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Functional Assessment: Responding to Challenging Behavior
by Rachel Lynn Freeman and Christopher I. Smith
Effective support and treatment of people who exhibit challenging behavior in their daily lives depends on being able to understand the “function” that the behavior serves for the individual. Often, behavior that might be seen as maladaptive or crisis-causing makes sense within the context of a particular person's life (i.e., gets them what they want and away from what they don’t want).
Functional assessment identifies the variables that predict and maintain problem behavior, and is used to improve the effectiveness and efficiency of behavioral support plans. This information can be especially important when trying to support a person whose behavior has become so intense that it has resulted in health or safety concerns. The functional assessment process assists in building behavioral support plans that are technically sound in their application of behavioral principles.
Components and Considerations
In functional assessment, there are three components – indirect assessment, direct assessment, and functional analysis – and two related considerations – contextual fit and systems-level assessment:
- Indirect Assessment: Indirect assessment includes interviews, written records, checklists, and questionnaires. Interviews with key people who are familiar with an individual’s problem behavior can help to narrow the range of variables influencing the behavior. These individuals may include people who are present when problem behavior occurs, or those who know the person well, as well as the individual engaging in problem behavior (depending upon communication skills and interest level). A review of records can provide information on past history, while quality of life measures may indicate other aspects of the individual’s life that can be addressed as part of a behavior support plan. Finally, checklists and rating scales are available that provide insight into the function of the individual’s problem behavior or the factors that may predict it.
- Direct Assessment: Direct methods of assessment involve observing the individual to identify when problem behavior occurs, what happens right before problem behavior, what problem behavior looks like, and how people respond to the occurrence of problem behavior. Direct measurement methods document the frequency, duration, latency, and intensity of problem behavior. Narrative data can help identify and confirm the immediate events in the environment that precede and follow the occurrence of problem behavior. A descriptive method of data collection will often involve documentation of identified setting events, antecedents, and maintaining consequences.
- Functional Analysis: A functional analysis tests hypotheses about a challenging behavior by systematically manipulating the variables or events that are thought to be associated with the occurrence of problem behavior. It is a formal test of the relationship between environmental variables and the occurrence (and non-occurrence) of behaviors. Researchers use this approach because it is the most controlled method for demonstrating the functional relationship between environmental events and challenging behavior.
- Contextual Fit: It is critical to attend to variables that will increase the “contextual fit” between an individual’s behavior support plan and those who will implement the plan. One reason for the failure of behavior support plans may be related to the lack of attention to how well a behavioral support plan matches the values, skills, and resources within the social network that will be implementing the plan. A behavior support plan with good contextual fit will: a) include interventions that work well in the target environment, b) identify extra training for staff when needed, and c) seek out resources available for behavioral support plan development.
- Systems-Level Assessment: An often overlooked but important task in positive behavioral support is to gather information that considers issues related to contextual fit by conducting a systems-level assessment. A systems-level assessment looks at resource availability, staff development processes, and the values of the individuals involved. Failure to consider the systemic issues related to resource availability and the characteristics of individuals involved may result in inconsistent implementation or complete rejection of the behavioral support plan.
Functional Assessment in Support
Functional assessment methods can be used to support persons with developmental disabilities in at least two important ways: developing behavior support plans that can be used in a variety of home and community settings, as well as ongoing assessment and adaptation of the plan and its goals.
Once an implementation team has decided upon the design of the behavioral support plan, the implementation process begins including any training needed to ensure successful implementation. It is important to consider longitudinal strategies that document the training process, so that any new members of the individual’s social network can be given similar training. Ongoing data collection systems for the behavior support plan must be established, and access to resources needed for the behavioral support plan are put in place during the support plan implementation process. Administrative changes that might ensure successful implementation are also created. An example might be an administrative system that ensures that staff are free to attend regular team meetings, review the behavioral and other data, make modifications to the plan, and embed the behavioral support plan training into larger staff development systems within an agency.
Neither challenging behavior, nor the broader social and service system within which it occurs, remains static. Behavior often changes radically, the people in an individual’s social network may change, or the individual may move to a different home or community. This means that functional assessment is an ongoing process, not a one-time event. Functional and systems-level assessments allow us to continually improve the behavioral support plan and assess resources that are needed to maintain quality of life for the individual.
Staff and Systems Issues
The building of collaborative teams and the assessment of systems-level factors affecting provision of services are two essential steps in the process of building community capacity to provide positive behavioral supports that draw upon a functional assessment approach.
Fostering a collaborative team process in positive behavioral support traditionally has not received much attention. The ability to work together effectively in interdisciplinary teams, however, is considered a crucial skill. The level of awareness an implementation team has about its own strengths and areas of need related to positive behavioral support can create opportunities for dialogue and problem solving during the design and implementation process. Important variables related to the implementation team include the skill level and experience of the individuals involved, the values and beliefs held by family and support providers, and the stressors that affect each team member.
Systems-level factors related to the larger environmental issues within an agency also need to be addressed in terms of the role they play in challenging behaviors. Attention may need to be given to a) assessment of the entire social network, b) management and resource-related issues, and c) staff development systems. Variables within the environment that influence the likelihood of problem behavior are the physical characteristics of the environment, the number of people in the environment and how they interact, and curricular or training activities. An under- standing of how these individual environmental variables influence behavior can be enhanced when they are observed as existing within a larger social network or system. Observing patterns of social interaction across staff and the individuals they support may provide information overlooked when considering assessment data related to only one individual and the environmental determinants of his or her behavior. Finally, assessing an agency’s staff development system will help to ensure smooth behavioral support plan implementation. Being aware of the agency-wide training systems that already exist for staff members may assist the implementation team as they consider training and support needs during plan implementation.
Implementation During a Crisis
Ideally, a functional assessment is conducted before an individual’s problem behaviors escalate to a point where the health and safety of the individual or those within the social network are threatened. When this is not possible, the methods used to conduct a functional assessment should be carefully considered when problem behavior escalates to dangerous levels. Implementing a combination of indirect assessment methods, direct observations, and functional analysis contributes to a strong functional assessment.
When an individual has been moved to a more restrictive setting during a crisis situation, information will be needed to develop a clear transition plan outlining the resources and steps necessary to ensure a systematic and predictable return to the individual’s home and community. Systems-level assessment issues become crucial during transition planning to address transition needs and positive behavioral support planning. Often, preparation for transition planning can be facilitated by an implementation team member interviewing key staff about transportation issues, schedule processes that will be needed, or temporary resources that may be necessary for the transition plan to occur.
Summary
When a team of individuals is working with a person who demonstrates challenging behavior, functional assessment can help to establish the function of the behavior, as well as the antecedent conditions and consequences that maintain it. Systems assessments can help these teams to be aware of the larger issues that can affect the implementation of behavior support plans such as agency and family resources, team skills and values, and the needs of the team regarding training for implementation of the behavior support plan. Together, these two assessments can increase the effectiveness and efficiency of behavior support plans, and ensure that these plans fit the context within which they are to be implemented. And ultimately these assessments can increase the likelihood of successfully supporting persons in their homes and communities.
Rachel Lynn Freeman is an Adjunct Faculty Member at the University of Kansas, Lawrence. She may be reached at 785/312-5338, or by e-mail at rfreeman@ukans.edu. Christopher L. Smith is an Assistant Research Professor at the University of Kansas, Parsons.
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Citation: Hanson, R., Wieseler, N., & Lakin, K. (2000). Impact: Feature Issue on Behavior Support for Crisis Prevention and Response, 14(1) [online]. Minneapolis: University of Minnesota, Institute on Community Integration. Available from http://ici.umn.edu/products/impact/141/. __________ Hard copies of Impact are available from the Publications Office of the Institute on Community Integration. The first copy of this issue is free; additional copies are $4 each. You can request copies by phone at 612-624-4512 or E-mail at icipub@umn.edu, or you can fax or mail us an order form. See our listing of other issues of Impact for more information. The print design version (PDF, 448K, 28 pp.) of this issue of Impact is also available for free, complete with the color layout and photographs. This version looks the most like the newsletter as it was printed. The University of Minnesota is an equal opportunity employer and educator.
