F UNCTIONAL B EHAVIOR A SSESSMENT

IDENTIFICATION INFORMATION

Student: Mikey Humphrey

Date of Birth: June 1, 2004 Chronological Age: 5 years 0 months
School Name: Greenwood Elementary Referring District: Wying Public Schools
175 Park Street
Wying, Massachusetts

Date of Report: June 4, 2009

Reporter: Amanda N. Kelly, M.S.Ed, BCBA
Coordinator of ABA Services

Reason for Referral

This functional behavior assessment is being completed at the request of the Wying Public Schools
Special Education department in response to Mr. and Mrs. Grandier’s request “to determine a good course
of action for dealing with his (Mikey) sensory integration and behavior disorder” (2009).

Background Information

Mikey, age 5, resides in Wying with his mother Paula, his father Mikey as well as with his siblings
ranging in age from 18 months to 20 years of age. Mikey has resided with Paula and Mikey since he was
seven months, though the formal adoption process was only recently finalized in November 2009. Mikey
presently attends an integrated-preschool classroom at the Greenwood School in the Wying Public School
district.

Information Sources

- Interview with Paula Grandier, Mother, May 17, 2009

- Interview with Holly Mannicotti, School Psychologist, May 14, 2009
- Interview with Ryan Westerly, Greenwood Principal, May 12, 2009
- Interview with Emily Peterson, Integrated Preschool Teacher, April 7, May 7 2009
- Direct Observation, Preschool, Gym, Library, March 25, 29, April 9 & 30, May 4, 2009
- Referral for FBA, Wying Public Schools, Steve Bueford, March 22, 2009
- Letter Request for FBA, Mr. & Mrs. Michael Grandier, March 2009
- Psychological Evaluation, Wying Public Schools, Holly Mannicotti, January 2009
- Occupational Therapy, Wying Public Schools, Candice Hasher, January 2009
- Educational Assessment, Wying Integrated Pre-K, Emily Peterson, January 2009
- Speech-Language Arena Assessment, Greenwood Elementary, Amy Noonse, January 2009
- Consultation Team Evaluation, Center for Children with Special Needs, Dr. Lettel & Dr.
Sigfriend, August 2007

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -1-
Indirect Assessment (Interviews)

Emily Peterson, Integrated Pre-K Classroom Teacher, April 7 & May 7, 2009
In an email dated, April 7, Mrs. Peterson shared that her main concern for Mikey is the frequency of his
non-compliant behaviors and the rate at which he can escalate if his requests are not honored. At times,
Mikey has exhibited aggressive behaviors, primarily towards adults in his environment to include spitting,
hitting, and kicking.

During a phone conversation, May 7, Ms. Peterson described recent behavioral episode that had occurred
the previous school day. It was reported that on May 6 Mikey and another student pushed another student
on the playground. As reported by Mrs. Peterson, the following school day Mikey and another student
were looking at the classroom caterpillars. After being reminded to look, not touch the caterpillars,
Mikey and the other student were observed to throw the cup under the table and to walk away. Mrs.
Peterson remains concerned about the inappropriate actions exhibited by Mikey in the classroom setting.

Ryan Westerly, Principal, Wednesday, May 12, 2009

In a phone conversation Mr. Westerly communicated that either he or Ms. Mannicotti will be called into
Mrs. Peterson classroom when Mikey exhibits behavioral difficulties. Mr. Westerly shared that there is a
separate space Mikey can access if he requires a break or needs to be removed from the classroom. Mr.
Westerly communicated that this space is not intended to be aversive and does not feel that Mikey views
it in this way. Mr. Westerly also discussed the potential classroom structure that will be available to
Mikey when he begins Kindergarten in the fall.

Holly Mannicotti, School Psychologist, Friday, May 14, 2009

In a telephone conversation Ms. Mannicotti shared that she has a positive rapport with Mikey. In
discussing Mikey’s behaviors Ms. Mannicotti expressed concern, specifically in regards to his
interactions and relationships with his peers. Ms. Mannicotti communicated that a specific social group
suitable for Mikey does not currently exist, but that with guidance as to his specific areas of need, could
be developed with Mikey in mind.

Paula Grandier, Mother, Monday, May 17, 2009

A phone interview was conducted with Mikey’s mother, Paula Grandier. Mrs. Grandier shared during the
interview that Mikey had been hospitalized for Kawasaki's disease in November 2009. During this time
Mikey received several transfusions and was out of school for six days. Mrs. Grandier reported that
Mikey used to engage in more challenging behaviors in the home but that this has substantially improved
over the last year. Mrs. Grandier expressed an interest in identifying the appropriate supports needed for
her son to be successful in school.

Direct Assessment (Observations)

Thursday, March 25, 2009, Circle, Centers, 1 hour

The first observation was conducted between 8:15-9:15 am on Mikey’s first day back from his California
family vacation. Upon entering the classroom, Mrs. Peterson stated, “Good morning Mikey” to which he
replied, “Where is my sticker chart”. Mrs. Peterson informed Mikey that there was a new one. Mikey
told his teacher that he wanted to play with toy frogs. He was asked to put the chairs at the tables first.
Mrs. Peterson then initiated a conversation about California.

Five-minutes after Mikey had come into the classroom the other students entered and went to Circle.
Mikey was observed to put the remaining chairs down at the table and to join his peers on the rug. At
Circle, Mikey was asked by Mrs. Peterson to move his carpeted square over. Mikey was observed to stay
seated on the square. Mrs. Peterson repeated the request and took hold of Mikey’s hands (held upwards).

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -2-
Mikey was observed to stand and to move over one square. Once seated, Mikey made several attempts to
return to the original space.

Afterwards the group of students seated at Circle transitioned to tables where play-dough and bristle
blocks were set out. The students who had been at these centers transitioned to Circle. During this time,
Mikey was observed sitting at the table with the bristle blocks interacting with peers also seated nearby.

Monday, March 29, 2009, 1 hour, Circle, Centers, Free Play

The second observation was conducted between 8:15-9:15 am. Data was collected on Mikey’s attending
during Circle. Attending was determined by whether or not Mikey was oriented towards the speaker and
engaged with the task. Of the 10-minutes sampled during the observation, Mikey attended to the lesson
70% of the time.

Friday, April 9, 2009, 1 hour, Gym

The third observation was conducted between 8:35-9:35 am. During Gym Mikey was observed to
participate in the tossing and pitching activities. After leaving Gym, Mikey’s group was instructed to go
to Circle. Mikey was seated next to Mrs. Peterson. When the movement activity began (“head toes”,
“shoulder nose”, “head toes, shoulder nose”) Mikey requested to go to the bathroom, which was honored.
Upon returning to the group, Mikey was informed that another student chose to stomp during the “Days
of the week” song (choices are stomp, clap, tap, etc.). Mikey was observed to comment, “I hate
stomping” to which a peer replied, “No you don’t”. The two students went back and forth until Mrs.
Peterson stated, “X and Mikey…Days of the week”. Mikey refrained from singing during the morning
meeting, with the exception of the “Today is Friday” song.

After the students were dismissed from Circle, Mikey was called back by Mrs. Peterson to review his
behavior chart. Mikey was then sent to the tables to complete an activity in a handwriting workbook. The
teaching assistants working at the tables intermittently offered positive comments to Mikey and his peers.
Mikey appeared to enjoy these comments (smiled, continued to engage in behavior).

Friday, April 30, 2009, 1 hour, Morning Routine, Gym

The fourth observation was conducted between 8:15-9:15 am. During this observation, Mikey entered the
classroom and immediately assisted in placing the chairs at each table. Mikey was asked by Ms. Deborah
(classroom Teaching Assistant) whether or not he liked Gym to which he replied, “No”. Mikey then
inquired, “All chairs or some” as he walked over to the sand table and kicked the chair. Ms. Deborah
stated, “We probably don’t want to kick chairs, but that one can stay there. Sometimes we need an extra
chair there”.

At this time the other students entered the classroom and placed their belongings in their cubbies before
taking a seat on the Circle rug. Mikey went to the sign-in wall and moved his picture from home to
school. Mrs. Nan, the Gym teacher entered the class and instructed the students to get ready for Gym.
Mikey was observed to leave the Circle area and to return to placing the chairs at each table. The
teaching assistant nearest to Mikey cued him to return to the rug. Mikey did not respond. Mikey was
approached by the reporter who stated, “We’ll save the chairs for you. Go join Mrs. Nan”. Mikey left the
tables and joined his group on the Circle rug.

In the gymnasium, Mrs. Nan handed out scarves to the students. When Mrs. Nan provided Mikey with
his scarf, Mikey replied, “Thank you”. Mrs. Nan allowed Mikey to take an extra scarf as he was the first
student to thank her. In addition, Mrs. Peterson gave Mikey a paw-print sticker for his manners.

For the remainder of the lesson, Mikey was observed to comply with the directions provided to him by his
teachers.

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -3-
Tuesday, May 4, 2009, 1 hour, Structured Small Group Activity, Free Choice (Water table)
The fifth and final observation was conducted between 9:15-10:15 am. Upon entering the classroom,
students were broken into small groups and were engaged in Centers activities. Mikey was seated with
Mrs. Peterson, Ms. Deborah and three peers at the Cooking center. During the activity, Mikey was
observed to place his hands in his mouth. Ms. Deborah approached Mikey discretely and stated, “If you
put your hands in your mouth, you have to wash your hands”. Mikey approached the classroom sink and
washed his hands (another student was also coming to wash the pudding off of their hand). Mikey
returned to the cooking table as the group was singing, ♪♫ “Mix it up Mikey, mix it up. Now it’s Mikey’s
turn” ♪♫ Mikey placed his cracker in the pudding and began to mix the ingredients. While doing this,
Mikey was observed to place his hands by his nose and mouth and was cued to wash his hands. Mikey
did not move from the Cooking center. Ms. Deborah guided Mikey by each shoulder and led him over to
the sink. Mikey reluctantly washed his hands and then returned to the activity. When all of the children
were dismissed from the center, they were sent to the sink to wash their hands (as it was a messy activity).

Mikey and another peer were observed playing at the Water table. The peer was using a turkey baster to
squirt water over the edge of the table and onto the floor. The students were approached by the reporter
who informed them, “The water must stay in the table”. While the observer was standing at the table, the
peer picked up the baster and squirted water again. The reporter removed the turkey baster from the
Water table and informed both students that they would have to leave if they could not follow the rules to
keep the water in the table.

Approximately five minutes later, Mikey was observed squirting water from a rubber ducky at his peer’s
face. The reporter approached Mikey, subtly removed the rubber ducky from his hand and told both
students that the Water table was closed and that they needed to make another choice. The lid was then
placed on the table. The peer walked away quickly towards another center, while Mikey remained at the
Water table. Mikey made several attempts to pry the reporter’s fingers off of the table and to open the lid.
Mikey was instructed to make another choice, “You can do Bristle blocks or go to the House area”.
Mikey continued to insist on being at the Water table while commenting, “You can’t make me leave”, “I
hate you”, “Stupid lady”. The reporter picked up a chair that was nearby and informed Mikey, “You can
sit in this chair if you want to. You don’t have to. You can stand over here if you want. You can make
another choice, but you cannot go to the Water table”. Mikey attempted to return to the Water table at
which point the reporter cued Mikey (by placing a hand on each shoulder) to the chair. Mikey was
observed to sit for approximately 10-15 seconds before walking back towards the Water table. “Don’t
touch me” Mikey proclaimed, to which the reporter replied, “If you keep your hands on your body, I will
keep my hands on mine”. Mikey folded his arms and sat on the small trampoline nearby. Mikey made
several comments about the reporter under his breath. The reporter offered praise for Mikey’s choice to
sit. “I’m glad that you’ve take a seat. It’s okay to be mad. When I’m mad I try to walk away. Let me
know when you’re ready to make another choice”. Mikey remained seated on the trampoline with his
back to the reporter and his arms crossed, for approximately 2-minutes before turning around and saying,
“I want to go play”. The reporter informed Mikey that he could go play, though he would need to clean
up shortly as it was almost time for recess.

Mikey entered the Dramatic Play area where three other children were playing. Almost immediately,
Mrs. Peterson began singing the “Clean-Up” song. Mikey was prompted by the reporter to help clean up,
specifically to “Pick up the plates. There’s a purple one and a yellow one”. Mikey picked up the plates
and placed them in the cabinet. One student called to Mikey several times without receiving a response.
After having his named called several times by this student, Mikey turned around and screamed,
“What!?” while taking the items out of the girls hand and tossing them on the floor. The other students
were immediately cued out of the area by the reporter, “You can all go to Circle. We’ve got it. Mikey
and I will clean up everything here”. The students exited the area without comment. Mikey was

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -4-
instructed to pick up the items he had thrown on the floor by the reporter in a neutral tone of voice,
“Mikey, please pick these up”, while pointing at the items on the floor. While the other students were
seated at the Circle rug with Mrs. Peterson, Mikey was seated on a small foam couch. Mikey began to
bounce up and down on the couch. The reporter guided Mikey off of the couch and removed it from the
area. Mikey approached the reporter and stated, “Lady, that doesn’t go there” with a somewhat distraught
expression on his face. “Neither does this” the reporter replied while pointing to the items Mikey had
thrown on the floor. “When you pick this up, I will put the couch back”. Within 5-seconds Mikey had
picked up the items and placed them in the appropriate place. The reporter then placed the couch back
along the wall. Mikey was dismissed from the area and told he could go join his peers on the rug.

Approximately 5-minutes later the students were called to line up to go outside. The reporter approached
a group of children standing in line near Mikey. The reporter asked the students, “What’s your
playground like? Do you have swings?” The children informed the observer that their playground only
had slides and monkey bars, to which the reporter replied, “I love slides!” Mikey then asked, “Do you
like water slides?” “Of course, they are my favorite”, answered the reporter. Mikey then commented that
he gets to go on water slides on vacations to California. The students exited the classroom for recess.

Target Behaviors

- Inappropriate Comments: anytime that Mikey teases, name calls, threatens, tells jokes about, tells
others not to play with, tells non-truths, screams at, or yells towards another person. Example:
“Let’s get him” “I hate you”. Non-example, “Tag, you’re it!”

- Physical Non-compliance: instances in which Mikey does not physically respond to adult-
directives within 15-seconds of the demand. Example: Mikey is told to wash his hands and he
remains seated at the center. Non-example: Mikey is told to wash his hands and while going to
the sink, turning on the water and washing his hands screams, “I hate this”.

- Aggressions: anytime Mikey’s body makes intentional, forcible contact with another peer or adult
in his environment to include kicks, hits, pinches and scratches as well as full-body pushes or
shoves. Example: Mikey runs up to another child and thrusts all his weight into the child
resulting in the child falling on the ground. Non-example: Mikey is running while looking
backwards and bumps into another child.

Strengths

Mikey is incredibly bright as evidenced by his creativity during dramatic play scenarios observed during
assessment as well as his performance on The Wechsler Intelligence Scale for Children (WPPSI-III) as
computed in his Psychological Evaluation conducted by Holly Mannicotti, Greenwood Elementary
School Psychologist; “Mikey’s performance indicated that his overall level of functioning was in the
superior range” (January 2009).

Functional Assessment Summary

Inappropriate comments made by Mikey appear to be in response to demands, suggesting a primary

function of escape. It is important to note that Mikey may be attempting to escape individuals rather than
specific demands. For instance, when cleaning up in the Dramatic Play area, Mikey’s response to his peer
(to scream and throw the items) was likely to escape her persistent calling of his name. It is unlikely that
Mikey was trying to escape the activity (cleaning up) as he was already performing this task.

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -5-
Mikey’s non-compliant behaviors appear to be primarily in response to demands, although this behavior
may actually occur as a result of denied access or termination of a preferred activity (water table).
Situations in which demands are placed may concurrently signify to Mikey the end of a self-directed
(more preferred) activity.

Aggressions exhibited by Mikey appear to serve function of obtaining attention from adults and peers in
his environment. This certainly is not intended to imply that as a consequence the behavior should be
ignored; aggressions cannot be ignored. However knowing that Mikey is attempting to communicate to
others is encouraging and does offer recommendations for intervention.

It is the professional opinion of the reporter that Mikey does not engage in aggressive behaviors to satisfy
a sensory need. If Mikey engaged in aggressive behavior to address an internal need, his behavior would
occur across all situations; when demands are placed, when playing alone, when given undivided
attention and when given access to preferred objects and activities. Behaviors that serve an automatic or
sensory function are behaviors that are visually appealing, physically comforting, or those that are
pleasing to smell, taste, or hear.

This is not intended to suggest however that Mikey does not engage in high rates of physical
movement/fidgeting. During observations, Mikey was observed to lean back in his chair, rest his body
against walls, and to plop down when sitting. It appears that Mikey receives some automatic satisfaction
from engaging in these behaviors, which implies that any reinforcement he receives comes from within
rather than from others in his environment. At this time it appears that Mikey is successful at meeting his
needs without major disruption to the classroom routine or setting.

Recommendations

• Due to the substantive need for assessment, monitoring and support, an investigation of Mikey’s
need for additional special education services may to address Mikey’s Social/Emotional and
Behavioral needs.

• It is recommended that Social Skills lessons be provided to Mikey as his behaviors indicate a
need for explicit instruction and facilitation during social situations. Specifically, Mikey would
benefit from one-to-one or small group instruction which focuses on how to appropriately
respond to various social situations.

• In addition to support in scripted situations, Mikey would benefit from facilitation in natural
situations. While it is beneficial to walk through these scenarios when Mikey is calm and
cooperative, it is even more crucial that he be supported when he is an elevated emotional state
(e.g. angry). Some of the Social skills lessons focus should be provided during times of high
rates of peer interaction (lunch, recess, centers, cooperative games, etc.).

• A formal Behavior Intervention Plan [BIP] should be developed in order to provide Mikey with
consistent behavior expectations. The BIP should be regarded a fluid document that should be
modified as Mikey’s needs change. Therefore it may not be necessary to attach a specific BIP to
the IEP, but rather to indicate that one will be developed which provides detailed language, so
that it can be implemented by all staff working with Mikey on a daily basis. This includes the
classroom teachers and teaching assistants, teachers of Specials (Library, Art, and Music) and
Therapies (SLP, OT, PT) as well as the Administration intervening with Mikey.

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -6-
 • It is critical to identify replacement behaviors which address the specific functions of Mikey’s
behavior. For example, if Mikey is seeking ways to escape, it may be appropriate to allow him to
request breaks from the classroom or other ways to escape a task. Ultimately the goal would be
for Mikey to withstand (safe, yet undesirable) situations without exiting the classroom. This
terminal goal will likely require smaller, incremental approximations. It is important to consider
that Mikey requesting a break to leave the room is more desirable than him exhibiting aggressive
behaviors which result in his removal from the class.

• Individuals interacting with Mikey will need to prioritize his behavioral targets. For instance, if
the focus is to have Mikey remain seated at Morning Meeting without disruption, then the initial
emphasis would not be placed on whether or not Mikey sang along with his peers. As Mikey
makes progress in regards to his behavioral performance, then expectations should be
incrementally increased.

• When working with Mikey, teachers should attempt to use group reminders before individually
attending to Mikey’s behaviors “Remember we wash our hands before we come to the cooking
activity”, before stating, “Mikey, wash your hands”.

• For any instances where Mikey’s behavior warrants individual attention, teachers should
approach Mikey and provide his directives discretely (so as not to draw the attention of his peers).
When approaching Mikey teachers should bend down to his level and use a neutral tone of voice.
When speaking to him; teachers should be mindful about maintaining adequate space.
Individuals interacting with Mikey should be sensitive to his need to feel supported and safe and
should be cautious to approach Mikey in a non-threatening manner.

• When delivering directives specific to Mikey teachers should be cognizant not to engage Mikey
in discussion or debate. Based on observations and staff reports, Mikey is more likely to continue
exhibiting disruptive comments when he is able to engage back and forth with others. When
delivering directives or attending to aberrant behaviors, teachers should maintain a flat affect with
a neutral tone. Increasing the use of visual aids/gestures (e.g. pointing) may also be an effective
technique for decreasing Mikey’s opportunities for engaging in arguments with teachers.

• Teachers working with Mikey should attend to appropriate actions and comments.
Implementation of this strategy will more likely to lead to an increase in desired behaviors. For
times in which Mikey engages in behaviors consistent with the classroom rules, (raising his hand,
waiting his turn, stating ‘excuse me’, etc.) his teachers should offer intermittent verbal/social
praise (e.g. smile, head nod, ‘Thanks for waiting’, etc.). When delivering verbal praise to Mikey,
teaching staff should convey sincere excitement in regards to their tone of voice and in their
expression.

• A formal reinforcement plan may also be beneficial for Mikey. Prior to constructing any type of
reinforcement system, a preference assessment should be conducted to identify Mikey’s
motivators. The team should give particular consideration to motivators that naturally occur in a
school setting (e.g. classroom helper, messenger, etc.).

• Teaching strategies that Mikey may respond favorably to are ones that place an emphasis on high
rates of Active Student Responding (ASR) rather than merely on-task behavior. As Mikey excels
academically is it important that he is engaged and stimulated. Mikey will be more likely to
exhibit undesired, off-task behaviors if he becomes bored.

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -7-
 • If given an option between part-time or full-day Kindergarten, it is the recommendation of the
reporter that Mikey attend a full-day Kindergarten classroom. In order to make effective progress
toward his Social/Emotional and Behavior goals Mikey would benefit from consistent structure of
his day. In addition, Mikey would benefit from a co-taught classroom which would offer increase
availability and access to adult attention.

• Mikey and his team should continue to have access to Administrative support within the building.
It is important that the use of Administrative support be clearly detailed and included into
Mikey’s BIP in order to decrease the likelihood that Mikey will engage in behaviors to obtain
access to individuals/escape from others.

• It is recommended that Behavioral Consultation be provided to Mikey’s teaching team for the
upcoming school year by a person who is Board Certified as a Behavior Analyst [BCBA] or
person with equivalent training.

• Family involvement and support of the interventions developed and implemented in the school
setting is crucial for Mikey’s success. Mikey has experienced several emotional events in his life,
and therefore may have an increased need to be shown that the people in his environment are
supportive and can be trusted. Open, on-going communication between Mr. & Mrs. Grandier and
the Wying Public Schools is recommended. In addition, Mr. & Mrs. Grandier should have
monthly access to the Behavioral Consultant offering school consult on Mikey’s case.

It is the opinion of this reporter that with the implementation of the above stated recommendations that
Mikey will be successful in his upcoming Kindergarten placement. A formal team meeting has been
scheduled for Wednesday, June 9, 9:00 am to review this report. If there are any questions or concerns in
the interim or following the meeting, please feel free to contact me directly at akelly@madeupemail.com,
333-555-1212 x 44

Respectfully Submitted,

_________________________________________ ________________________
Amanda N. Kelly, M.S.Ed, BCBA Date
Coordinator of ABA Services

Humphrey, Mikey Amanda N. Kelly, M.S.Ed, BCBA

This is a sample FBA. All names have been changed. -8-