Assessing Behavior
(Guideline 3)
Bridget Spanarkel
Caldwell College
Overview
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Introduction to Guideline 3
Assessing Behavior (3.0)
Behavioral Assessment Approval (3.01)
Functional Assessment (3.02)
Explaining Assessment Results (3.03)
Consent– Client Records (3.04)
Describing Program Objectives (3.05)
Case Discussions
Introduction to Guideline 3
• In Guideline 3.o, Assessing Behavior, the BACB
clearly specifies what goes into a behavior
assessment.
• It is a bedrock principle of behavior analysis that
it is necessary to “take a baseline” before any
treatment is contemplated.
▫ The reasoning behind this might not be so obvious
to those who are outside the field of ABA.
▫ The methodology used to take a baseline also
might not be clear to other professions.
Introduction to Guideline 3
• In the field of ABA, “taking a baseline” means
the following:
▫ A referral has been made of a behavior that is
problematic
▫ The behavior is observable and has been
operationally defined in a way that allows
quantification
▫ A trained observer has visited the setting where
the behavior occurs and has documented the
occurrence and circumstances under which it
occurs
Introduction to Guideline 3
• Behavior analysts do not work on rumor or
hearsay. Very often, they:
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Want to see the problem for themselves
Get a sense of the variability from day to day
Determine if there are any trends in the data
Understand the circumstances under which the
behavior occurs
▫ Get a sense of the function of the behavior
Referral
• “This kid is driving me crazy. He is constantly
out of his seat, talking with other children, and
he never completes an assignment that I hand
out. I spend all of my time sending him back to
his seat and telling him to sit down.” – Third
grade teacher
Referral
• Principal, Vice Principal, School
Counselor, or School Psychologist
might:
▫ immediately start giving the
teacher advice
▫ base their advice on their
experiences with past students
▫ schedule a battery of IQ and/or
personality tests
• BCBAs would:
▫ Assess the behavior first
▫ Take data on the time the child is
out of his seat (duration)
▫ Identify stimuli that set the
occasion for this behavior to
occur
▫ Assess the types of assignments
given to the student to see how
many, how appropriate, etc.
▫ Identify the types of prompts the
teacher uses
▫ Identify the type of reinforcement
that is maintaining the behavior
▫ Assess the degree of peer
involvement in the child’s
behavior
▫ Take enough baseline data to
ensure there is indeed a problem
that needs treatment
Without taking a baseline first, the
Behavior Analyst would:
• have to rely on an untrained, possibly biased
person’s estimate of the frequency of target
behaviors
• have to take the person’s opinion of likely
causes
• have no basis for evaluation of any suggestions
made
Assessing Behavior (3.0)
• “Behavior analysts who use behavioral
assessment techniques do so for purposes that
are appropriate in light of the research. Behavior
analysts recommend seeking a medical
consultation if there is any reasonable possibility
that a referred behavior is a result of a
medication side effect or some biological cause.”
Assessing Behavior (3.0)
What it says:
• “Behavior analysts who use
behavioral assessment
techniques do so for purposes
that are appropriate in light of
the research. Behavior analysts
recommend seeking a medical
consultation if there is any
reasonable possibility that a
referred behavior is a result of a
medication side effect or some
biological cause.”
What it means:
• The BA is obligated to learn about
the research associated with any
assessments used
• The BA is obligated to make sure
assessments are used within the
boundaries of reliability and
validity that have been
established
• The BA must consider the
possibility that a specific behavior
referral might be caused by or
affected by some biological factor
or by a medication side effect
• Any doubt about the origin of a
behavior– best to make a referral
to a physician or consult medical
professional
The text identified head banging, eye gouging, arm, leg, or
head scratching, lip biting, or other forms of self-injury as
dangerous behaviors that can be modified by behavioral procedures,
yet warrant a medical consult before beginning treatment. Head
banging could be a result of severe headaches, scratching could be a
symptom of allergies, etc.
Have you come across any similar situations in your clinical
experiences? How did you handle the situation?
Assessing Behavior (3.0)
• A) “Behavior analysts’ assessments,
recommendations, reports, and evaluative
statements are based on information and techniques
sufficient to provide appropriate substantiation for
their findings”
▫ BAs should know precisely how assessments’
standardization samples compare with their client
▫ Should be able to interpret the results using the test
manual
▫ Should be able to interpret associated research that
may have been done with the assessment
Assessing Behavior (3.0)
• B) “Behavior analysts refrain from misuse of
assessment techniques, interventions, results,
and interpretations, and take reasonable steps to
prevent others from misusing the information
these techniques provide”
▫ Most likely form of misuse: going beyond the data
that are actually collected
▫ We should not overstate the results of our
assessments and we should discourage others
from doing so.
Assessing Behavior (3.0)
• C) “Behavior analysts recognize limits to the
certainty with which judgments or predictions
can be made about individuals”
▫ Stay very close to the data, rather than make
unsubstantiated predictions about behavior
▫ Acknowledge that an assessment is not perfect or
definitive
Assessing Behavior (3.0)
• D) “Behavior analysts do not promote the use of
behavioral assessment techniques by unqualified
persons, i.e., those who are unsupervised by
experienced professionals and have not
demonstrated valid and reliable assessment
skills.”
▫ Only those who are well trained should be
involved in behavioral assessments
▫ Supervised by BCBA
Behavioral Assessment Approval (3.01)
• “The behavior analyst must obtain the client’s or
client-surrogate’s approval of the behavior
assessment procedures in writing before
implementing them.”
Functional Assessment (3.02)
• A) “The behavior analyst conducts a functional assessment, as
defined below, to provide the necessary data to develop an
effective behavior change program.”
• B) “Functional assessment includes a variety of systematic
information-gathering activities regarding factors influencing
the occurrence of a behavior (e.g., antecedents, consequences,
setting events, or motivating operations) including interview,
direct observation, and experimental analysis.
▫ “Best practice” to determine the function of a behavior prior to
writing a behavior change program
▫ Common functions: escape from demands, attention, tangible
reinforcers
▫ The same behavior may have different functions in different
environments.
▫ BAs should not make assumptions or base decisions on hearsay
Explaining Assessment Results (3.03)
• “Unless the nature of the relationship is clearly explained to the
person being assessed in advance and precludes provision of an
explanation of results (such as in some organizational
consultation, some screenings, and forensic evaluations),
behavior analysts ensure that an explanation of the results is
provided using language that is reasonably understandable to
the person assessed or to another legally authorized person on
behalf of the client. Regardless of whether the interpretation is
done by the behavior analyst, by assistants, or others, behavior
analysts take reasonable steps to ensure that appropriate
explanations of results are given.”
▫ Results should be explained “in plain English” or other appropriate
language
▫ Essential to assure that everyone understands the basis for
treatment that is to follow
▫ We want all parties to feel comfortable with what we do
Consent – Client Records (3.04)
• “The behavior analyst obtains the written
consent of the client or client-surrogate before
obtaining or disclosing client records from or to
other sources, including clinical supervisors.”
▫ Occasionally necessary to share information about
a case with supervisors, other professionals, or an
agency.
▫ In these cases, obtain written permission from the
client to do so.
Describing Program Objectives (3.05)
• “The behavior analyst describes, in writing, the
objectives of the behavior change program to the
client or client-surrogate before attempting to
implement the program. And to the extent
possible, a risk-benefit analysis should be
conducted on the procedures to be implemented
to reach the objective.”
▫ Standard practice to specify in writing the
objectives of all behavior change programs
▫ This statement should be shared with client or
client-surrogate
Dr. Stuart W., a Doctoral-level BCBA, has been working on Tom’s
behavioral issues for two years. Tom lives in a supported living
apartment in the community, and he works at a job with supervision
from vocational rehabilitation. Dr. W’s data shows that Tom
frequently arrives late or completely misses work. Tom would rather
stay home and sleep; a variety of incentive programs have been
ineffective. Dr. W. is wondering if Tom would benefit from
counseling. He has a friend and colleague who is a counselor; his plan
is to invite his colleague to lunch and tell him about Tom.
Can Dr. W. ethically talk to another professional about Tom to
determine if the person would consider taking Tom as a client?
Dr. W. must obtain the written consent of the client (Tom) or
his guardian before disclosing Tom’s records or giving
information such as his name or behavioral specifics to another
professional, regardless of the purpose.
Susan is a 52 year old woman with developmental disabilities. She lives at
home with her mother, who is her legal guardian, and she attends a
vocational training program. Susan is a client of developmental services, and
she receives behavioral programming as needed. Angie is a BCBA who works
with clients at the vocational program. She has been asked to provide
behavioral services for Susan. It seems that Susan has been spending all of
her money on junk food. Then, so that she has money, she has been asking
staff to give her loans or pay her for small favors. This behavior has escalated
to the point that Susan has no money for bus transportation and is making
everyone uncomfortable with her begging. Because begging is not really an
appropriate behavior, Angie feels that it would be okay to instruct the staff to
immediately begin treating begging with social disapproval.
At what point does Angie need to get approval from Susan’s mother?
Before implementing any procedures to change Susan’s behavior,
Angie needs to outline the objectives of the behavior plan in
writing for Susan’s mother (her legal guardian). It could be that
the mother feels Susan has the right to spend her money on
snacks as long as she goes to work. The intervention for this
problem may well be something for which the mother wishes to
have some input.
Questions? Comments?
References
Bailey, J., & Burch, M. (2011). Ethics for behavior
analysts: Second expanded edition. New York,
NY: Routledge Taylor and Francis Group.