors, including classes or sequences of

behaviors that frequently occur together.

2. Identification of the events, times, and situations that predict when the problem

behaviors will occur and will not occur across the full range of typical daily routines.

3. Identification of the consequences that maintain the problem behaviors (that is, what

functions the behaviors appear to serve for the person).

4. Development of one or more summary statements of hypotheses that:

(a) Identify a specific type of situation or context in which behaviors occur.

(b) Describe the specific behavior(s).

(c) Identify reinforcers that maintain the problem behavior(s).

5. Collection of direct observation data that support the summary statements that have

been developed.

(O’Neill, Horner, Albin, Sprague, Storey, & Newton, 1997).

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Procedures for collecting functional behavioral assessment information in cases where additional

information is needed may include:

• Interviews with relevant persons including school staff, parent, and student

• Review of existing documents (records review)

• Systematic direct observation

• Systematic manipulation of the educational environment

• Administration of formal assessments or procedures

Components of the Functional Behavioral Assessment may include, but are not limited to:

• Description of the behaviors of concern, including baseline data

• Definition of the student’s educational environment and daily routines that may

predict the occurrence of target behaviors, including setting, social and activity

influences

• Definition of the immediate antecedent events for occurrences of target behaviors

• Development of a hypothesis statement (or summary statement)

• Identification of the consequences or outcomes of the target behaviors that may be

maintaining the behaviors, including identification of effective behavioral reinforcers

• Definition of the efficiency of the target behaviors

• Identification of functional alternative behaviors

• Identification of the primary ways the student communicates with others

• Identification of effective and ineffective strategies and interaction styles

• Summary of the history of target behaviors and the effectiveness of previously

attempted interventions

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 Behavior Intervention Plan (BIP)

The development of a behavior intervention plan occurs as a result of team processes and

becomes an integral part of the student’s IEP. The IEP team should discuss hypotheses that

address the function of the student’s behavior. A behavior intervention plan is then designed to

identify strategies and interventions that decrease undesirable behaviors and teach replacement

skills.

Examples of supportive interventions may include:

 Modifying behavioral antecedents, settings, and events

 Identifying alternative skills and providing systematic direct instruction in

replacement behaviors, (e.g., communication, socialization, organization)

 Designing lifestyle interventions that improve the student’s quality of life and assist

the student in maintaining skills (e.g., transitional skills, problem-solving, skill

practice and generalization)

 Examining consequence strategies including reinforcement, redirection and crisis

management.

As part of the development of the behavioral intervention plan, the IEP team should

determine a process for reviewing the plan’s effectiveness. At this meeting, the IEP team should

examine:

(1) What type of information will be gathered?

(2) How will the team collect this information?

(3) How will the team use this information to make decisions?

(4) How will this plan be modified or adapted over time?

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1. Response Definition

A response definition is the way we define a behavioral response. It is an observable,

measurable description of a specific behavior (also known as a behavioral definition or

operational definition). We can also describe a response definition by saying that it provides the

typography of the behavior or what it looks or sounds like. It is helpful in the initial phases of a

functional behavior assessment because everyone on the FBA team comes to an agreement on

the behavior(s), and can then go out and record/document the same behavior(s).

For example, consider Jenny, whose mother says she exhibits a “tantrum.” To Mrs.

Smith, her teacher, Jenny’s tantrum involves throwing blocks and kicking other children in the

school. To Mr. Jones the school principal, Jenny’s tantrum behavior looks like an aggressive act

on the bus ramp. To Jenny’s sister, the tantrum may be viewed as silly and a way for Jenny to

‘always get her way.’ A response definition by this team of stakeholders may take some time to

develop, but when the FBA Team begins conducting observations and collecting data, everyone

will be observing the same, agreed upon, behavior.

Here is an example of a well-written response definition for an adaptive behavior:

• Karen can button her shirt from bottom to top without missing any button

holes or placing buttons in the wrong button holes.

Here is an example of a well-written response definition for a problem behavior:

• Jenny’s tantrum is defined as whining or crying in conjunction with sprawling

on the floor, throwing objects, and kicking her legs for a duration of at least 1

minute.

Test yourself. Which of the following is a ‘good’ response definition?

• Margaret got angry three times today.

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 • Claude hits himself across the chest whenever he is asked to take a bath.

• Morgan flushed the toilet 28 times this morning.

• Amy pinched Russell seven times today.

• Lydia records every time Duane spits at another individual.

Believe it or not, there’s something wrong with every one of the definitions above. See if

you can determine where the weaknesses are in each statement (don’t read the comments below

until you’ve thought about the statements above). Here is a brief description of what is wrong

with each of the statements above:

 Margaret: Getting ‘angry’ does not accurately describe what happened (yelling,

screaming, throwing things, aggression, etc.). Also, it was nice to be provided

with a frequency of three, but we might also want to know (a) intensity, (b)

duration, and (c) inter-response time.

 Claude: It may seem that Claude’s behavioral description was better than

Margaret’s, but we really don’t know how Claude hits himself across the chest.

Does he use an open hand ‘slap’ or closed fist? Is it just once or is it repeated

several times? Is it so intensive that it leaves a red mark on his chest?

 Morgan: We were provided the frequency of flushing. How many times was it

for all the right reasons (in other words, did it contain urine or fecal matter)?

Perhaps staff should calculate a ratio of correct flushing to occurrences of

unnecessary flushes. Another weak point of the statement is found when staff said

‘this morning’; what exactly did they mean? 5:30 a.m. to 12:00 (noon)? That

would’ve been a 6.5 hour time frame. Or, perhaps they meant only one hour from

8
 8 until 9:00 a.m.? Providing specific times would’ve been helpful in order to

calculate rate of behavior over time.

 Amy: She pinches Russell. Under what circumstances does she pinch Russell?

Might it have been St. Patrick’s Day and Russell wasn’t wearing green? Does she

pinch him to start a playful interaction? Does she hurt Russell or leave marks? In

this case, we need to know more about the context of pinching and what the

intensity looks like. We also need to know how many opportunities per day, or

how much time was available for pinching. “Today” is too vague.

 Lydia: What is the definition of spitting that Lydia is recording? Could it be

considered drooling, messy eating, ‘fake’ spitting (pursing the lips, making noise,

and not actually spitting any fluid past the lips), or a full coughed-up wad of

sputum? What is Lydia recording, and how is it recorded?

Now, write a response definition for the problem behavior you’ve noted in one individual at your

school. Consider the following dimensions of behavior: frequency, intensity, and duration. Make

sure your response definition describes behavior that is (a) observable and (b) measurable.

Finally, ask a colleague to act it out based only on what they interpret from your written

statement and then revise your definition. You may need to make several revisions.

The response definition we will use for further study is:

9
2. Review of Records

It is often helpful to examine previous IEPs, psychological evaluations, social history,

and even medical records when developing an FBA. Here, the FBA team examines records

usually stored in a cumulative file, but may contact outside agencies (doctors, therapists, etc.) in

order to strengthen the background information on which the FBA is built.

In reporting findings from the record review, it is best to use language that describes

behaviors of concern and the context around those behaviors identified in previous records (e.g.,

FBAs, BIPs, IEPs or other reports). It is also helpful to describe interventions that were tried in

the past, and data indicating the relative success of each intervention. The review of records

should also mention any reports that were (a) identified in student’s records and/or (b) did not

follow the student to the current school.

Sample Record Review:

Item Date, by whom Comments and Information

Anxiety Disorder may affect

Psychological Evaluation 11/17/11 F. Smith, Psy.D.
concentration and learning

Psycho-educational 10/15/12 B. Shaw, M.A., WISC-R: Performance 110, Verbal

Assessments: School Psychologist 101, Full Scale 104

11/2/2012 M. Jones, School Student wears glasses for distance,

Vision and Hearing
Nurse hearing is within normal limits.

Previous Behavior 11/2/11 B. Johnson, Teacher at Check-in, check-out at the previous

Intervention Lyle Elementary, Hopeful MT school placement was not working.

10
3. Behavior Checklists

Checklists that identify possible functions or help classify problem behavior can provide

helpful direction for an FBA team. Here we describe two such checklists, but there are many

others available on the internet or through commercial purchases.

Motivation Assessment Scale. Developed by V. Mark Durand and Daniel Crimmons

(1988), the Motivation Assessment Scale (MAS) offers a quick way for teams to assess

behavioral function through a series of questions about problem behavior that are answered by

faculty, staff, or caregivers using a Likert scale. One or more of the following four functions may

emerge: Attention, Escape/Avoidance, Tangible, or Sensory. The Motivation Assessment Scale

is available for purchase.

11
Motivation Assessment Scale. Adapted from FBA Forms – Utah Personnel Development Center, Utah State Office of Education. Retrieved from
www.updc.org/ubi

12
 Functional Assessment Screening Tool. Dr. Brian Iwata developed this screening tool

to quickly determine function(s) of a behavior based on a brief set of questions. This instrument

is similar to the MAS, but contains different questions and qualifying responses. This tool

required only “yes” or “no” responses. The item on the following page is adapted from the 5th

edition of the form, provided by the Florida Center on Self Injury.

How to use results of Behavior Checklists in an FBA. Behavior checklists such as the

ones presented here are fairly accurate. A graph showing the results of one of the behavior

checklists might be helpful in supporting the hypothesized function (see the figure below). Keep

in mind that an FBA is comprised of much more than a behavior checklist. Even though one or

two checklists might identify a particular function (e.g., social positive reinforcement -tangible),

we must remember that there are better indicators to identify function which will be described

later.

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14
4. Student interviews

We sometimes overlook the simplest method as a way to determine function of behavior.

In regard to FBA, this is as easy as asking the student, “Why do you do this problem behavior?”

If appropriate, we might also ask the student’s peers, “Why do you think he/she behaves this

way?”

It would be nice if every child who presented problem behavior at school could inform

their teachers with the correct function of their behavior. However, that is not always the case

where humans and problem behavior is concerned. The child may not be able to express “why”

they behave the way they do, or they may not really understand the root causes of their behavior.

Therefore, while it seems a simple thing to ask, we must remember that reliable answers from

verbal children are not always accurate.

5. Interviews with Others

In order to find out more about the student’s problem behavior, teachers must interview

parents and other teachers, as well as paraprofessionals and auxiliary personnel, administrators,

and counselors.

A Functional Analysis Interview form was developed by O’Neill, Horner, Albin,

Sprague, Storey, & Newton, (1997). While a bit lengthy, the value of this interview lies within

its organizational structure and content. Please know that it is not necessary to only ask questions

about the targeted problem behavior. A school FBA team should be interested in discovering

student likes/dislikes, strengths, and aspirations. A sample interview for an FBA can be found at

http://cecp.air.org/fba/problembehavior2/appendixc.htm.

Some school districts require at least 2 interviews included in an FBA. While it is not as

important to include a specific number of interviews, it is important to meet with a variety of

15
people who come into contact with the student and possibly the problem behavior. Consider

conducting interviews by phone, in the school office, at a coffee shop, or at the person’s place of

employment. In reaching out to as many people in the student’s life as possible, the FBA will

also help bridge resources and involve everyone in the process.

Who might you interview for the student who is having problem behaviors?

6. FBA Team Meetings

An FBA should not be written by any one person or outside expert. It is important that

the FBA be written by a group of people who know the student well. This team approach is

similar to an IEP team, although an FBA team doesn’t necessarily need to be only for students in

special education. Any student who has significant behavior challenges, whether in Special

Education or not, may have an FBA.

Some schools establish regular FBA Team meetings. These meetings may be part of a

regular schedule or part of a larger, school-wide plan to reduce problem behavior and should be

held throughout the period of time it takes to complete the FBA. An FBA team does not stop

meeting when the FBA is complete. The FBA team meets regularly to review data from the

Behavior Intervention Plan, especially at the onset of any new intervention or change in the plan.

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7. Direct Observations

There are two types of observations: indirect and direct. An indirect observation relies on

other witnesses to the behavior, or other reports of observed behavior. Indirect methods of

observation include anecdotal records, behavior logs, scatter-plot recordings, Office Discipline

Referrals, and incident reports. When an observation is a direct observation, the observer records

what they are watching, in real time. A video-recording may be a direct observation if the person

watching the video is writing down what they observe at the moment it is viewed. If an

observation is conducted and information on behavioral events are written down after the fact, it

is not considered a ‘direct observation’ but would be considered an anecdotal record.

There are many types of direct observation available to observers of all skill levels. A few

of the most common direct observation techniques are described here.

Frequency count. One of the simplest observations to perform is the frequency count. In

this case, a targeted behavior is identified and defined (e.g., a response definition) for all

potential observers. The observer records tally marks every time the target behavior is noticed

during a pre-determined time frame. A variation on this method is to identify two “incompatible”

behaviors (one problem behavior, one ‘opposite of the problem’ behavior), and record the

frequency of problem and desired behavior. It may also make sense to record frequency of

stimuli that surround behavior (e.g., if student was asked a direct question, if other students

raised their hands, and if response was appropriate or inappropriate). See the examples provided

on the following page (Frequency Observation, Frequency Matrix).

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 Frequency Observation (50 min. class)
Student behaviors
Total
when answering Tally Marks Percent
Tally Marks
questions

llll l
1. Raises hand/waits to
be acknowledged before 6 30%
responding
2. Raises hand and
responds at same time llll 4 20%

3. Responds without
raising hand llll llll 10 50%

Total 20 100%

Frequency Matrix – (with definitions specific to Johnny & Teacher)

Teacher directs a
Time: Teacher directs a specific Teacher Requests
question to whole class
(50 min. class) question at Johnny Physical Response
and waits for response
Appropriate Johnny responds Johnny raises hand, is Johnny provides
response appropriately. called upon to answer the appropriate physical
question and gives an response to teacher
Total: appropriate response. request.
5 l llll

Inappropriate Johnny responds Johnny raises hand, is Johnny provides an

response inappropriately to the called upon to answer the inappropriate physical
directed question. question, but gives an response to teacher
Total: inappropriate response. request.
2 ll

No response Johnny was unable to Johnny was off task or not Johnny was off task, or did
respond to teacher’s listening to teacher’s not respond to teacher
Total: directed question. whole class question. request.
2 ll

INTERRUPTION
or DISRUPTION of
teacher while she is
otherwise talking.

llll Total = 4

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 Duration Recording. Sometimes it is important to know how long a problem behavior

lasts. In this instance we use duration recording to mark the beginning and end of an event. Each

event serves as one frequency, but the duration may be varied. Consider a child’s tantrum

behavior. The FBA team would need to clearly define the all behavior(s) that meet the category

of “tantrum,” for example they should clearly identify behaviors observed at the beginning of a

tantrum and those behaviors that identify the end of a tantrum, so that each potential observer

could record the same durations for each event. In one case, a child’s tantrum may begin with

crying/whining and escalate from there. As soon as crying/whining is observed, the duration

recording begins. The end of the child’s tantrum may involve a noticeable calm (stops crying,

stops whining). That would mark the end of the duration. Duration recordings require a minimal

amount of tools: a clock and/or timer and a pencil/paper for marking down the duration.

Some examples of duration recordings useful to include in an FBA are: (a) measured

periods of ‘time-out from reinforcement’, (b) calculation of academic engaged time (AET) or

“On-Task” observations, and (c) time spent engaged in problem behavior (as in the tantrum

example provided earlier). Duration recordings can be measured in terms of percent of an overall

time frame (e.g., 5 minutes) as in the example provided below:

George was academically engaged during independent seatwork in Reading class

for only 140 of 300 seconds in this five-minute time-period. His AET score was
calculated by dividing the number of seconds engaged (as measured on a
stopwatch) by the total time (140s ÷ 300s X 100 = 47%). This rate of AET (47%)
is significantly below the expected rate for children of his age. A behavior
intervention plan to improve AET during independent seatwork would be
recommended for George after a more thorough examination of his learning and
attending problems has been completed.

19
 For this observation, all that was necessary was a set of

timers (one kitchen timer that counts down, and one stopwatch that can be turned on or off

easily). One timer must start counting down (e.g., 300s or 5 minutes), and the other is turned on

or off depending on the child’s behavior. If he is ‘engaged’ or on-task, the timer is allowed to

run. If the child is disengaged or off-task, the observer must stop the timer. Then, when the first

timer counts down the 300 seconds, the observation is over. The number of seconds engaged (as

measured by the on/off timer), is then divided by the total time of the observation (300 seconds).

See the example for the formula.

Equal Interval, Momentary Time Sample. Information gleaned from this type of

observation provides clear evidence of behaviors that occur during different types of instruction

over time.

The time sample form offers systematic observation of several categories of behavior

(listed on the left side of the table), during 20 equal intervals (shown across the top of the table).

There are two lines for each behavior category, “S” and “P.” S stands for the target student, and

P denotes a typical, neighboring peer (this is provided so that an analysis of typical student

behavior can be used as a comparison). Most often, each interval is set at one minute, providing a

20-minute observation period. In some cases, the intervals can be changed to 30 second intervals

(resulting in a 10-minute observation period) or increased to 2 minute intervals (resulting in a 40

minute observation period).

20
Every interval is recorded in the following manner:

1. During the first five seconds of each interval, observe the student carefully for

“productive” (on-task) behavior. Mark a “+” sign if the child is productive

(attending, raises hand, has materials, etc.) or write a “–“ if the child is not.

2. During the next portion of the interval, mark with a  whenever behaviors in

any of the rows below ‘productive’ are observed. I have sometimes circled

specific behaviors or written VA or PA in the corresponding interval box to

clarify my observations and record more accurately what I saw.

3. When the classroom activity changes (transition) mark the change below the

table so that you can analyze how activities affect behavior.

See the sample on the following page. A blank form is provided as well.

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22
TIME SAMPLING OBSERVATION FORM STUDENT _____________________________ DATE _____________________
OBSERVER ______________________ SETTING______________________________ TIME _____________ INTERVAL _________________

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
PRODUCTIVE: Works at seat, S
attends to directions, raises
hand, brings materials P
IMPULSIVE: Blurts out S
answers, can’t wait for turn,
becomes overexcited, can’t P
calm down
DISTRACTED: Hums to self, S
fidgets, doodles, looks
around P
AGGRESSION: (VA/PA) S
VERBAL – Threatens, calls
names, argues
PHYSICAL – Hits, pushes, P
bites, kicks
MATERIAL ORGANIZATION: S
Fails to organize, loses
materials, can’t find things P
TEMPORAL ORGANIZATION: S
Fails to follow routines,
doesn’t understand routine P
and order
DEPENDENCY: Requires S
multiple directions,
assistance beyond other P
students
CONSTANT MOTION: S
Out of seat, unable to work
in group, Moves about, P
rocks, skips, runs
SPOTLIGHT: S
Talks loudly, laughs, makes
noises, intrudes on others, P
crawls on floor

23
 When writing results of a time sample observation in the FBA, it might look something

like this:

Missy was observed in Math class with Mrs. Mattos on February 7. The focus of
this observation was to determine a rate of production or “on-task” behavior as
sampled through twenty equal intervals in her sixth grade general education class.
This observation may have included a variety of contexts (discussion,
independent seatwork and transition).

Missy’s productive or on-task behavior rate was determined by the number of

productive intervals divided by the total number of intervals, then multiplied by
100 (12 ÷ 20 X 100 = 60%). An “on-task” rate of 60% is significantly below the
average rate of her peers and may indicate the need for intervention.
During this observation, the teacher engaged in direct instruction for four minutes
followed by seatwork for 10 minutes, followed by discussion for four minutes and
then preparation to leave. Within this time sample period, Missy was verbally
aggressive to a classmate twice and physically aggressive one time. The observer
also recorded behaviors in the following categories: impulsive, distracted,
disorganized, dependent, and excessively in motion. A further examination of
Missy’s learning and behavior problems in Math class is recommended.

So, let’s test your observational skills. Click on this video to get a full measure of your

abilities. http://www.youtube.com/watch?v=vJG698U2Mvo

How did you do?

You may want to take advantage of some observation training videos available from the

Montana Autism Education Project.

Some observation techniques I find particularly useful are:

24
8. Scatterplot

When conducting an FBA, it is extremely helpful to determine predictable times, places

or events that are associated with problem behavior. To conduct this simple analysis, collect

Incident Reports, Office Discipline Referrals, or other reports of problem behavior and record

incidents on a scatterplot. In this example, you can see a Scatterplot of problem behavior where

an occurrence of the problem behavior is documented with orange-filled cells on a spreadsheet.

From the layout of this graphic display, further analysis of typical days of the week and

time of day can be made. In this case, problem behavior is highly predictable at 12:15 every day,

and 12:30 every other day (e.g., possible lunch time issues). Problem behavior is also predictable

at 8:45 a.m. every day (e.g., possible morning routine issues). Monday and Wednesday of week

2 seemed to be especially difficult. It might be advisable to collect more data in order to

determine a more predictable pattern of days in the week.

A blank scatterplot can be found at

http://opi.mt.gov/groups/fbabip/weblog/6a265/Scatter_Plots.html

25
9. Antecedent-Behavior-Consequence (ABC) Observation

When behavior is closely related to what happens immediately before or after the

student’s response, an Antecedent-Behavior-Consequence observation is appropriate. An

antecedent is also known as a “quick trigger” that immediately precedes a behavioral response.

A consequence immediately follows a behavioral response. These may be easily recognized, or

they may be often overlooked. A good observer will notice a variety of antecedents and

consequences from other sources besides those involved in the direct influence of the behavior.

For example, consider the following scenario:

 A teacher asks a student, “Turn to page 56 in your math book” (antecedent).

 The student throws the book on the floor (behavior)

 The teacher says, “Go to the Principal’s office” (Consequence).

 A good observer will notice that other students are watching, laughing, or

reaching out with a high-five. Those are also consequences that may influence

the function of the student’s behavior more heavily than the teacher’s actions.

In an ABC observation, a student is identified and a class of behaviors noted. The

observer writes behaviors as they occur and then lists all immediate antecedents and

consequences that occurred before and after the behavior. See the ABC sample below:

Possible
Date Time Antecedent Behavior Consequence
Function
Teacher announces
Tells inappropriate Peers laugh, class
2/7 9:40am it is time for Escape/Atten.
joke is disrupted
reading
Teacher says that George says, Teacher ignores,
2/7 9:42am every student will “That’s what you continues to hand Attention
read aloud today think” out books
Teacher calls on
2/7 9:45am George to read Throws book Sent to office Escape
first

26
 A summary of the ABC observation written in the FBA report includes some analysis and

synthesis of behaviors to function, and might look something like this:

George was observed in his reading class on February 7. Behaviors of concern for

this observation were a variety of disruptions (e.g., humming loudly, telling

inappropriate jokes, putting head on desk, refusal to participate, and throwing

books). The antecedent for these behaviors was usually an instructional demand

or prompt from the teacher. Notable consequences ranged from gaining peer

attention, being ignored by teacher, and being sent to the office. The most

frequent possible function(s) were escape and attention.

ABC observations are valuable tools to use when direct observations are not possible to

employ throughout the student’s day. Teachers can write the behaviors, antecedents and

consequences and time of day, and then go back and fill in date and perceived function later.

A blank ABC observation form is provided on the following page.

27
 ABC Observation Form

Possible
Date Time Antecedent Behavior Consequence
Function

28
10. Functional Assessment Observation Form

There are times it makes sense to collect very specific data from the full school day, in all

settings/environments, across all teachers, and in all activities. Some recommendations made by

experts suggest that an FBA team have at least 10 days of solid data before making decisions.

In their landmark book, Functional Assessment and Program Development for Problem

Behavior: A Practical Handbook, Robert O’Neill and colleagues (1998) proposed a tool called

the Functional Assessment Observation Form. This daily log collects data on specific behaviors,

and identifies predictable antecedents while proposing possible functions for behavior. The form

uses team-identified codes but also allows for new/other behaviors and possible functions to be

recorded. For example, see the form on the following page. The example is designed for a child

whose problem behavior is physical aggression and throwing objects, and has three numbered

options for additional problem behaviors to be recorded. It has five team-identified predictors

and room for four others.

The benefit of using this form is that teams can analyze days, times, behaviors,

predictors, and possible functions according to codes and can determine rates of each type of

behavior based on individual predictors, whether or not the imposed consequence worked and

rates of staff perceived functions for each behavior. This form is particularly helpful when there

are multiple behaviors, multiple predictors (antecedents), and more than one possible function.

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Name: Functional Assessment Observation Form

Starting Date: Ending Date:

Perceived Functions
Actual
Behaviors Predictors Get/Obtain Escape/Avoid Cons.

Desired Item/Activity

OTHER, Don't Know

Inattention by adult

Undesired Activity
Phys. Aggression

Demand/Request

Demand/Request

Staff Initials
Self Stimulation
Thows objects

Difficult Task

Unintended
Interruption
Transitions

Attention

Intended
Person
A)

B)
Date/Time
1)

2)

3)

a)

b)

c)

d)
Define Behaviors: 1) Define Predictors: a) Define Perceived Functions: A)

2) b) B)

3) c) Define Intended Consequences:

d) Define Unintended Consequences:

Adapted from O’Neill, Horner, Albin, Storey, & Sprague (1998).

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11. Reinforcer identification – conduct reinforcer inventories

One of the most overlooked components of an FBA is the reinforcer effectiveness and

motivational domain. In order to develop effective interventions, an FBA team must understand

what motivates the student and what reinforcers the student prefers.

There are some simple ways to conduct a reinforcer survey. The first and most obvious

way to conduct a reinforcer survey is to ask the student. As in the student interview, sometimes

the student doesn’t know, can’t say, or is not going to provide adults with an appropriate

response. In such an instance, a reinforcer survey like the one on the following page may be

administered. If a student is unable to complete the form, have an adult complete it on their

behalf.

Another option is to use a “forced choice survey.” In this case, you limit the reinforcers to

six tangible items that you can hold in front of the student for 5-10 seconds in order to see which

one they choose. Record all responses, and when you’ve presented all the items, rank order the

items based on your completed assessment. This form is attached on the two following pages

after the school-based reinforcer survey.

There are other, more complicated types of reinforcer assessments. You can search for

these online. The main thing to remember is that effort to do the right thing or what teachers

desire is often not what motivates a child. Motivation and reinforcement play a big role in

designing effective interventions.

31
 32
6.
33
34
12. Ecological Context

Behaviors happen for a reason – that is the function of the behavior. Behavior interacts

with the environment. Certain behaviors with the same behavioral definition may have different

functions in various contexts. Including the ‘ecological context’ in an FBA is extremely

important for teams to identify strategies that might address prevention, teaching new skills, and

reinforcing desirable behavior.

What variables in the environment should be included? Well, taking a wide sweep of a

classroom at a fast glance, the following environmental contexts may apply:

a. the classroom, decorations, desks/chairs, room arrangement, spatial orientation

b. schedule, order of tasks, difficulty/ease of tasks, preference for tasks, transitions

c. curricular and instructional materials, age appropriate tasks, modifications and/or

accommodations, method of instruction (class-wide lecture, small group, etc.)

d. opportunities for breaks, schedules of reinforcement, token or class reward systems

e. rules that govern behavior (class rules and hidden curriculum), other stimulus controls

f. teacher, paraprofessional, volunteers, administrators, related services personnel

g. method of adult request-making, and ability to communicate positively with students

h. students, friend/foe behavior history, novelty of relationships, bus or hallway friends

i. amount of misbehavior, distractions, disruptions caused/allowed by other students

Not every FBA report will need to mention all these variables, because the FBA is highly

individualized to one single student. However, these variables are important to consider for their

importance or role in the context of problem behavior. Knowing what environmental contexts are

present when behavior occurs will help an FBA team develop a more effective intervention.

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13. Develop a hypothesis statement

A functional hypothesis statement contains three things: (a) setting events and

antecedents that usually are associated with the behavior, (b) the problem behavior, and (c) the

consequences that have maintained or strengthened the behavior over time, otherwise known as

function. There are only four recognized functions in behaviorism. They are: (a) positive socially

mediated reinforcement or attention, (b) positive reinforcement or tangible, (c) negative

reinforcement or escape/avoidance, and (d) automatic, non-socially mediated reinforcement or

sensory regulation or stimulation. One other negative automatic function exists called pain

attenuation and this may occur to override existing painful conditions (for example, consider the

behavioral response of rubbing your temples if you have a headache).

Most hypothesis statements are written in the following format: “Especially when… (list

antecedent, setting events), [Student’s name] will… (list problem behavior), in order to (list

maintaining consequence or suspected function).”

Here, you are provided an example:

Hypothesis Statement: Especially when staff members make a self-care

request, Mary will begin banging objects and escalate to physical
aggression, in order to avoid the non-preferred task.

Antecedent or Trigger: Staff request to perform a self-care skill (brush

hair, shower, etc.)
Child’s name: Mary
Target behavior: Banging objects and then escalating to physical
aggression with staff
Maintaining Consequences: She avoids the non-preferred task.

Did you notice the order of terms in the above statement? Especially when… Mary will…

in order to…

36
 Here is a second example:

Hypothesis Statement: Especially when he desires to confirm his

academic or social thoughts and actions (during direct instruction), Duane
will interrupt the teacher, in order to gain attention.

Antecedent or Trigger: Desire to confirm thoughts and actions

(academic and social)
Child’s name: Duane
Target behavior: Interrupting teacher during direct instruction
Maintaining Consequences: Teacher provides attention and peers also
take notice

Write a sample hypothesis statement for one of your students:

Antecedent or Setting Event:

Child’s name:

Target Behavior:

Maintaining Consequences:

Especially when ______________________________ [Student name]

will________________________ ____________________________________ in order to

______________________________________.

Another way to write your hypothesis statement is to fill in the blanks on a competing behavior

chart. Start here by filling in this table:

Maintaining
Setting Event Antecedent Problem Behavior
Consequences

Now, develop the hypothesis statement and the components you have identified into a

Competing Behavior Model Chart.

37
 Competing Behavior Model
Copy these
four elements
from the
previous page.
Desired Behavior Maintaining
Consequences

Setting Event Antecedent/Predictor Problem Behavior Maintaining

Consequences

Alternative/
Replacement
Behavior

Setting Event Predictor Teaching Consequence

Strategies Strategies Strategies Strategies

The Competing Behavior Model was introduced by O’Neill, Horner, Albin, Sprague,

Storey, and Newton in their book Functional Assessment and Program Development for

Problem Behavior: A Practical Handbook (1997). The first step is to place the four term

contingency (setting event, antecedent, behavior, maintaining consequence or function) in the

middle row. Next, the FBA Team should select an “alternative replacement behavior.” This will

be a behavior that meets the same function as the original problem behavior but does so in a way

that requires a behavioral action and also provides positive experiences. Some examples of

alternative replacement behaviors might include the following:

 a child who bites others might be provided with a chew toy

38
  a student who blurts out answers might be taught to raise his hand

 a boy who fidgets and moves excessively might be asked to run errands

 a girl who refuses difficult tasks might be taught to ask for a break

While these suggested alternative replacement behaviors are not perfect, they prevent the

student from engaging in problem behaviors and encourage the student to develop new skills that

are more acceptable. Eventually, an IEP team would want to reduce these alternative

replacement behaviors and move toward more age-appropriate, normal behavior that could then

be reinforced by natural consequences.

At times, it is very helpful to use incompatible behaviors to replace problem behavior. In

this case, the FBA team might consider actions that are impossible to be performed at the same

time the problem behavior is performed. See the examples in the table below:

Problem Behavior Incompatible Replacement Behavior

Off-Task On-Task

Screaming Singing

Spitting Swallowing

Running Away Staying near Adult

Once the ‘alternative replacement behavior’ has been identified, the FBA team should

consider what “normal” behavior looks like. For example, a team might ask, “Do most children

ask for breaks every five minutes?” If not, then the FBA Team should identify a ‘desired

behavior’ and ‘maintaining consequence’ that is more normalized. These ideas should be written

at the top of the Competing Behavior Model so that the team can consider them at a later date.

The desired behavior can also be considered the most appropriate social behavior. This should

be the target of the behavior improvement plan.

39
 When the Competing Behavior Model is filled in, the team should develop strategies to

address each of the four parts of the contingency. Consider three components of developing

positive interventions: (a) Prevent, (b) Teach, and (c) Reinforce (Dunlap, Iovanone, Kincaid,

Wilson, Christiansen & English, 2009). To begin, the team determines what it might want to

teach by agreeing on an acceptable ‘alternative replacement behavior’ and listing the teaching

strategies for that replacement behavior. Next, the team focuses on preventing problem behavior

by addressing some of those setting events and antecedents that have often predicted the

occurrence of problem behavior. Consider the ‘ecological context’ from section 13. Finally, the

team must identify purposeful consequences that can be imposed to (a) reduce problem behavior

and (b) increase desirable behavior.

A sample of a completed Competing Behavior Model with strategies is on the following

page. As you can see from the example, the FBA team brainstormed many different strategies to

address each of the four components of the competing behavior contingency. In order to be

effective, the team will implement only those strategies predicted to have the most immediate

impact on problem behavior.

40
 Behavior Plan Summary

use work time

wisely; complete
tasks complete assignments/classwork
Desired Behavior Maintaining Consequences

lack of sleep; fear

of storms/trains;
allergies; fear of
making mistakes; off-task; not
difficulty copying instruction/demand following through
from board given with task escapes activities
Setting Event Antecedent/Predi Problem Behavior Maintaining Consequences
ctor

request break/get
"out" of activity
Alternative/
Replacement

Setting Event Predictor Teaching

Strategies Strategies Strategies Consequence Strategies
If Johnny's parents Begin the day with 5 A visual/written Provide ongoing If Johnny is
feel he is healthy tokens with which he reminder of the social praise--pair disrespectful to a
enough to come to may request a break. break process in his with other teacher, he will have
school, he will be in Ms. Space will give a notebook reinforcement the same
class learning list of break choices. consequences as
other students (quiet
room, suspension,
call parents, etc.)

If changes or new A token may be used If attention to task If 5 tokens are not If angry/disrespectful
events in the to take a 5 minute waivers, remind "first used, can exchange behavior takes place,
schedule occur, break. When 5 _____, then next day for 1 less complete Solve-It or
teachers/parents will minutes is over, ______" story problem other problem
provide information Johnny will return to solving activity
about what is going the activity he left
to happen ahead of
time

Initial expectations Initial expectations Make expectations After editing 5 DOL If work is not
will be presented to may be paired with clear, possibly visual. sentences from B completed at school,
Johnny in written or reinforcement (i.e. list, may complete must be taken home
visual form (i.e. Complete 10 math one from A list to and completed
Complete 10 math problems, then lead class
problems) _______)

If expectations are Johnny may have For math story During afternoon If Johnny does not
unclear, review with opportunities to problems, provide a study time, if work is return to class
Johnny (I.e. What "teach" other kids copy and guide complete, get a activity after 5
does "respect" (preschool) social Johnny to highlight choice of highly minute break (using
mean?) Let him talk rules important parts; reinforcing activities 1 token), he must
through what he can fade assistance as he remain after school
do to be respectful. learns the skill or miss recess to
complete assigned
activity

41
14. Analogue Experimentation

A behavior improvement plan should address socially significant behaviors and all

behavior interventions should be planned with the utmost respect for dignity, humane treatment,

and rights of the individual.

Analogue experimentation is a process by which we implement a new function-based

intervention and watch it very closely to determine (a) if the intervention ensures safety, (b)

effectively reduces occurrences of problem behavior, (c) effectively increases socially

appropriate behavior, and (d) is both feasible and reliable. This step in the FBA process has also

been referred to as Functional Analysis (FA), and Experimental Analysis of Behavior.

This experimental phase is the most critical step in the FBA process. It must be done

carefully and with fidelity. All FBA team members must be on board and committed to the

intervention with a sense of group efficacy. Also, the FBA team leader must prepare and plan for

the intervention with a carefully written procedure that is both precise and complete.

There are three seemingly simple steps in this process: (a) write/prepare the intervention,

(b) try the intervention, and (c) review the results or data.

Depending on the intensity and nature of the intervention, this phase might last just part

of one day to two weeks. In some cases where previously known reinforcers are removed, an

intervention called extinction, the FBA team might prepare themselves to see an increase in

problem behavior also known as an extinction burst. Other similar phenomena may also increase

the likelihood of problem behavior or escalations, and so precautions must be planned to ensure

safety during this phase of intervention. FBA teams should familiarize themselves with policies

and regulations in the use of seclusion, restraint and other aversive procedures.

(see http://opi.mt.gov/pdf/speced/Guides/AdvTreatGuide.pdf)

42
 Conclusion

An FBA and BIP should be considered a process rather than a product. Many of the

documents completed for this training or for the purpose of conducting an FBA are not necessary

to be included in the final document that is placed in the student’s cumulative folder. As

mentioned earlier, IDEA does not require any specific elements in the process of conducting an

FBA. However, there are certain elements that should be identified: (a) antecedents or predictors

of the problem behavior, (b) a definition of the problem behavior, and (c) hypothesized function.

These elements are all part of the hypothesis statement. “Especially when… (list antecedent,

setting events), [Student’s name] will… (list problem behavior), in order to (list maintaining

consequence or suspected function).”

Individualization is highly important in determining behavioral function. In fact, certain

behaviors with the same behavioral definition may have different functions in various contexts.

Therefore, it is extremely important that the ecological context be considered at all times.

Finally, an FBA should address socially significant behaviors and interventions should be

planned with the utmost respect for dignity, humane treatment, and rights of the individual.

Because the FBA is a team process, there are many benefits in completing the steps. First,

the FBA process requires a group of concerned educators, administrators, staff, related service

providers, and parents to come together and agree on a plan to address problem behavior. This

involves working knowledge of clearly defined behaviors, antecedents, setting events, and

consequences. Team efforts also require deliberate action to prevent future problems while

teaching appropriate behaviors and reinforcing desirable behavior. The biggest beneficiary of the

FBA process is the student, who learns new adaptive skills and enjoys successful interactions in

school and beyond.

43
 List of References

Dunlap, G., Iovannone, R., Kincaid, D., Wilson, K., Christiansen, K., Strain, P. & English, C.

(2010). Prevent-Teach-Reinforce: The school-based model of individualized positive

behavior support. Baltimore, MD: Brookes.

Durand, V.M., & Crimmins, D.B. (1992). The Motivation Assessment Scale administration

guide. Topeka, KS:Monaco & Associates.

Gable, R. A., Quinn, M. M., Rutherford, R. B., Howell, K. W., & Hoffman, C. C. (1998).

Addressing student problem behavior part 2: Conducting a functional behavior

assessment (3rd ed.). Washington, DC: Center for Effective Collaboration and Practice,

American Institutes for Research. Retrieved at

http://cecp.air.org/fba/problembehavior2/Functional%20Analysis.PDF

IDEA Regulations, 34 C.F.R. § 300.530(f)(1)(i). (2006).

Iwata, B. A., DeLeon, I. G., & Roscoe, E. G. (2013). Reliability and validity of the functional

analysis screening tool. Journal of Applied Behavior Analysis, 46(1), 271-284.

Montana Office of Public Instruction. (2001). Aversive treatment procedures: A special

educator’s guide to the use of aversive treatment procedures. Helena, MT. Retrieved from

http://opi.mt.gov/pdf/speced/Guides/AdvTreatGuide.pdf

O’Neill, R., Horner, R. H., Albin, R. W., Sprague, J. R., Storey, K., & Newton, J. S. (1997).

Functional assessment for problem behaviors: A practical handbook (2nd Ed.). Pacific

Grove, CA: Brooks/Cole.

Positive Behavior Interventions and Support Network. (2002) Functional analysis screening tool

(5th ed.). Retrieved from http://www.pbisnetwork.org/wp-

content/uploads/2011/10/FAST-20021.pdf

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 Riley-Tillman, T. C., Kalberer, S. M., & Chafouleas, S. M. (2005). Selecting the right tool for

the job: A review of behavior monitoring tools used to assess student response-to-

intervention. The California School Psychologist, 1, 81-91.

Von Ravensberg, H. & Tobin, T. J. (2004). IDEA 2004 Final Regulations: The Reauthorized

Functional Behavioral Assessment. Educational and Community Supports, College of

Education, University of Oregon. Retrieved from the internet on October 25, 2008 at

www.uoregon.edu/~hvr/docs/idea04fba.doc

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