Tier III: Functional Behavioral Assessment Tim Lewis, Ph.D. University of Missouri OSEP Center on Positive Behavioral Interventions and Supports pbis.org

Starting Point We can’t “make” students learn or behave We can create environments to increase the likelihood students learn and behave Environments that increase the likelihood of social and academic success are guided by a core curriculum, adapted to reflect student need, and implemented with consistency and fidelity

Big Ideas Create efficient systems to conduct and implement Understand interaction between behavior and the teaching environment Build Positive Behavior Support Plans that teach pro-social “replacement” behaviors Create environments to support the use of pro-social behaviors Around individual student need / self-management Classroom School-wide Create efficient systems to conduct and implement

Systems for Students with High-Risk Behavior CONTINUUM OF SCHOOL-WIDE Tertiary Prevention: Specialized Individualized Systems for Students with High-Risk Behavior CONTINUUM OF SCHOOL-WIDE INSTRUCTIONAL & POSITIVE BEHAVIOR SUPPORT ~5% Secondary Prevention: Specialized Group Systems for Students with At-Risk Behavior ~15% Primary Prevention: School-/Classroom- Wide Systems for All Students, Staff, & Settings ~80% of Students

SW Positive Behavior Support Social Competence & Academic Achievement OUTCOMES Supporting Decision Making Supporting Staff Behavior DATA SYSTEMS PRACTICES Supporting Student Behavior

Individual Students Part of a continuum: Must link to school-wide PBS system Quick supportive response to teacher Plans based on a Functional Behavior Assessment Clear process in place Behavioral expertise available All in school understand basic logic of FBA and PBS

What is a Functional Behavioral Assessment “A process for gathering information used to maximize the effectiveness and efficiency of behavioral support” (O’Neil et al.) Operational definition of behavior Identification of events that are functionally related to behavior Identification of consequences that maintain behavior Hypothesis about function of behavior Direct observation to confirm/support hypothesis

When To Conduct a Functional Assessment When student exhibits patterns of challenging behavior When a change in placement is made as a result of a school “discipline” procedure When current behavioral intervention plan is not changing the pattern and/or outcome of behavior

300.530 (f) Determination that behavior was a manifestation. If the LEA, the parent, and relevant members of the IEP Team make the determination that the conduct was a manifestation of the child's disability, the IEP Team must-- (1) Either-- (i) Conduct a functional behavioral assessment, unless the LEA had conducted a functional behavioral assessment before the behavior that resulted in the change of placement occurred, and implement a behavioral intervention plan for the child; or (ii) If a behavioral intervention plan already has been developed, review the behavioral intervention plan, and modify it, as necessary, to address the behavior; and (2) Except as provided in paragraph (g) of this section, return the child to the placement from which the child was removed, unless the parent and the LEA agree to a change of placement as part of the modification of the behavioral intervention plan. IDEA.ED.GOV

Why Conduct a Functional Behavioral Assessment

Behavior is functionally related to the teaching environment The Key Behavior is functionally related to the teaching environment

Structural Analysis Setting Factors Assessment Tool Level 1: Classroom Set-up and Structure Level 2: Context Specific Activities Level 3: Instructional Delivery and Tasks Level 4: Student Behavior Stichter, J. P., Lewis, T. J., Johnson, N., & Trussell, R. (2004). Toward a structural assessment: Analyzing the merits of an assessment tool for a student with E/BD. Assessment for Effective Intervention, 30, 25-40.

Basics Focus on observable behavior Instructional approach Label free approach Acknowledgement of other factors Instructional approach Emphasis on understanding the principles of behavior not specific forms or “cook book” strategies

Basics Best Practice vs. Discipline Process vs. a set of Forms Rule out explanations Move from personal experience with “discipline” Repeated practice to build fluency Teach - Practice

FBA – PBS Plan Process Success requires: Individual(s) with expertise in FBA-PBS Fluency with a clear process among all staff whereby roles are clearly defined A basic understanding of Applied Behavior Analysis (Behavior is functionally related to the teaching environment) among all school staff

Process (FA to PBS) Conduct functional behavioral assessment Create plan based on functional assessment outcome Develop infra-structure to support behavior change (system change)

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data/ data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Behaviors Have Dimensions Describe behavior such that it is observable and measurable Frequency Topography Locus Duration Latency Force or intensity

Measuring Behavior

Things to keep in mind about data collection… “Sample” of behavior Select a method that fits within existing resources and/or teaching routines Create variation of methods – just keep consistent throughout Use data to guide decisions

Behavioral Objectives Specific and measurable statements about expected or desired behaviors and levels of performance at the end of an instructional time period During a 20 minute recess period, plato will verbally respond to peers in a positive or neutral manner in 80% of opportunities for three consecutive days by the end of the first term. NOTES: Benchmark objectives should be measurable - that is, listed behaviors & criteria easily translate to observation systems Instructional or intervention strategies do not need to be in objective, unless part of the “condition.”

Four essential components of all objectives learner .... who behavior ... what condition .... when, where criterion... how much and by when NOTES: At minimum, objectives should have these four elements.

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Record Review Attendance Health history Onset of current problems Past services or interventions Effectiveness of previous interventions Previous educational functioning Previous assessments Sensory screening Discipline Referrals

Effective Instruction in a “Nutshell” Environmental arrangement Designed to reach defined outcomes Behavior Management Rules Routines Reinforcement Instructional strategies Opportunities to respond Promotes high levels of accuracy (80%) Specific feedback

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data/ data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Moving beyond the form of behavior... Applied Behavior Analysis

The Basics Behavior is learned Do not assume children know your rules, expectations, or social skills Every social interaction you have with a child teaches him/her something

The Basics Behavior communicates need Children engage in behavior(s) to "get" what they find reinforcing or to "avoid" what they find aversive Need is determined by observing what happens prior to and immediately after behavior

The Basics: Applied Behavior Analysis Concerned with the functional relationships between BEHAVIOR and the TEACHING ENVIRONMENT “Functional Relationships” When “X” happens, high degree of likelihood “Y” will result

Teaching Environment Events that happen prior to school or class (Setting Event) Events that “trigger” or prompt a behavior (Antecedent) Events that follow a behavior (Consequent)

Functional relationships with the Teaching Environment Events that follow behavior Following a student behavior the environment “gives” something to the student and student behavior maintains or increases -- what ever was given is reinforcing to that individual

Functional relationships with the Teaching Environment Events that follow behavior Following a behavior the environment allows the student to stop an activity or is removed from the situation and the student behavior maintains or increases -- the event the student is avoiding is aversive to that individual

“Positive Reinforcement” Receive attention from adults or peers Get/Acquire “Positive Reinforcement” Receive attention from adults or peers Receive tangible objects or access to preferred activities Get automatic sensations Escape/Avoid “Negative Reinforcement” Escape adults or peers Avoid tasks or responsibilities Avoid automatic sensations

Functional relationships with the Teaching Environment Events that precede behavior Events in the environment can “trigger” challenging behavior - they serve as cues for the student to perform a behavior because the student can predict the outcome when the cue is present

What antecedent events reliably precede problem behavior? When does the behavior occur? What activities are taking place? What people are present? How is the environment arranged? When is the problem behavior absent?

Are there setting events that reliably precede problem behaviors? What earlier events seem to make the behavior more likely? Illness? Is the behavior cyclic? Have there been changes at home? Is the student having interpersonal problems?

Previous upset/conflict/emotional concerns No breakfast Setting Events Argument with parent or sibling at home Previous upset/conflict/emotional concerns No breakfast Exclusion on playground Past failure with subject matter Unsupervised situations  conflict, loneliness Bus ride

Common Problem Behaviors and Some Usual Suspects for Functional Antecedents and Consequence Antecedents Behaviors Consequences Grades K-2 Teacher demand Task difficulty Lack of supervision Lack of classroom rules Little structure No planned consequences Transitions Talking Making noises Moving around Attention seeking Fighting Crying Taking others’ things Teacher attention Peer attention Escape from work Tangibles Grades 3-5 Confrontation Noncompliance Grades 6-12 Disrespect of authority Leaving school Escape from school Escape from task Status among peers Access to tobacco Access to drugs Access to alcohol Witt, Daly, Noell, 2000

Functional Assessment Pre-Assessment/Indirect Interviews Rating Scales Student Guided Direct Observation A-B-C Checklists

Functional Assessment Forms to assist in the process

FA Interview Define the behavior When does it occur? What are you doing? What do the peers do? Where does it occur? Are there times when the behavior doesn’t occur? Is the behavior more likely to occur given certain tasks? Are there events that happen outside of the classroom that exacerbate the problem?

Problem Behavior Questionnaire

Functional Assessment Checklist for Teachers and Staff (FACTS-Part A – Problem Identification) Student/Grade: Date: Interviewer: Respondent(s): Student Profile: Please identify at least three strengths or contributions the student brings to school. ____________ Problem Behavior(s): Identify & Describe Problem Behaviors Specifically: ___Tardy ___Unresponsive ___Withdrawn ___Inappropriate Language ___Fight/Physical Aggressive ___Verbal Harassment ___Disruptive ___Insubordination ___Work not done ___Theft ___Vandalism ___Other_________________ Describe the problem behavior(s) specifically - - What does it look like/sound like :

Practice Functional Assessment Example 1 Setting:Hallway between periods Student: Lance

Observation: Lance is walking toward his locker and sees 2 boys looking at a magazine. Lance grabs the magazine, throws it and runs away. The peers yell and chase him down the hall. The three stop running when they see the principal. The peers return to their locker, Lance continues down the hall. Lance sees a girl getting a drink and pushes her face into the water. The girl screams when her face and hair get wet. Lance laughs and walks away as the peer calls him names. Lance stops to talk to a friend. As he is talking to his friend, he trips a student walking down the hall. Lance and his friend laugh and continue down the hall.

Practice Functional Assessment Example 2 Setting:Science, students are sitting in groups of four working on independent projects Student: George

Observation: Betsy calls George a "geek." George glares back and Betsy smiles. George calls Betsy a "slime queen." Betsy sticks out her tongue and George throws his pencil at her. After throwing his pencil, George screams and threatens her with his fist. Betsy smiles and says "I dare you!" George hits her and pushes her to the floor. Betsy yells and the teacher comes over to separate the two.

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data/ data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Outcome = Hypothesis Hypothesis statement regarding the likely functions of the problem behavior and the context (social and environmental conditions) in which it is most likely to occur.

Hypothesis When this occurs…. The student does…. To get/avoid...

Functional Assessment : Common Hypotheses Receive attention from adults & peers Receive tangible objects or access to preferred activities Avoids interaction with adults & peers Avoids tasks or responsibilities

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data/ data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Developing Positive Behavior Support Plans Addressing the Function of Problem Behavior by Teaching Functionally Equivalent Replacement Behaviors

Functional-Based Interventions (BIP) Teach replacement behavior(s) that result in same/similar outcome Environment should not allow problem behavior to result in previous outcomes Replacement behavior should be more efficient than problem behavior

Positive Behavioral Support Plans Describe what behaviors are expected of the student and how they will be taught and supported Describe the changes in the environment that are designed to alter a student’s behavior Describe what adults will do differently in an effort to alter what the child does Describe what academic, schedule, etc., changes will be made to support new behavior

PBS plan should make problem behavior Less effective, by neutralizing setting events and removing antecedents that prompt problem behavior, Less efficient, by selecting replacement behaviors that require less effort to access reinforcers than problem behavior, and Less relevant, by decreasing access to consequences that maintain problem behavior and increasing access to consequences that maintain acceptable behavior. Sugai, Lewis-Palmer & Hagan, 1998

Four themes in developing PBS plans Logical link between functional assessment results and procedures employed Consistent with basic principles of behavior Clear definition of changes in the behavior of implementers. Good fit with the values, skills and resources of the implementers. O’Neill et al (1997)

Sugai, Lewis-Palmer & Hagan, 1999 Competing Behavior Pathways Model Desired Alternative Maintaining Consequences Setting Events Triggering Antecedents Problem Behavior Maintaining Consequences Acceptable Alternative Setting Event Manipulations Antecedent Manipulations Behavior Teaching Consequence Manipulations Sugai, Lewis-Palmer & Hagan, 1999

Setting Events Predictors Behavior Consequences • Playground monitor debriefs student prior to coming into building. • Change seating arrangement during reading class. • Pre-correct class RE rules of cooperative groups. • Set up cooperative peer groups. • Identify appropriate peers and teach cooperative strategies. • Teach rules and skills of cooperative groups to target student. • Role play cooperative learning with peers and target student. • Monitor progress (momentary time sampling) • Verbal praise when on-task (VI 3 minutes). • Error correction for off-task. • Free time with peers for meeting established daily criteria.

Essential Steps to Individual PBS Plans Request for assistance Operationally define problem/replacement behavior Background/archival data/ data collection/Environmental Assessment Functional Behavioral Assessment Indirect measures Direct observation Develop hypothesis regarding function of problem behavior Develop a PBS plan Social skill instruction Self management Environmental modifications Implement, Monitor and Evaluate progress

Monitor & Evaluate Implementation fidelity Student progress monitoring Environmental changes Re-teach skills Increase Reinforcement Re-assessment

Creating a Sustainable System

Phases of Implementation Student Support Model Phases of Implementation

Function-based Intervention Analysis and/or Full Assessment Phase 4: Evaluate Outcomes & Make Decisions Academic Support(s) Check In/ Check Out Mentoring Social Skill Club Avoid Tasks? Obtain Attention? Obtain Attention? Skill Deficit? Phase 3: Function-based Intervention Targeted Environmental Interventions Step 2: Teacher & Team synthesize data to 1) Define Problem 2) Develop Hypothesis 3) Identify Replacement 4) Select Intervention Step 1: Teacher and Team Partner collect data. Nonresponder as compared to typical peer? Full access to Tier 1 supports? Is Identification process accurate and durable? Phase 2: Identification Process Student Support Model (picture) Tier Two Action Plan Checklist (words) This is how we’ve worked with teams to take a complicated process and break it down into more simple, manageable tasks. Goal today is to show you exactly how we talk our schools through this piece. Content will not be new, but consider whether this is a useful way to teach schools who might be new to the process. Starts at the bottom and we work our way up. At the very top is full functional assessment – not talking about that today. Four boxes across the top are the small group interventions we teach our schools. Small group support means the same intervention is provided to a small group of students. But we also talk about Targeted support – those are environmental variables we can manipulate to better support kids. Practices that we provide to all students, but then give in a higher dose to some students = increasing positive feedback, reteaching rules, changing the difficulty level of an academic task. We talk in terms of phases- provide adequate instruction to all students, identify students who need additional support, provide a function-based intervention, then evaluate the outcomes of that intervention and make decisions. Teacher/Parent Nomination Data Decision Rules Universal Screening Instrument Tier 1 implemented with fidelity? If Yes, then Phase 1: Provide Adequate Instruction Classroom System Nonclassroom System Schoolwide System

*Team based support throughout each phase Student Support Model Phase 1 = Provide Adequate Instruction Phase 2 = Identification Process Phase 3 = Function-based Intervention Collect Student Information Select Intervention Implement Intervention Phase 4 = Evaluate Outcomes & Make Decisions *Team based support throughout each phase

DERBY RIDGE ELEMENTARY

Intervention development meeting Step Document Who is responsible for completing document? Completed document should be given to: One Request for Assistance (A) Referring Teacher Case Manager Two Archival Review (B) Teacher w/ Office Staff assistance Three Problem Behavior Questionnaire (C) Four FACTS –Teacher Interviews (D) Referring teacher and Case Manager complete together Five Environmental Inventory (E) Six Intervention development meeting Seven Optional Additional Interviews a) AVAF (F) b) CVAF (G) c) IVAF (H) d) Student (I) Eight Optional Observations MU & Case Manager Nine

FBA Student Plan Development Define Problem Behavior (observable & measurable, Form A) [3 Minutes] 2. Review Collected Data Context [10 Minutes] Archival Review [Form B]– examine data for patterns such as time of day, tasks, adults, or peers in which problem behavior is present or absent and examine for overlap between academic concerns and patterns of problem behavior. Also examine for patterns of appropriate behavior in relation to academic strengths. Environment Inventory [Form E]– examine for patterns of behavior (problem/appropriate) in relation to critical features such as high rates of problem behavior during low structure, low rates of positive feedback.

FBA Student Plan Development Context Summary When/during there is an increase in problem behavior.

FBA Student Plan Development Possible Function of Problem Behavior [5 minutes] 3. Summarize Data 1. Data sources not clearly pointing toward function or confidence is low – conduct direct observation and reconvene planning meeting with additional information (See below) 2. Data sources pointing toward a clear function and confidence is high – develop a hypothesis(es) Data Source Hypothesized Function Team Confidence in Hypothesized Function PBQ (Form C) Get / Avoid Low Medium High FACTS (Form D)

FBA Student Plan Development Hypothesis One When/during(conditions) student (behavior) to (get/avoid) Additional Info if needed Data Source (form #) Hypothesized Function Team Confidence in Hypothesized Function Additional Teacher Interview (F,G,H) Get / Avoid Low Medium High Student Interview (I) A-B-C observation FA test protocol

FBA Student Plan Development 4. Develop Plan Based on Assessment [15 minutes] A) Define Replacement behavior (observable & measurable): Detail strategies to teach replacement behavior: B) Context alteration to support use of replacement behavior: Prompts prior to “trouble spots” Changes in environment (e.g., routines, grouping, work difficulty) C) Outcomes when student uses replacement behavior (matched to function) & scheduled delivery {GET = teacher attention, earn free time with peers, special privileges; AVOID = task choice, ask for assistance, peer tutor, “take-a-break,” re-seated}:

FBA Student Plan Development 5. Share Plan with Family/External Agency [1 minute] Check appropriate actions 6. Plan Review Schedule [1 minute] a. Copy one page plan and distribute b. Prior to next meeting (check appropriate actions) C. Team meeting review date

Gentry FBA Matrix After Gentry struggled for a good long while, Tim finally created a Matrix to help us out. Again, like the AIS handout, this matrix is specific to our school. One of the places we struggled most was with types of intervention. I think our teachers were expecting some kind of pre-packed commercial kit, or lots of counseling and small group instruction outside of class. This matrix let us see what kinds of interventions might match a particular problem. But we use this matrix with caution- it’s not a plug and chug; we still need to look at data and make thoughtful, informed decisions Again, this is a guide for productive conversation Lewis, 2008

Process (FA to PBS) Conduct functional behavioral assessment Create plan based on functional assessment outcome Develop infra-structure to support behavior change (system change)

Self Assessment Survey Monkey FBA/BIP evaluation rubric (MD Coalition for Inclusive Education) Self Assessment Form

Self Assessment Behavioral Expertise Team process Clear process Stimulus control (“S-D”, “S-D minus”), shaping, fading, differential reinforcement, response generalization, stimulus generalization Team process Special Ed, Administrator, Specialists, General Educators Clear process Entry point, forms, agenda, problem solving, templates FBA is data based Indirect and direct Progress Monitoring Weekly, direct observation, descriptive/checklist

Action Plan Be specific (e.g., information, in-depth training, sample forms/tools) Prioritize – focus on immediate need as well as what will build capacity Delineate evidence to support your assessment Both in-place and needs