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Vocational and Educational Services for Individuals with Disabilities (VESID)
Special Education and Vocational Rehabilitation Services

• Guidance on Functional Behavioral Assessments for Students with Disabilities
• Memo July 1998
  • Practice Guidelines
  • Definition
  • Components of a Functional Behavioral Assessment
  • Assessment Techniques
  • Requirements of the Individuals with Disabilities Education Act
    • Evaluations
    • IEP Team
    • IEP Contents and Considerations
    • Discipline
  • Role of the Committee on Special Education
  • Behavioral Intervention Plans

Guidance on Functional Behavioral Assessments for Students with Disabilities

Memo July 1998

This memorandum provides guidelines to assist school districts in implementing the 1997 amendments to the Individuals with Disabilities Education Act (IDEA) relating to functional behavioral assessments of students with disabilities. The National Association of State Directors of Special Education (NASDSE) has published a guide for states on the functional behavioral assessment requirements of IDEA. In the development of the NASDSE document, practitioners examined the literature to identify critical issues and to provide recommendations relating to proactively addressing the needs of students with disabilities with behavioral challenges. The information provided by NASDSE serves as the basis for this memorandum, and sections of the NASDSE publication are attached.

IDEA focuses on prevention and proactively addressing behavioral concerns of students with disabilities that may impede their learning. The use of functional behavioral assessments provides an important and meaningful opportunity to improve the individualized education program (IEP) and services for students with disabilities, to promote access to general education curriculum and to ensure safe and well-disciplined schools.

Practice Guidelines

The underlying premise of this guidance document is that functional behavioral assessments should be viewed as an integral part of evaluation and reevaluation procedures and not as an isolated practice reserved for a student who has engaged in behavior that may have violated a school district's code of conduct. Functional behavioral assessments should be integrated, as appropriate, throughout the process of developing, reviewing and revising a student's IEP when students demonstrate behaviors that impede learning. This will ensure that functional behavioral assessments are conducted appropriately in all situations to address student needs as well as situations in which administrative or legal proceedings may be encountered.

The key standards for functional behavioral assessments include:

• Functional behavioral assessments should be implemented as an integrated set of practices throughout the IEP decision-making process.
• Functional behavioral assessments identify and measure specific problem behaviors (as opposed to "diagnosing"). The function of a behavior can only be determined by describing and analyzing the student's interactions within his or her environment.
• All functional behavioral assessments need not be conducted with the same set of resources and procedures. The nature of the assessment provided must match the level of need demonstrated by the student.
• Functional behavioral assessments provide data for the design of behavioral strategies and supports (i.e., intervention programs).

The following information should guide how schools conduct functional behavioral assessments and use the results of such assessments in designing an appropriate educational program for a student with a disability or a student suspected of having a disability. The goal is to ensure that behavioral interventions for students with disabilities are instituted that have the highest likelihood of success, thus creating safe and conducive learning environments.

Definition

Functional behavioral assessment is the process of determining why a student engages in challenging behavior and how the student's behavior relates to the environment. Functional assessments describe the relationship between a skill or performance problem and variables that contribute to its occurrence. Functional behavioral assessments can provide the CSE with information to develop a hypothesis as to:

• why the student engages in the behavior;
• when the student is most likely to demonstrate the behavior; and
• situations in which the behavior is least likely to occur.

This type of assessment often involves reviewing curriculum, instructional and motivational variables in relation to a student's behavior and/or examining classroom arrangements, individuals present, physical health issues, instructional subject and work demands.1
1 Functional Behavioral Assessment: Policy Development in Light of Emerging Research and Practice. National Association of State directors of special Education (NASDSE), March 1998

Components of a Functional Behavioral Assessment

A functional behavioral assessment should minimally include the following components:

• Identification of the problem behavior.
• Definition of the behavior in concrete terms.
• Identification of the contextual factors that contribute to the behavior (including affective and cognitive factors).
• Formulation of a hypothesis regarding the general conditions under which a behavior usually occurs and probable consequences that serve to maintain it.

Assessment Techniques

A variety of techniques are available to conduct a functional behavioral assessment including, but not limited to:

• indirect assessment (e.g., structured interviews, review of existing evaluation information).
• direct assessment (e.g., standardized assessments or checklists or observing and recording situational factors surrounding the behavior).
• data analysis (e.g., a comparison and analysis of data to determine whether or not there are patterns associated with the behavior).

Requirements of the Individuals with Disabilities Education Act

References to consideration of a student's behavior that impedes learning can be found in several sections of IDEA including those on evaluation, considerations in the development of the IEP, the role of the general education teacher in the development of the IEP and discipline.

Evaluations

In conducting the evaluation, the local educational agency shall ...use technically sound instruments that may assess the relative contribution of cognitive and behavioral factors, in addition to physical or developmental factors. (Section 614(b)(2)(C))

Each local educational agency shall ensure that - ... the child is assessed in all areas of suspected disability; and assessment tools and strategies that provide relevant information that directly assists persons in determining the educational needs of the child are provided. (Section 614(b(3)(C)-(D))

IEP Team

The regular education teacher of the child, as a member of the IEP Team, shall, to the extent appropriate, participate in the development of the IEP of the child, including the determination of appropriate positive behavioral interventions and strategies and the determination of supplementary aids and services, program modifications, and support for school personnel consistent with paragraph (1)(A)(iii). (Section 614(d)(3)(C)

IEP Contents and Considerations

In developing each child's IEP, the IEP Team, subject to subparagraph (C), shall consider...in the case of a child whose behavior impedes his or her learning or that of others, consider, when appropriate, strategies, including positive behavioral interventions, strategies, and supports to address that behavior.... (Section 614(d)(3)(B)(i))

Discipline

Either before or not later than 10 days after taking a disciplinary action described in subparagraph (A) - -

(i) if the local educational agency did not conduct a functional behavioral assessment and implement a behavioral intervention plan for such child before the behavior that resulted in suspension described in subparagraph (A), the agency shall convene an IEP meeting to develop an assessment plan to address that behavior; or

(ii) if the child already has a behavioral intervention plan, the IEP Team shall review the plan and modify it, as necessary, to address the behavior. (Section 615(k)(1)(B)

Role of the Committee on Special Education

IDEA requires that, in the case of a child whose behavior impedes the learning of the child or others, the CSE, as appropriate, must consider strategies, including positive behavioral interventions and supports, to address that behavior. The results of a student's individual evaluation information, including the functional behavioral assessment, are reviewed at a CSE meeting. IDEA requires that one of the members of the CSE be an individual who can interpret the instructional implications of evaluation results. Therefore, for students with behaviors that impede learning, it is recommended that an individual knowledgeable about behavioral assessments and intervention planning participate in the CSE meetings. This individual could be the school psychologist or the special or regular education teacher. In addition, the regular education teacher of the child, as a member of the CSE, participates in the development of the IEP of the student, including the determination of appropriate positive behavioral interventions and strategies.

It is the responsibility of the CSE to ensure that functional behavioral assessments, where appropriate, are conducted and reviewed to:

• identify supplementary aids and services, modifications and/or related services appropriate to address the identified behaviors to promote a student's involvement and progress in the general curriculum.
• determine a student's eligibility for special education services.
• develop the IEP which includes behavioral goals and objectives and positive behavioral supports and strategies.

In addition, CSEs must address behaviors that result in disciplinary actions.

• Either before or not later than 10 days after taking a disciplinary action (suspensions beyond 10 days in a school year or placements in interim alternative educational settings), a CSE meeting must be convened to develop an assessment plan to address the behavior that resulted in the disciplinary action. If the student already has a behavioral intervention plan, the CSE must review the plan and modify it, as necessary, to address the behavior. The CSE must ensure that behavior which precipitated the disciplinary action is addressed in the interim alternative educational setting.
• CSEs and other qualified individuals are also required to determine the relationship between a student's behavior and his or her disability (i.e., manifestation determinations). To make this determination, CSEs must consider evaluation and other information to ascertain if the IEP and placement are appropriate for the student; if the required IEP services were provided; if the IEP behavioral interventions were consistently implemented; and if the student understood his/her behaviors and could control them.

Behavioral Intervention Plans

Functional behavioral assessments provide specific information to the CSE concerning the design and implementation of effective strategies to address a student's behaviors. The identification of positive behavioral supports should be based on the functional behavioral assessment and address short-term prevention, the teaching of alternative skills, responses to problem behaviors and long-term prevention. Pages 13-14 of the attached document provide guidance on the recommended components of a comprehensive behavioral intervention plan.

The attached sections from the March 1998 publication, Functional Behavioral Assessment: Policy Development in Light of Emerging Research and Practice developed by the National Association of State Directors of Special Education (NASDSE), provide guidance on:

• Critical components of a functional behavioral assessment
• Functional behavioral assessment and special education decision making
• Screening for an understanding of a student's problem behavior
• References for further information

A copy of the complete NASDSE publication may be obtained by contacting Dr. W. David Tilly, Iowa Department of Education, Grimes Building, Des Moines, IA 50319 (dtilly@ed.state.ia.us)or the National Association of State Directors of Special Education, 1800 Diagonal Road, Suite 320, Alexandria, VA 22314.

Additional information regarding functional behavioral assessments developed by the Center for Effective Collaboration and Practice may be found on the internet at http://www.air-dc.org/cecp/resources/problembehavior/main.htm. Questions regarding this memorandum should be directed to (518) 473-2878.

Attachments

NOTE: The attachments referenced in this memorandum are not available through the internet. A copy of the complete memorandum with attachments may be requested by contacting VESIDSPE@mail.nysed.gov or contact your local SETRC http://www.nysed.gov/vesid/setrc.html.