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Functional Assessment and
Program Development
for Problem Behavior
A Practical Handbook 3rd edition

Robert E. O’Neill
University of Utah

Richard W. Albin
University of Oregon

Keith Storey
Touro University

Robert H. Horner
University of Oregon

Jeffrey R. Sprague
University of Oregon

Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Functional Assessment and Program © 2015, 1997 Cengage Learning
Development for Problem Behavior:
WCN: 02-200-203
A Practical Handbook, Third Edition
Robert E. O’Neill, Richard W. Albin, Keith ALL RIGHTS RESERVED. No part of this work covered by the copyright herein
Storey, Robert H. Horner, & Jeffrey Sprague may be reproduced, transmitted, stored, or used in any form or by any means
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Printed in China
1 2 3 4 5 6 7 17 16 15 14 13

To the children, students and adults who

taught us how to conduct and use functional

assessment procedures; and to the families,

teachers, and community staff who used

previous versions of the tools in this book and

helped us understand how to make these tools

more practical and effective.

ABOUT THE
AUTHORS

ROBERT E. O’NEILL, PH.D. Dr. O’Neill is cur- has over 30 years of experience in research, pro-
rently the chairperson of the Department of Spe- gram and model development, personnel prepara-
cial Education at the University of Utah, and is a tion, and technical assistance related to people
Board Certified Behavior Analyst (BCBA). He has with intellectual and developmental disabilities
previously served as the coordinator of both the (I/DD) of all ages. He has conducted and pub-
Program in Severe Disabilities and the Program lished research related to positive behavior sup-
in Mild/Moderate Disabilities in the department, port, general case instructional procedures for
and teaches in both program areas. In addition, learners with I/DD, and person-centered plan-
Dr. O’Neill teaches courses in the department’s ning, and has collaborated in the development of
masters and doctoral programs. He received his numerous training materials and the provision of
M.A. and Ph.D. from the University of California in-service training in positive behavior support.
at Santa Barbara, after which he was a member His teaching in the College of Education at Ore-
of the faculty at the University of Oregon for nine gon has included courses in programming and in-
years before moving to the University of Utah. struction, behavior and classroom management,
Dr. O’Neill’s recent work has focused on strategies grant writing, quantitative research methods, and
for supporting persons exhibiting severe problem single-case research design. He is currently an
behaviors in a variety of community settings, in- associate editor for the Journal of Positive Behavior
cluding homes, classrooms, and work sites. His Interventions.
current work is concerned with the areas of func-
tional assessment, teaching communication skills KEITH STOREY, PH.D. Keith Storey received
as alternatives to problem behaviors, school-wide his Ph.D. from the University of Oregon. He is cur-
behavioral support, and gender issues in emotional rently a Professor of Education and is the Special
and behavioral disorders. Dr. O’Neill has received Education Program Chair at Touro University in
over half a million dollars in federal grant sup- Vallejo, California. He served for six years as a
port for his research, development, and personnel classroom teacher working with individuals with
preparation activities. He has published a number a variety of disability labels. Keith is the recipi-
of journal articles, books, and book chapters, and ent of the 1988 Alice H. Hayden Award from The
has done presentations at a variety of state, na- Association for Persons with Severe Handicaps;
tional, and international conferences. His work has the 1996 Hau-Cheng Wang Fellowship from Chap-
appeared in the Journal of Applied Behavior Analy- man University, which is presented for exceptional
sis, Exceptional Children, Research and Practice in merit in scholarship; and the 2001 Robert Gaylord-
Severe Disabilities, Education and Treatment of Chil- Ross Memorial Scholar Award from the California
dren, Journal of Developmental and Physical Dis- Association for Persons with Severe Disabilities.
abilities, Journal of Special Education, Remedial and He is a member of the Illinois State University Col-
Special Education, Journal of Behavioral Education, lege of Education Alumni Hall of Fame and serves
and the Journal of Positive Behavioral Interventions. on the editorial boards of Research and Practice
for Persons with Severe Disabilities, Education
RICHARD W. ALBIN, PH.D. Richard W. Albin and Treatment of Children, Career Development for
is a Senior Research Associate/Associate Professor Exceptional Individuals, Journal of Vocational Re-
in the Department of Special Education and Clini- habilitation, Journal of Positive Behavior Interven-
cal Sciences at the University of Oregon. Dr. Albin tions, and Education and Training in Autism and

Developmental Disabilities. He has also published behavioral assessment, school safety, youth vio-
the books Positive Behavior Supports in Classrooms lence prevention, and juvenile delinquency preven-
and Schools: Effective and Practical Strategies for tion. Dr. Sprague began his career as a teacher of
Teachers and Other Service Providers, Systematic students with low-incidence cognitive disabilities,
Instruction for Students and Adults with Disabili- and his early career research was focused pri-
ties, Walking Isn’t Everything: An Account of the Life marily in this content area. In 1990 and 1997, Dr.
of Jean Denecke, and The Road Ahead: Transition Sprague coauthored the first guide to Functional
to Adult Life for Persons with Disabilities. Behavioral Assessment. Jeff is a contributor to
“Early Warning, Timely Response,” and the 1998,
ROBERT H. HORNER, PH.D. Rob Horner is 1999, and 2000 “President’s Annual Reports on
professor of special education at the University School Safety.” He has written a book on crime
of Oregon. His research has focused on behavior prevention through environmental design (CPT-
analysis, instructional strategies for learners with ED) for school administrators. Jeff has authored
severe disabilities, and systems change. He has a book on school safety, Safe and Healthy Schools:
worked for the past 18 years with George Sugai in Practical Prevention Strategies, with Hill Walker for
development and implementation of school-wide Guilford Publications (Sprague & Walker, 2005;
positive behavior support (SWPBS). Over 19,000 www.guilford.com), and a book on school-wide
schools are implementing SWPBS nationally. Re- positive behavior interventions and supports,
search, evaluation and technical assistance out- Best Behavior: Building Positive Behavior Supports
comes from this effort indicate that investing in in Schools, with Annemieke Golly (2005; www.
the development of a positive social culture is as- sopriswest.com). In 2008, he published Universal
sociated with improved behavioral and academic Screening: Integrating RTI and Behavior Support
gains for students. (www.shoplrp.com). Dr. Sprague has published
more than 150 journal articles and book chapters.
JEFFREY R. SPRAGUE, PH.D. Dr. Jeffrey He currently directs an R01 research project for
Sprague is a Professor of Special Education and the National Institute in Drug Abuse, to conduct
Director of the University of Oregon Institute on the first evaluation of the effects of positive behav-
Violence and Destructive Behavior. He directs fed- ior supports in middle schools, and is coprincipal
eral, state and local research and demonstration investigator on five Institute of Education Sciences
projects related to positive behavior interventions Goal 2 development projects focusing on positive
and supports, response to intervention, youth vio- behavior supports, response to intervention for
lence prevention, alternative education, juvenile behavior, classroom management, student self-
delinquency prevention and treatment, and school management, and PBIS implementation in juve-
safety. His research activities encompass applied nile justice settings. Jeff is a native Oregonian,
behavior analysis, positive behavior supports, husband, and father of two girls who fly, bicycle,
behavioral response to intervention, functional run, fish, and play guitar.

CONTENTS

1 Introduction 1
Using the Functional Assessment Interview
(FAI) Form 16
Developing Summary Statements 21
Purpose of the Handbook 2 Including the Individual:
Who Should Use This Handbook? 3 The Student-Directed Functional
Assessment Interview 22
Functional Behavioral Assessment 4
Who Should Be Interviewed? 32
What Is a Functional Behavioral Who Should Conduct the Student-Directed
Assessment? 5 Interview? 32
An Overview of Approaches in How Long Does the Interview Take? 32
Comprehensive Functional Assessment 5 What Are the Outcomes of a Student-
Informant Methods 6 Directed Interview? 32
Direct Observation 7 Using the Student-Directed Functional
Assessment Interview Form 32
Systematic Manipulations—Functional
Validating the Student-Directed Functional
and Structural Analyses 8
Assessment Interview 40
Why Conduct a Functional
Direct Observation 40
Assessment? 8
Keep It Simple 40
Additional Issues to Consider before
Conducting a Functional Assessment 9 When and Where Should Observations
Be Done? 40
Person-Centered Planning 9
Who Should Observe? 41
Activity Patterns and Social Life 10
How Long Should Direct Observation Data
Medical and Physical Issues 10 Be Collected? 41
A Statement of Values 10 What Does the Functional Assessment
Observation Form Do? 41

2 Functional The Content of the Functional Assessment

Observation Form 42

Assessment and Analysis Using the Functional Assessment

Observation Form 45
Strategies 13 Exercise in Form Setup, Observation, and
Recording 48
The Assessment Process 14 Interpreting Functional Analysis Observation
Form Data 50
The Functional Assessment
Interview (FAI) 14 Confirming or Revising Initial Summary
Statements 51
Who Should Be Interviewed? 14
Examples in Analyzing Data from Direct
What Are the Outcomes of a Functional Observations 51
Assessment Interview? 15
Decision Making Based on Observational
How Long Does a Functional Behavioral Data 55
Assessment Interview Take? 15

Functional Analysis Manipulations 57 Behavior Support Plans Should Fit the Setting
Where They Will Be Implemented 78
When Should Functional Analysis Be
Done? 58 Selecting Intervention Procedures:
Who Should Be Involved? 58 The Competing Behavior Model 79
The Process of Conducting a Functional Constructing a Competing Behavior
Analysis 58 Model 80
Ideas for Testing Different Types of Summary Competing Behavior Model for Erica 87
Statements 60 Competing Behavior Model for Cornell 88
Examples of Functional Analysis Competing Behavior Model for Stewart 89
Manipulations 61
Competing Behavior Model for Curtis 91
Important Considerations and Guidelines
Concerning Functional Analysis
Procedures 65
5 Writing Behavior
3 Linking the Function Support Plans 95

of the Behavior to the Writing Behavior Support Plans 99

Intervention 67 Why Write Behavior Support Plans? 99

Identifying Potential Interventions 99
Importance of Linking Function and Elements of Behavior Support Plans 99
Intervention 69
Operational Descriptions 100
Function versus Topography 69 Summary Statements 101
Function-Based Teaching General Approach 101
Interventions 70
Safety or Crisis Plan 101
102

4 Building Behavior
Key Routines
Monitoring and Evaluation 102
An Implementation Plan for the Behavior
Support Plans 73 Support Plan 102
Example Behavior Support Plan: Mara 103
Building Behavior Support Plans 75
Four Considerations for Building
Behavior Support Plans 75 Appendixes
Behavior Support Plans Describe the
Behavior of Plan Implementers 76 A: List of References Relevant to
Functional Assessment and Positive
Behavior Support Plans Should Build from Behavioral Interventions and Support
Functional Behavioral Assessment Results 76 Approaches 105
Behavior Support Plans Should Be B: Functional Assessment Interview Form
Technically Sound 77 (FAI) 115

C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83

Interview Form 123 4.7 Competing behavior model form. 84
D: Blank Functional Assessment Observation 4.8 Competing behavior model and
Form 127 intervention strategies for Mara. 87
E: Functional Assessment Observation Form 4.9 Competing behavior model and
for Yolanda 129 intervention strategies for Erica. 88
F: Summary Statements for Observation Form 4.10 Competing behavior model and
Examples 131 intervention strategies for Cornell. 89
G: Blank Competing Behavior Model 4.11 Competing behavior model and
Form 133 intervention strategies for Stewart. 90
4.12 Competing behavior model and
intervention strategies for Curtis:
Figures yelling and throwing. 91
4.13 Competing behavior model and
2.1 Defining the consequences that maintain intervention strategies for Curtis: pinching
problem behavior. 19 and scratching. 92
2.2 Completed Functional Assessment Interview 4.14 Competing behavior model and
form for Curtis Jackson. 23 intervention strategies for Curtis: calling
2.3 Example of completed daily schedule out, slapping, and pounding. 93
matrix (from Student-Directed Functional 5.1 Flowchart of variables to consider for
Assessment Interview). 34 identifying potential interventions. 100
2.4 Summary diagram of problem behavior 5.2 Example behavior support plan for
situation. 35 Mara. 103
2.5 Completed example of the Student-Directed
Functional Assessment Interview. 36 Boxes
2.6 Functional Assessment Observation Form. 43
2.7 Completed observation form for Joe. 46 The Six Primary Outcomes of the Functional
Assessment Process 5
2.8 Blank observation form for exercise. 49
Three Strategies for Collecting Functional
2.9 Completed observation form for Erin. 52 Assessment Information 6
2.10 Completed observation form for Peter. 54 What Is Behavior? 7
2.11 Completed observation form for Curtis. 56 Examples of Summary Statements Based on
2.12 Functional analysis manipulation of Interview Information 22
antecedent conditions (easy versus hard tasks) Steps for Setting Up a Functional Assessment
for Greg. 62 Observation Form for Collecting Data 45
2.13 Functional analysis manipulation of Basic Steps for Recording Data on the
consequence conditions for Ben. 63 Functional Assessment Observation Form 48
2.14 An example of brief functional assessment Basic Guidelines for Interpreting Data from the
with Shante. 64 Functional Assessment Observation Form 53
4.1 Your diagram of a summary statement. 81 Guidelines for Conducting Functional Analysis
Manipulations 66
4.2 Expanded competing behavior model. 82
The Three Steps Involved in Completing a
4.3 Anchina expanded competing behavior Competing Behavior Model 80
model. 82
Competing Behavior Model for Kiran 96
4.4 Mara’s assessment information. 83
Behavior Support Plan: Competing Behavior
4.5 Competing behavior diagram for Mara. 83 Model for Kiran 97
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
ix

PREFACE

The development of the third edition of this hand- Efforts to support persons who exhibit serious
book was prompted by a number of issues. Sub- problem behaviors will always involve some level of
stantial conceptual and technological advances risk to the person themselves and to the staff and
continue to be made in approaches for analyzing family members attempting to support them. We
patterns of problem behavior and developing sup- have made every effort to recommend appropriate
port programs, and we wanted to incorporate them safety guidelines throughout this handbook. How-
into the handbook. Also, we have modified the forms ever, we recognize that no procedures can absolute-
and procedures from the second edition in ways we ly guarantee the safety of people involved in prob-
believe improve both the efficiency and effectiveness lematic situations. Therefore, we must declare that
of the functional behavioral assessment process. all responsibility for ensuring the safety of individ-
Above all, we were strongly motivated to continue uals who become involved in procedures described
providing teachers, clinicians, and family members in this handbook lies with those implementing
with practical strategies to help them in their daily and supervising the procedures (such as teachers,
work. Digital Downloads of the Functional Assess- psychologists, parents and family members, resi-
ment Interview (FAI) are also included, as well as dential and vocational staff, and consultants). No
other useful forms from the textbook for students legal responsibility or obligation for personal safety
to download and use to review key concepts both is accepted by the United States government; the
in and out of the classroom. Look for the Digital University of Oregon; the University of Utah; Touro
Download label that identifies these items. Another University; the states of Oregon, Utah, and Califor-
key resource included in this revised edition is the nia; the authors of this manual; or the publisher.
TeachSource Video Connection boxes, which fea-
ture footage from the classroom to help students
relate key chapter content to real-life scenarios.
Critical-thinking questions provide opportunities Acknowledgments
for in-class or online discussion and reflection.
Most of this handbook is devoted to strategies We acknowledge the many teachers, family mem-
that are considered part of functional behavioral bers, consultants, researchers, and others who
assessment rather than functional analysis. Func- have implemented the strategies described in
tional behavioral assessment is a broad process the editions of this book and who have provided
for gathering information to understand problem feedback on both positive features and aspects
behavior situations and develop effective support that would benefit from revision. In particular,
plans. Functional analysis is a process for con- we thank Drs. Steve Newton, Edward Carr, Glen
ducting experimental analyses of the contingencies Dunlap, Wayne Sailor, Lynn Koegel, Robert Koe-
that maintain problem behaviors. The definitions of gel, Daniel Baker, and Jacki Anderson and Ms.
these terms and the strategies involved in both ap- Anne Todd for their helpful input and feedback
proaches are discussed in detail in the handbook. in the preparation of this third edition. We would
To make the handbook easy to read, we have also like to acknowledge the debt that we owe to
purposely avoided providing a large number of B. F. Skinner for his research in the field of be-
references in the text, although a few are used to havior analysis, which has led to the empirical
provide appropriate recognition to the work and foundation on which this book is based. We also
ideas of others. Instead, we have provided a list acknowledge our significant debt to the students
of references and resources relevant to functional with and without disabilities and adults with dis-
assessment and analysis in Appendix A. Readers abilities who have provided guidance and feed-
interested in relevant research and other related back in the design and revision of procedures de-
material should consult this list. scribed here.
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
x

We would also like to thank the reviewers who eBook, quizzes, Digital Downloads, TeachSource
provided us with valuable input for the third videos, flashcards, and more—as well as Engage-
edition: mentTracker, a first-of-its-kind tool that monitors
● Susan Copeland, University of New Mexico student engagement in the course. The accompa-
● Mary Estes, University of North Texas nying instructor website, available through login.
cengage.com, offers access to password-protected
● Karen Gischlar, Rider University
resources such as PowerPoint® lecture slides and
● Cynthia Grunning, Rider University the online Instructor’s Manual with Test Bank.
● Deborah Guyer, University of Toledo CourseMate can be bundled with the student text.
● Juliet Hart, Arizona State University Contact your Cengage sales representative for
information on getting access to CourseMate.
● Ronald Martella, Eastern Washington University
● Diane Myers, Assumption College, Worcester Online Instructor’s Manual
● Arnold Nyarambi, East Tennessee State University
with Test Bank
● Diane Plunkett, Fort Hays State University
An online Instructor’s Manual accompanies this
● Deb Schweikert-Cattin, Regis University book. It contains information to assist the instruc-
● Suzanne Shellady, Central Michigan University tor in designing the course, including sample syl-
● Jan Weiner, California State University, Fullerton labi, discussion questions, teaching and learning
activities, field experiences, learning objectives,
and additional online resources. For assessment
Additional Resources support, the updated test bank includes true/
Student Ancillaries false, multiple-choice, matching, short-answer,
and essay questions for each chapter.
Cengage Learning’s Education CourseMate brings
course concepts to life with interactive learning,
COGNERO
study, and exam preparation tools that support
the printed textbook. Access the eBook, Digi- Cengage Learning Testing Powered by Cognero is
tal Downloads, TeachSource videos, flashcards, a flexible, online system that allows you to author,
and more in your Education CourseMate. Go to edit, and manage test bank content from multiple
CengageBrain.com to register or purchase access. Cengage Learning solutions; create multiple test
versions in an instant; and deliver tests from your
LMS, your classroom, or wherever you want.
TeachSource Videos
The TeachSource videos feature footage from the PowerPoint® Lecture Slides
classroom to help students relate key chapter con-
tent to real-life scenarios. Critical-thinking ques- These vibrant Microsoft® PowerPoint lecture slides
tions provide opportunities for in-class or online for each chapter assist you with your lecture by
discussion and reflection. providing concept coverage using images, figures,
and tables directly from the textbook.

Instructor Ancillaries Robert E. O’Neill

Cengage Learning’s Education CourseMate brings Richard W. Albin
course concepts to life with interactive learning, Keith Storey
study, and exam preparation tools that support Robert H. Horner
the printed textbook. CourseMate includes the Jeffrey Sprague
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.

1 Window to the World

Introduction

■ Case Study ONE

Chris is a middle school student who is tall and large for his age. He has a
difficult home life and struggles academically. He also intimidates his peers
through his size and strength, and engages in aggressive and harassing
behaviors at school. He uses these behaviors to get money from his peers
and to have them do homework for him, and therefore, Chris has been
labeled a bully. He is careful to engage in harassment and aggression in
places where adults are not present (the locker room and the bathroom)
and where he has an audience of peers to watch. If the victim does not
come up with the money or homework, Chris will push and hit him so the
victim is intimidated and comes up with the money or provides the home-
work. Chris threatens even more harm if the victim (or bystanders) tells any-
one. Some of Chris’s peers see that this strategy is working for him and are
starting to use bullying behaviors as well. The parents of one of the victims
monitored their son’s social network postings through parental controls and
noticed a post to a friend about the bullying. They provided this information
to the principal of the school. She convened a student study team, but the
team is divided on how to handle the situation. Should Chris be suspended
or expelled? Does he need counseling or better monitoring or an individual-
ized behavior plan? Should there be counseling for the victims? Should the
school be doing more to address student behavior problems or bullying?

Window to the World ■ Case Study TWO

Yolea is an adult with severe intellectual disabilities. She was fully included
in her school years and through a successful transition program is now liv-
ing in an apartment and working at a large accounting office, where she
does clerical work, copying, and running errands. She has a job coach
from a supported employment agency that trained her on the job, in con-
junction with a mentor at the job site, and the job coach visits the job site
1
Copyright 2013 Cengage Learning. All Rights Reserved. May not be copied, scanned, or duplicated, in whole or in part. Due to electronic rights, some third party content may be suppressed from the eBook and/or eChapter(s).
Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
2 Chapter 1 ■ Introduction

several hours a week to assist Yolea as needed. Yolea has worked there for a
year, and her supervisor has been satisfied with her performance. However,
recently Yolea has begun to engage periodically in problematic behaviors
such as suddenly screaming loudly and throwing things. This has caused
much disruption and concern in Yolea’s office, and her supervisor has noti-
fied the job coach that if this behavior continues unchanged for more than
the next week, then Yolea will be suspended from work and potentially fired.
Both the job coach and her supported employment director are in a panic.
Although both have excellent backgrounds in getting jobs for people with
disabilities and in teaching them how to perform the job tasks, neither one
is trained or experienced in dealing with problem behavior. They are unsure
about how to begin addressing Yolea’s issues or where to turn for help.

Purpose of the Handbook behavioral assessments and analyses. The focus

has changed from relying on punishing problem
This handbook presents specific forms and pro- behaviors to using functional assessment and
cedures for the comprehensive functional assess- analysis information to design function-based
ment of problem behaviors and for the use of the positive behavioral intervention and support
information gathered in designing and implement- (PBIS) strategies that are focused on redesigning
ing individualized positive behavioral intervention environments to promote socially adaptive behav-
and support plans for assisting and supporting iors and building skills for the individual.
individuals such as Chris and Yolea. Functional The Individuals with Disabilities Education Im-
behavioral assessment (FBA) is the general label provement Act (IDEIA) of 2004 requires the use
used to describe a set of processes for collecting of scientifically based instructional practices.
information about problem behaviors and for de- IDEIA also maintains the requirement for using
fining the events in an environment that reliably FBAs and written behavioral intervention plans
predict and maintain those problem behaviors. when a student’s “misconduct has been found
Gathering and summarizing this information pro- to have a direct and substantial relationship to
vides a foundation for development of a function- his or her disability” (U.S. Department of Edu-
based behavior support plan (BSP). The primary cation, 2009). Functional behavioral assessment
goal of FBA is to improve the effectiveness and has an extensive empirical database indicating
efficiency of a BSP. that it is an effective and validated strategy to use
Functional behavioral assessment processes in schools and other settings. In addition to the
can include interviews, rating scales, checklists, U.S. Department of Education’s regulations for
direct observations in natural conditions, and schools, many states have rules and regulations
sometimes systematic manipulations of condi- requiring FBA use prior to developing behavioral
tions to conduct experimental analysis of prob- interventions and supports for persons with in-
lem situations. These experimental analyses, in tellectual and developmental disabilities receiving
which behavior is observed while elements of the residential, employment, and other services and
environment are manipulated (in such ways as supports in the community. In other words, FBA
purposely setting up specific conditions to see represents best practice in the field for students
whether they lead to problem behavior, or giving and adults who need behavior support.
rewards following problem behavior) are a part of The purpose of this handbook is to present the
comprehensive functional assessment and carry logic, forms, and examples that allow the reader
the labels structural analysis and functional analy- to conduct functional behavioral assessment in
sis. Over the past several decades, major effort typical school, work, or community settings in or-
has been focused on identifying the simplest and der to develop a function-based positive behavio-
most efficient strategies for conducting functional ral intervention and support plan that addresses
In this book we use the term problem behavior. A variety of terms have been used in the professional literature such as
undesirable, difficult, acting out, disruptive, challenging, inappropriate, at-risk, and target behavior. What we mean by problem
behavior is behavior that creates problems for the individual in his or her academic, social, work, and/or community settings
from the perspective of the teacher, family member, or other professional support providers.

problem behaviors, builds skills for the individual, of an FBA is to gain information that will improve
and puts into place appropriate supports for that the effectiveness and efficiency of behavioral inter-
individual. ventions and supports. As our vision of behavioral
We have prepared this handbook because we be- interventions has expanded, so has the need to
lieve that the opportunities for people with problem modify assessment procedures. Understanding
behavior to experience a high quality of life as the consequences that maintain problem behav-
regular members of school, work, and community iors, for example, is an essential element of an
settings are dependent on our ability to design FBA. But if the information from the assessment
and deliver effective PBIS. Problem behaviors cre- is intended to help people redesign the physical
ate barriers to academic learning, positive social context of a living setting, the instruction in a
interactions and networks, full inclusion, and a class, or the social structure in a work environ-
good quality of life for many individuals. Effective ment, the FBA must also provide details about
implementation of PBIS is one key to success in the teaching, physical, and/or social environment
those areas. that sets the occasion for problem behaviors.
This handbook presents basic approaches to Functional behavioral assessment is not like a
functional behavioral assessment and program medical diagnosis. The information from an FBA
design as well as specific forms and procedures does not allow a simple match of a problem be-
that have proven useful in schools, work settings, havior with a prepackaged clinical intervention.
community settings, and homes. When used Functional behavioral assessment and positive
properly, these materials and procedures can con- behavioral intervention and support plans de-
tribute significantly to understanding why prob- pend on understanding the relationship between
lem behaviors occur and in developing effective the individual and his or her environment(s) (e.g.,
positive behavioral interventions and supports. school settings such as classrooms, cafeteria,
We have developed this handbook with appre- hallways, and playground; the home; and work
ciation for the recognition that effective behavioral settings and job requirements). FBA involves
support should not only reduce problem behaviors collecting sufficient information to provide a ba-
but also, even more importantly, change the op- sis for redesigning environments so that they
portunities a person has for learning academics “work” for people with communication and be-
and new skills, for social inclusion, for access to havioral disabilities. Together this team can use
meaningful activities, and for participation in the the information from an FBA to craft a system
local community. Behavioral support is effective of support that melds academic, instructional,
when it positively affects how well a student does and medical variables to create effective envi-
academically and socially and how well a person ronments. Our hope is that the procedures in
lives, in addition to eliminating or reducing the this handbook will help in the design of effective
dangers and detrimental effects imposed by prob- and meaningful schools, homes, communities,
lem behaviors. and workplaces for people who have histories of
A second major focus in PBIS is emphasis on problem behavior.
comprehensive interventions. These typically in-
volve multiple components. Comprehensive inter- Who Should Use This
ventions focus on the consequences for appropriate
and problem behaviors and also on the redesign of
Handbook?
those antecedent conditions that predict problem The handbook is designed to assist a variety of
behaviors, such as academic problems, medical people who either have sole responsibility or share
issues, and social interaction difficulties. In ad- the responsibility for building plans and provid-
dition, comprehensive interventions are aimed at ing behavioral support for people with problem
reducing problem behaviors and also, most im- behaviors. The procedures and forms that we
portantly, at teaching individuals new skills that describe have been useful for teachers (regular and
make problem behaviors less likely. special education), school counselors, school psy-
Functional behavioral assessment is a process chologists, support providers, and staff for adults
of understanding the social, academic, physiologi- with disabilities in work and residential settings,
cal, and environmental factors that contribute to as well as family members involved in supporting
a person’s problem behaviors. The whole purpose another family member. Our particular intent is

to provide tools that will help professionals and behavior analysis, positive behavioral intervention
others working with people who present severe, and support, and the delivery of behavior support
complex problem behaviors. These behaviors to individuals with problem behaviors. For more
often do not respond to simple support strategies in-depth discussion of the theory, research ba-
and require more than casual observation to un- sis, and intervention procedures associated with
derstand. The tools in this handbook should be applied behavior analysis, please refer to the refer-
helpful in defining effective strategies for support- ences listed in Appendix A.
ing these individuals.
Problem behaviors may take many forms and Functional Behavioral
range in severity and level of risk or danger from
mild to moderate and severe (e.g., refusing to
Assessment
do schoolwork or activities; being disruptive at Problem behaviors often are a source of confusion
school or work; cursing, taunting, or other inap- and frustration. The person engaging in problem
propriate verbal behaviors; destruction of prop- behaviors may appear to find the behavior diffi-
erty; self-injurious hits and bites; and violent and cult and painful. The families, teachers, support
aggressive attacks). The individuals who exhibit staff, and advocates of the person frequently are
problem behaviors may be labeled in a variety of confused and distressed over the challenge of
ways such as being “difficult” or a bully; having trying to alter such behavior patterns. In many
autism; being emotionally or behaviorally disor- situations, problem behaviors may not only be
dered (EBD) or severely emotionally disturbed dangerous but may also seem inexplicable. Such
(SED); or having traumatic brain injury; or they patterns of behavior do not fit with the way we
may carry no formal diagnostic labels. These indi- think the world should work and often do not
viduals may vary greatly in terms of their overall make sense to people in the throes of the dilem-
support needs and ability to communicate and ma created by their occurrence. For example, why
to participate and function in school and com- would a student suddenly hit another student for
munity settings. The comprehensive functional no apparent reason, or why would a person break
assessment procedures and forms described in a window with his head, causing severe physical
this handbook can be used in addressing the damage to himself? One of the goals of a good
behavioral support needs of people exhibiting FBA is to bring clarity and understanding to
the full range of problem behaviors and labels otherwise chaotic and confusing situations; in
encountered in school, work, residential, and other words, to help understand why a person does
other community settings. a certain behavior or what function the behavior
We encourage you to modify and adapt the tools serves for that person. We seldom reach this goal
in this handbook. Depending on your profession- by focusing only on diagnostic labels (such as au-
al role or on the particular situation or circum- tism, mental retardation, Down syndrome) or the
stances that you encounter, you may find minor topography or form of the problem behavior (such
variations of our forms and procedures useful. as hitting, kicking, and screaming). For example,
We have designed the forms and procedures to hitting may serve the function of getting atten-
be flexible. Please change, revise, or modify these tion from a teacher or escaping from a difficult
forms in any manner that is useful for your own academic task or both. Without understanding
situations. the function of the behavior, the effectiveness of
This handbook is designed to serve as a guide any particular intervention is likely to be hit or
to comprehensive functional assessment and the miss. For instance, if the student is hitting to get
development of function-based PBIS plans. It is attention from the teacher, blocking the student
not intended to present comprehensive informa- from hitting and reprimanding her would be pos-
tion on the wide range of behavioral support strat- itively reinforcing the hitting behavior (the stu-
egies that have been shown to be effective. The dent was successful in getting teacher attention).
tools presented in this book have been found to If the student is hitting to escape a difficult aca-
be effective, and they are the starting point for demic task, then sending her to the office to be
developing effective interventions. We assume that sent home would also be reinforcing her (the stu-
users of this handbook will have some basic training dent was successful in escaping the academic
and experience in the theory and tactics of applied task—an example of negative reinforcement).

Understanding is achieved through a system- tion form has conducted one type of FBA process.
atic assessment and understanding of the func- Anyone who has observed undesirable behavior
tion of the behavior and of the variables that set in different situations and concluded that “he
the occasion for the occurrence (or nonoccurrence) does that because . . .” or “she does that in order
of problem behaviors and the consequences that to . . .” has developed a type of summary statement
maintain those behaviors. concerning variables influencing behavior. Our
experience has been that an FBA is helpful in
the design of behavioral support once the assess-
What Is a Functional ment information provides a hypothesis of the
Behavioral Assessment? function of the behavior that allows confident
Functional behavioral assessment is a process for prediction of the conditions in which the prob-
gathering information that can be used to maxi- lem behavior is likely to occur and when there is
mize the effectiveness and efficiency of a behavior agreement about the consequences that appear
support plan. An FBA is complete when six main to maintain the problem behavior. It is important
outcomes have been achieved, as shown in Key that FBA procedures match the complexity of the
Point 1.1. problem behavior. That is, if less rigorous and
easy-to-implement assessment procedures pro-
duce a confident description of the events that

✷Key Point 1.1

The Six Primary Outcomes of the Functional
predict and maintain a problem behavior, there
is no reason to use more complex assessment.
For example, it is easy to understand why a child
Assessment Process in a grocery store is tantruming and screaming
1. A clear description of the problem behav- for candy (the function is to obtain the candy),
iors, including classes or sequences of and it would not be necessary to carry out a for-
behaviors that frequently occur together mal assessment. If, however, a procedure such
2. Identification of the immediate antecedents as an interview does not generate clear and un-
that predict when the problem behaviors derstandable patterns, then more intense and
will and will not occur precise observations and manipulations may be
warranted. The procedures and tools described
3. Identification of the setting events, times,
in this handbook offer a range of effective and
and situations that predict when the prob-
efficient strategies for conducting a compre-
lem behaviors will and will not occur across
hensive functional assessment. In fact, in their
the full range of typical daily routines
entirety the procedures presented here may be
4. Identification of the consequences that
more comprehensive than a clinician or prac-
maintain the problem behaviors i.e. what
titioner (behavior specialist, teacher, program
function (or functions) do the behaviors
manager) often needs for the design of a typical
appear to serve for the person.
support plan. However, the full range of assess-
5. Development of one or more summary ment approaches and options needed for those
statements or hypotheses that describe individuals and situations in which a durable
specific behaviors, a specific type of situa- and complex behavior, or group of behaviors, has
tion in which they occur, and the outcomes been identified is included in this handbook.
or reinforcers maintaining them in that situ-
ation
6. Collection of direct observation data that An Overview of Approaches
support the summary statements that have
been developed
in Comprehensive Functional
Assessment
Specific methods for collecting functional assess-
The processes used in conducting an FBA ment information fall into three general strate-
can take many forms and have many levels of gies: informant methods, direct observation, and
precision. Anyone who has ever used an A-B-C systematic manipulation of conditions—functional
(antecedent-behavior-consequence) data collec- and structural analyses (Key Point 1.2).

Informant Methods What events or changes in these situations seem

to be associated with increases and decreases in
The first strategy for conducting functional behav- problem behavior? It is important to note that two
ioral assessment is to talk to the person with prob- individuals in the same setting, with the same
lem behaviors (if possible) and to those people who type of problem behavior, may be responding to
have direct contact with and knowledge about the extremely different features in the environment.
individual. The purpose of the interview is to pro- For example, one student may become physically
vide information about the occurrence of problem aggressive when other students invade his space.
behaviors or to seek such information from rel- Another student may become physically aggres-
evant others (parents, teachers). Interviews (even sive when left on her own, in order to get attention
self-interviews) and other informant methods from others (the teacher and peers). One goal of
(checklists, questionnaires, rating scales) can be the interview is to understand the function of the
useful in determining the function of the behavior behavior and which of the many antecedent and
and in defining and narrowing the range of vari- consequence features in that setting and routine
ables that may affect the behaviors of concern. are associated with the problem behaviors.
Interviews are typically a good way of pulling to- The role of a functional assessment is to place
gether the body of existing knowledge regarding a the problem behavior in the context of that sit-
person’s patterns of behavior. uation for that specific individual. Too often we
talk and operate as if a person “has” a behavior.
✷Key Point 1.2
Three Strategies for Collecting Functional
Applied behavior analysis has taught us that we
should always analyze behavior as occurring in
Assessment Information contexts, not as inherent in the person. Yolea is
not a “screamer”; rather, when presented with
Strategy 1: Informant methods. Talk to the
work she does not know how to do, Yolea will
individual and/or to those who know the
scream until the work is removed (or she gets
individual best.
help with it). Chris may be called a bully, but his
Strategy 2: Direct observation. Observe the person
behavior problems may be better analyzed by
in natural conditions over an extended time
considering that he intimidates others by push-
period.
ing and harassing them in order to get money or
Strategy 3: Functional analysis manipulations.
favors from them, while also getting attention and
Systematically manipulate potential control-
status among his peers.
ling variables (consequences or structural
When we consider problem behaviors as occur-
variables) in analog or natural conditions, and
ring in people, it is logical to focus on “fixing” or
observe effects on the person’s behavior.
trying to change the people. When we consider
problem behaviors as occurring in contexts, it
A major goal of any FBA interview is to iden- becomes logical to focus on changing the con-
tify which of the many events in an environment text and how people behave within the context.
seem to be linked to the specific problem behav- Behavior change occurs by changing environ-
ior of a specific person. When you are conduct- ments and by teaching skills to individuals that
ing an interview, consider the daily routines the provide more effective ways to behave within the
person performs. If you are focusing on a student context of the situation. For example, if a student
in school, what are the routines of the school day is having problem behavior when asked to read
and classroom? How do students enter the room? out loud in reading group (to avoid reading out
What are the morning class periods and activi- loud because the student is embarrassed about
ties? What happens during transitions (from set- poor reading skills), then the teacher may pre-
ting to setting, task to task, or person to person)? screen passages with the student to pick ones she
How do students move from room to room? What knows or do pre-teaching on the passage to be
happens during recess and lunch? Consider the read so that the student knows all the difficult
problem behaviors in the context of the specific sit- words. The teacher may also have the student join
uations and settings in which they occur. Use the a remedial reading group so that she better learns
interview questions to understand what features how to sound out new and unfamiliar words. The
of these situations appear salient for the person. teacher is changing the environment by modifying

the context and adding instruction, which then 4. What events and situations reliably predict
changes the behavior of the student (she now that problem behaviors will not occur?
knows difficult words and does not have to engage 5. Given a specific situation when the problem be-
in the escape behavior). Changing the environ- havior occurs, what are the consequences that
ment often involves changing teacher/staff/parent appear to maintain the problem behavior?
behavior, as well as teaching new adaptive and
6. What appropriate behaviors (if any) could
appropriate skills that serve the same function
produce the same consequences (e.g., serve the
as the problem behavior. Functional assessment
same function) that appear to maintain the
is a process for understanding the context (ante-
problem behavior?
cedents and consequences) associated with prob-
lem behaviors. Interviews are one valuable tool for 7. What can we learn from previous behavior
identifying the features of a context that are im- support efforts about strategies that have been
portant for or associated with a person’s problem tried and found to be ineffective, partially effec-
behavior. Interviews are also a way to learn more tive, or effective for only a short time?
about a person’s current skills and behavior.
A description of behavior is provided in Key
Point 1.3. Direct Observation
The second strategy for collecting functional assess-

✷Key Point 1.3

What Is Behavior?
ment information is to systematically observe the
person with problem behavior in his or her daily rou-
tines. Systematic, direct observation has long been
Behavior is something that the person does the foundation of applied use and evaluation of be-
that can be observed, with two or more havioral procedures. Direct observations usually
observers agreeing that the behavior oc- are done by teachers, direct support staff, and/or
curred (e.g., “feeling” is not observable, while family members who already work or live with the
“following a teacher’s direction” is observable). person of interest. The observations must be done in
Behavior does not refer to inner states of the a manner that does not interfere with normal daily
individual, such as aggressiveness or emotional events or require extensive training. In most cases,
disturbances. Covert feelings or states are not the observers record when a problem behavior oc-
observable. For example, “yelling at the teacher” curs, what was happening just before the behav ior
is overt and can be observed and measured. occurred, what happened right after the behavior
“Feeling frustrated at the teacher” is an inner occurred, and what their perception of the function
state that is difficult to define, observe, and of the behavior was in that instance. When such
accurately measure. information is collected for 10–15 instances of the
problem behavior, it typically allows observers an
opportunity to discover whether a pattern exists
Many examples of functional behavioral as- that will allow determination of the following:
sessment interviews, checklists, rating scales,
and questionnaires can be found in the literature. 1. What is the function of the behavior?
In most cases, however, these tools share an em- 2. What problem behaviors happen together?
phasis on gaining information about the following: 3. When, where, and with whom are problem
1. What are the problem behaviors that are caus- behaviors most likely to occur?
ing concern? 4. When, where, and with whom are problem
2. What events or conditions that occur signifi- behaviors least likely to occur?
cantly earlier in time prior to the problem 5. What consequences appear to maintain occur-
behavior can increase the predictability that rence of the problem behavior?
the problem behavior will occur? In Chapter 2, we present a Functional Assess-
3. What events and situations that occur just ment Observation Form (FAOF). We have found
before the problem behaviors reliably predict this form to be practical, efficient, and effective for
(are associated with) occurrence of problem confirming and building on information obtained
behaviors? from more indirect informant methods.

Systematic Manipulations—Functional designed to identify the function of the problem

and Structural Analyses behavior and relationships between problem be-
haviors and the antecedents and consequences
The third strategy for gathering functional as- that occasion and maintain these behaviors.
sessment information involves the systematic The assumption is that by understanding these
manipulation of specific variables that are or are relationships we can develop PBIS plans that
not associated with the problem behaviors. In will be more effective and efficient and that will
conducting a structural or functional analysis, produce broader change in the academic skills,
you carefully observe the behavior while sys- social skills, and lifestyle of the individual with
tematically manipulating the environment. One problem behaviors.
frequently used method of functional analysis
involves the manipulation of consequences de-
livered contingent on the occurrence of targeted
Why Conduct a Functional
behaviors. Structural analysis involves manipu-
lating antecedent variables and contexts such
Assessment?
as task difficulty, task length, levels of atten- There are two central reasons for conducting a
tion provided during an activity, or the pres- functional assessment. The first is that informa-
ence or absence of choice in an activity, and tion about when, where, and why problem behav-
recording frequency or rates of occurrence of iors occur and do not occur is extremely valu-
targeted behaviors. Functional analysis and able in building effective and efficient behavioral
structural analysis are formal tests of the rela- support. Without understanding the function of
tionship between environmental variables and the problem behavior, the success of the inter-
the occurrence or nonoccurrence of problem be- vention will be hit or miss. If interventions are
haviors. These analyses are the most precise, developed without a functional assessment, they
rigorous, and controlled methods used in con- may make problem behaviors worse. We have all
ducting a comprehensive functional assessment. seen instances in which a child was having tan-
Systematic manipulation of context variables is trums to gain a treat and then was told she could
the only approach that allows unambiguous dem- have the treat if she were quiet, or a child who
onstration of a functional relation between envi- was behaving aggressively to avoid a task was
ronmental events (antecedents or consequences) sent to the corner for his behavior (this is an ex-
and problem behaviors. ample of negative reinforcement). In each case,
Conducting systematic manipulations can be the presumed solution actually reinforced the
expensive in time and energy, but in some cases problem behavior. The danger of making problem
may be the only way to ensure an adequate as- behaviors worse is very real. Functional assess-
sessment of problem behaviors. Because func- ment not only helps in the development of effec-
tional and structural analyses involve creating tive and efficient plans, but it also helps us avoid
situations that will, or are likely to, provoke the programmatic errors.
problem behavior and because success of the The second reason a functional behavioral
process requires research-like skills, it is rec- assessment should be done with severe problem
ommended that systematic manipulations be behaviors is that it is a professional standard. For
conducted only with the direct involvement of a instance, The Association for Behavior Analysts
person trained in conducting research in func- published the “Right to Effective Treatment” in
tional assessment, positive behavioral inter- 1988, which includes the right of all individu-
vention and support, and/or applied behavior als who receive behavioral intervention to a pro-
analysis. fessionally competent functional assessment.
This handbook presents specific procedures The National Institutes of Health conducted an
for implementing each of these three functional important consensus conference on dangerous
assessment strategies. Our emphasis, however, and destructive behavior (NIH Consensus Re-
is on interview and direct observation methods port, 1989), which strongly endorsed the use of
because we believe these are the most applicable functional assessment procedures. The U.S.
in schools, homes, and communities. The key Department of Education mandates the use of
issue to remember is that these strategies are FBA in developing behavioral interventions for

students with problem behaviors receiving spe- with problem behaviors. These ethical questions
cial education services in the Individuals with regarding functional assessment and positive be-
Disabilities Education Improvement Act of 2004. havior interventions and supports are outlined in
A number of states (e.g., Minnesota, Florida, Ethical Considerations 1.1. These issues are ad-
California, Utah, Washington, Oregon, and New dressed both directly and indirectly in the rest of
York) have instituted laws or state regulations this book.
stipulating the need for a functional assessment
prior to significant behavioral interventions.
Many professional organizations such as TASH;
Additional Issues to Consider
The Alliance to Prevent Restraint, Aversive In- before Conducting a
terventions and Seclusion (APR AIS); Families Functional Assessment
Against Restraint and Seclusion; The National
Given the need for a broad impact, behavioral
Alliance on Mental Illness; American Associa-
support can often benefit from companion as-
tion on Intellectual and Developmental Disabili-
sessment procedures. Three companion sources
ties (A AIDD); The Arc; and The Association for
of assessment data that we have used and found
Positive Behavior Support have formal position
valuable are (1) person-centered planning, (2) ac-
statements on the need for functional assessment
tivity pattern assessment, and (3) assessment of
and positive behavior supports.
medical and physical conditions and issues.
Functional behavioral assessment is now a pro-
fessional standard for teachers, psychologists, and
adult service providers delivering behavioral support
Person-Centered Planning
to students and adults. It is a foundational process
for the design and implementation of positive behav- A variety of approaches have been developed to
ioral interventions and supports. The use of func- create a person-centered plan (PCP), or vision of
tional assessment not only makes programmatic the future for an individual. This plan is devel-
sense but is also an expected practice in the field. oped with all the individuals actively involved in
In addition, many ethical and legal concerns a person’s life. Typically, there is a broad focus,
have been raised regarding the use of different in- including strong emphasis on the personal pref-
terventions that have been used with individuals erences and strengths of the person and not just

Ethical Considerations 1.1

Ethical Questions Regarding Functional Assessment and Positive

Behavior Interventions and Supports
1. Do interventions have to be 6. Should punishment proce- 9. Is it more important to make
based on the function of the dures be used only as a desirable responses more
behavior to be successful? last resort? probable or to make undesir-
2. Does a functional assessment 7. Do individuals with problem able responses less probable?
of the problem behavior invari- behavior have the right to 10. Do aversive procedures topo-
ably indicate what the most “effective treatments” that graphically resemble torture?
effective intervention will be? involve aversive consequence- 11. Is any intervention always
3. Is it wrong to reduce undesir- based interventions such as effective?
able behaviors? the application of sensory
12. Are we ethically bound to use
punishment, physical punish-
4. Is it ever okay to harm students intervention procedures that
ment, or electrical shock?
when using punishment reduce problem behavior as
procedures? 8. Is it acceptable under certain rapidly as possible?
conditions to use aversive
5. Can all problem behaviors be
consequence-based Adapted from Brown, Michaels, Oliva, &
decreased without the use of
interventions? Woolf (2008); Carr, Robinson, & Palumbo
punishment?
(1990); Singh, Lloyd, & Kendall (1990);
Storey & Post (2012).

the problems and difficulties he or she experi- effects and side effects of medication regimes
ences. The process of person-centered planning represent another important area to consider,
offers a broader context in which to build posi- given the large number of persons with dis-
tive behavioral interventions and support plans. abilities who receive a variety of neuroleptic,
It is through this broader process that we follow seizure control, and other types of medications.
the advice of the noted behavior analyst Dr. Todd Determining the influence of such medical or
Risley to begin good behavioral support by helping physical variables and developing strategies
a person “get a life,” and then build in the more for dealing with them typically requires a collab-
detailed behavior support systems that may be orative support process that includes appropri-
needed (Risley, 1996). ate medical personnel to provide the necessary
information and services.
Activity Patterns and Social Life
Our quality of life, and therefore our behavior, is
A Statement of Values
greatly influenced by the activities in which we Functional behavioral assessment is not a
engage and the social life we experience. In analyz- value-free technology. We offer the materials and
ing people’s activity patterns, you can address is- procedures in this handbook with three value-
sues such as the variety of activities they perform, based assumptions. The first is that behavior-
the degree of community integration they experi- al support must be conducted with the dignity
ence, and the extent to which their preferences are of the person as a primary concern. Functional
reflected and accommodated. In considering their assessment is appropriate because it acknowledges
social life, the makeup of their social network that a person’s behavior is functional. People do
(size, presence or absence of significant others, not engage in self-injury, aggression, severe prop-
longevity of relationships) and the nature of their erty destruction, or seriously disruptive behaviors
social interactions (such as number of opportuni- solely because they have a label such as autism or
ties to engage in preferred activities with preferred mental illness. Rather, they engage in patterns of
people) can provide important clues to the changes behavior that are effective for them and continue
needed in support. Two instruments referenced to be effective for them in some way. There is logic
in Appendix A, the Resident Lifestyle Inventory to their behavior, and functional assessment is an
(Kennedy, Horner, Newton, & Kanda, 1990) and the attempt to understand that logic.
Social Network Analysis Form (Kennedy, Horner, The second value-based assumption is that the
& Newton, 1990) have proven useful in analyzing objective of functional assessment is not just to
these lifestyle issues. We recommend their inclu- define and eliminate undesirable behaviors but
sion or the use of similar instruments within the to understand the structure and function of those
comprehensive assessment process leading to a behaviors in order to teach and promote effective
behavioral support plan. alternatives. The goal of positive behavioral inter-
ventions and supports is to create environments
Medical and Physical Issues and patterns of support around people that make
It can be very important to examine medical or their problem behaviors irrelevant, ineffective, or
physical conditions that may be influencing prob- inefficient. For example, if Sanela hits her head
lem behaviors. Too often behavioral interventions with her fist in order to get attention from staff,
have been used to address problem behaviors that she can be taught a more efficient replacement
have a medical or physical etiology. One impor- strategy that is positive and serves the same
tant concern is to identify or rule out the presence function, such as holding up a card that says, “I
of medical or physical issues that are associated would like attention from you please.” We hope
with specific patterns of severe problem behav- the information you obtain by using the materi-
iors. Many conditions including allergies, sinus or als and procedures presented in this handbook
middle ear infections, premenstrual and menstrual will make you more effective at identifying the
cycle effects, urinary tract infections, tooth- following:
aches, and chronic constipation may exacer- ●●
Unnecessary situations that prompt undesir-
bate the occurrence of particular behaviors. The able behaviors you can eliminate or modify.

●●
New or alternative skills you can teach that
will be more effective and efficient than the TeachSource Video Case 1.1
undesirable behaviors, thereby making them
unnecessary.
●●
Effective staff responses to problem behaviors,
including responses that minimize reinforce-
ment for problem behavior and promote perfor-
mance of desired alternative behaviors.
The third value-based assumption is that func-
tional assessment is a process for looking at
relationships between behavior and the environ-
ment. It is not simply a “review” of the person
with problem behaviors. Problem behaviors can-
not be addressed without looking at the broader Go to the Education CourseMate website to watch
environmental contexts within which they occur. the Video Case on Response to Intervention: The
A functional behavioral assessment should produce Three-Tier Model in a Preschool Environment and
information about the undesirable behaviors, then answer the following questions:
relevant structural features of the environment, 1. How could understanding the function of a
and the behavior of support providers and pat- problem behavior influence the type of academic
terns of support, such as staffing patterns. An instruction that might be successful for a student?
FBA is as much an analysis of the environment 2. How could information from functional
(schedules, activity patterns, curriculum, sup- assessment observations be used to guide
port staff, physical settings) as it is of the behavior teacher understanding of student behavior for
of the person. Do not allow an FBA to become a Tier 2 or Tier 3 Response to Interventions?
process that “blames” the person for behaving in 3. How important might functional assessment
undesirable or unwanted ways. information be important in reporting information
about a student?

Watch on CourseMate.

■ Case Study ONE

Kiran is 10 years old and is part of a regular fourth-grade class. He has been
evaluated as “learning disabled” and has an IEP. Kiran engages in sev-
eral behaviors that are viewed as major problem behaviors by his teacher,
Ms. Martinez. These behaviors include refusing to do independent seat work,
failing to complete work, not paying attention to teacher instructions, playing
with academic materials (papers, pencils, books, ruler), and making crude
comments to other students. Kiran’s behavior is considered unacceptable
in the classroom, on the playground, and in the halls and cafeteria. He has
received several office discipline referrals (ODRs) for his behavior, but these
do not appear to be having any impact on his problem behaviors, and his
academic performance is declining. His teacher has submitted a Request for
Assistance form to the school’s Positive Behavioral Intervention and Support
(PBIS) team, asking that it consider developing an individualized behavior
support plan for Kiran. The PBIS team agrees to conduct a functional behav-
ioral assessment (FBA) with Kiran as the first step toward developing and imple-
menting a behavior support plan. The team includes the school’s special
education teacher, Ms. Washington, who has received training and is expe-
rienced in conducting FBAs. She notes that she will review the information
provided by Ms. Martinez on the Request for Assistance and on Kiran’s ODR
forms, then sit down with Ms. Martinez and her classroom assistant to do an
FBA interview, and finally schedule some times to observe Kiran in the settings
and contexts where problem behaviors are most frequently occurring. She
will also contact Kiran’s family regarding interviewing one or both parents and
perhaps having Kiran join that interview as well.

Window to the World ■ Case Study TWO

Mitch is a 19-year-old student in a transition program operated by the school

district and housed at the local community college. He is considered by the
13
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CHAPTER XII
RETROSPECTIVE EMOTION

Brown divided emotions into retrospective and prospective, but

such a classification has no basis in a general biological view nor yet
in a special analysis of the particular phenomena. It is evident that
the two great classes of emotion from the point of view of struggle
for existence will be response to injurer and to benefactor. These are
the two prime qualities in things for which emotional notice is most
needed as a service to life, and hence the broad and fundamental
division of emotion must always be into that which is response to
the harmful and that which is response to the beneficial. Here only is
the great and constant distinction in the nature of emotions.
Prospect and retrospect are equally meaningless in themselves
considered. From a merely a priori biologic point of view we must,
then, pronounce it quite unlikely that the time-sense should
fundamentally differentiate emotion, but we should expect that the
prime division would be with respect to cognised injury or benefit.
That time-sense is not a grand principle of division we also see
plainly when we examine particular emotions. Thus, in the case of
anger, while we can say at once that this is, in all its forms, repulse
to injury, can we claim it is either prospective or retrospective
emotion? The truth is, the thought of injury done, doing, or to be
done, equally wakens anger in choleric individuals. The man who
harmed me yesterday excites my anger, and so does the man whom
I perceive to be now injuring me or about to injure me. The quality
of the emotion is identically the same whether the object be
considered as in past, present, or future. Even what seems to be a
purely temporal emotion, like hope, which is usually regarded as
wholly prospective, may yet have other temporal aspects. Thus, we
sometimes say, “I hope it was not so,” where hope is obviously
retrospective, or more strictly prospective-retrospective, having
reference to expectation with desire that the event will turn out not
to have happened.
But it may be said that, as emotion rests upon representation, the
proper classification of the emotions will depend upon the divisions
of representation which are essentially determined by the time-sense
as representation of past or future. Representation with sense of
representation implies a cognition of the thing as represented
merely, and so as non-existent to present actual sensing, as
something having been, or to be, sensed. The emotion arises thus
on cognition of the experienceable, and includes always some dim
impression of potency of object for harm or benefit at some time.
However, though this may be the case, it is plain that it makes no
radical distinction in emotion. If a man threatens me with some
injury, this fires my rage, which is greatly increased if I catch him in
the act of committing the injury threatened, or find that he has
committed the evil deed. Change in time-sense may thus bring
change in intensity of some emotions, but it does not determine
quality of emotion. The prime factor as to kind of emotion is always,
not any sense of time, but the personal value of the event, which
may or may not receive a definite time determination. Indeed, a
form of representation, before any sense of experience as merely
subjective phenomenon is attained, is a prominent feature in the
direct naïve experience which constitutes by far the greater bulk in
the total existent consciousness. Before experience is aware of itself
and of the experienceable there is a certain purely subjective
mirroring of that which is not present to sense, but has been, i.e.,
there is a re-occurrence in consciousness which has the subjective
force of reality; though the objective actuality is lacking, such re-
occurrence by association without the actual presence of the object
stands, however, for reality to the mind experiencing—it is a direct
intuition; the object, though unreal, is perfectly real to
consciousness, and conveys no meaning, and so is not a basis for
emotion. Yet in the higher representation with a sense of experience
as integral element, the representation is sometimes practically
timeless, though surcharged with emotion tendency. The highest
objects which the mind represents have little time quality, and all the
nobler sentiments, as love of truth, justice, etc., exist with little or no
reference to time. So also in the very earliest representation, the
object is seen in its feeling value—emotion basis—as soon as it is
perceived as object; but this is as an immediate subjective realizing
in which time-sense plays very little part. The conscious
interpretation of past and future as a conscious connecting of the
two is certainly not a primitive function. The time form is, then, on
the whole, merely incidental in emotion, and is by no means a
fundamental principle determining classification.
Yet, though we must reject time as a cardinal principle of division
in emotion, still we must acknowledge that the term retrospective
emotion denotes a real group of mental phenomena, including
revenge, regret, remorse, and kindred forms, which are marked as
feeling for the past merely as past. However, pure retrospection is
rare and late. The past does not for primitive mind stand by itself as
something to be dwelt upon, to be thought about, to be moved by,
and stirred to action. The immediate present absorbs the mind, and
the past interests and excites only so far as bearing directly on the
present. And so it is that the child lives in the present, the youth and
man in the future, the old man in the past; and this denotes the
relatively late appearance of pure retrospection and of emotion
founded thereon. Emotion is first merely spectant, then prospective,
then retrospective. However, when we say an emotion is concerned
solely with the present in the very young, we mean, of course, the
immediately prospective—that which has relation to but one sense
and by association rouses emotion, as an apple, seen or handled by
a child, awakens emotion, desire to taste. Where sense
consciousness is not multiform, but single and uniform, as,
doubtless, in very low organisms, there is no opportunity for any
emotion, for there is no interpretation power. But the intensification
of some one sense connection already attained may be a basis for
emotion which we may loosely call emotion spectant, as when the
greedy child eagerly eating an apple desires a larger bite, sweeter
portion, etc. However,—though it has little classification value,—
emotion can be only prospective or retrospective; and this is, of
course, implied in its basis—representation. Emotion by its very
nature must be a looking forward, or a looking backward, or both.
As a feeling about, and not a direct feeling, this is obviously its
unvariable cognitive content. The immediate and actual realization
may be direct feeling or sensation, but it is never in itself emotion.
Emotion is always over something, an experience of experience, and
cannot thus be simple content. It is thus a consciously idealizing
mode as distinguished from direct realization which is wholly self-
contained.
One of the most important and interesting retrospective emotions
is revenge. The cardinal idea in revenge is returning evil for evil. Not
only must there be a paying back for past injury, but there must be
an equivalence, eye for an eye, and tooth for a tooth; and the
revengeful emotion is the meting out such purely retributive action.
Exact return becomes the basis of a general usage in animal and
human societies. Justice, law, and punishment rest upon the idea of
inflicting duplicate or equivalent injury for injury received.
Administrative justice is the specialization of revenge in the hands of
a few members of a community, a social differentiation by which
individuals in general secure their revenges at great economy by
proxy. Further, the revengeful emotion is a smouldering hate which
vents itself only some time after the immediate occasion. This is not
the flush of anger which prompts to vigorous offensive action upon
the injurer at the very moment of harm perceived, and it does not
appear as stimulant to immediate self-conservative activities, but is
simply the spirit of getting even for relatively long past injury.
What, now, is the function of revenge as a life factor? It surely
does not mend my injury that I do another harm solely because he
has some time harmed me, and the whole impulse might seem a
pure waste of energy. But under natural selection revenge must
arise in serviceability of some sort; and it is obvious that while
revenge is of no use in mending the past, it yet has a large value
with reference to future possible injury. Yet revenge is undeniably
without conscious meaning for present or future; it is merely the
spirit and determination to get even, and so its deterrent function is
unconsciously attained. A dwelling in thought on the past per se, a
feeling about it and acting on it, while it cannot help life directly, has
a large value in its ultimate effect upon enemies. He who never
forgets injury, and for whom by-gones are never by-gones, who
never fails to return injury for injury, is feared and is less likely to be
injured. Junker, the African traveller, remarks of the pygmies, “They
are much feared for their revengeful spirit.” Thus, other things being
equal, the most revengeful are the most successful in the struggle
for self-conservation and self-furtherance. Though by itself
considered irrational and foolish to inflict return injuries upon an
injurer long after the immediate occasion, yet its deterrent effect is
very great with reference to other assailants. Thus, pure
retrospection may have unconsciously prospective value, or
sometimes revenge may be really retrospective-prospective, as when
one says, “I will fix him so he will not do that again.” Here function is
consciously known, but in instinctive revenge there is no such
foresight, and, in general, utility is no consideration with the
revenger, whose mind is bent rather on doing great harm for its own
sake to his enemy rather than benefiting himself. It is always the
conscious or unconscious significance for the future that justifies
revenge in the natural course of events; while it is no remedy for my
hurt, if some one has put out my eye, to put out his in return, yet
this revenge act, and so the feeling which prompts it, is of highest
prospective value with reference to future possible enemies. Every
one will know that I cannot be harmed with impunity. Despoil or
injure the revengeful in any way and you inevitably suffer for it
sooner or later, and so revenge acts as a protective psychical
variation of high value. On the whole the revengeful is less likely
than others to be molested and injured, and thus has a manifest
advantage in the struggle for existence. Revenge has, then, also
rightfully its own subjective sanction, a pleasure reaction, for
revenge is, indeed, “sweet.”
Revenge is apparently found in a considerable range in the animal
kingdom, and seems universal in the genus homo. However, we
cannot infallibly conclude from certain actions that revengeful
emotion is present, and especially is this so in the case of animals.
Thus, in the well-known instance of the elephant, who, observing a
man passing by who had greatly annoyed him years before,
suddenly drenched him with dirty water, we are not necessarily to
suppose that this elephant was prompted by the emotion of
revenge; although this may have been the case, we are not perfectly
sure how far the elephant did the act merely as recompense for
what the man had done, or how far the sight of the injurer, and so
one likely to injure, roused to simple anger and defence against the
threatening harmful. Many acts which seem like revenge are quite
likely to be common defence or offence, are done with reference to
what the object is and will be as injurious, based upon knowledge of
the past, and not as merely retrospective retributive acts. Memory
for injuries received is strong in many animals; that which has
harmed is often recognised after many years as the harmful, and
appropriate simple emotion, not revenge, is manifested. Rage, rather
than revenge, is the usual emotion among lower animals in special
instances where revenge might seem called for; and thus it is more
likely that the elephant should rage and hate rather than have pure
revenge as in the case considered.
However, somewhere rather late in sub-human psychism
revengeful emotion certainly arose as an advantageous variation,
and it grew in strength and prominence for many ages of psychic
progress. At length it culminated, and began its decline with the
marked increase of co-operative sociality, with which it must greatly
interfere. Reprisal and counter-reprisal, vendetta, feud, is opposed to
that social union which is strength; and so we see that tribes and
nations in which the spirit of personal revenge has been a dominant
trait have been left behind in the march of progress.
Revengefulness, at least in the form of retributive personal violence
for injuries done, is, in a highly civilized community, entirely
superseded by the machinery of law. Instead of slaying a brother’s
murderer I call upon the law to execute justice and retribution, and I
bring certain designated ones among my fellows to secure my
revenge. Where a man takes the law in his own hands, and kills or
injures the violator of his home or the slayer of his nearest kin, he
recedes to the lower unsocial plane from which civilization has
arisen. Thus revengefulness, in certain forms at least, has become in
the highest human communities a disadvantageous variation, and is
gradually being eliminated. This negative elimination of revenge is
also greatly hastened by the progress of certain ethical and Christian
conceptions by which a new and opposite law of conduct is
enforced, namely, the returning good for evil.
One of the most interesting and most retrospective of emotions is
sorrow. Sorrow, grief and regret are wholly regardful of the past, are
pains at the past. They are purely subjective or “mental” pains at the
past, and in no wise pains from the past; they are not pains
recurrent from past pains, but purely a painful emotion at the
representation of past pain. Thus, a man says, “I did it to my own
harm and hurt, and I have always been sorry I did it.” Here the
sorrow-pain is evidently quite distinct from the direct pain of the
injury; pain for the harm done is one thing, and pain from the harm
done is another. I hurt myself, and I not only have this pain, but,
being sorry that I did it, I have this new emotional pain added.
Sorrow as painful emotion for the past is thus plainly unique and
peculiar. To feel sorry over what has happened is a mode of feeling
altogether different from feeling proud of it, angry at it, etc., and we
may reasonably regard sorrow as a distinct genus of retrospective
emotion. What, now, is the nature and function of this special
emotion reaction?
We have to consider here only that simple primitive sorrow which
is a painful emotion at regarding personal loss or failure. Such simple
sorrow we see in the child who cries over spilled milk, in the man
who expresses deep regret at the careless misstep by which he
broke his leg. In this emotional reaction at the injurious the harmful
is neither escaped nor repelled, as through fear and anger; the
feeling disturbance is comparatively passive and purely reflective,
and is not a spur to some immediate advantageous defensive or
offensive activity. In sorrow we are pained emotionally at the trouble
which has come upon us through our own agency or otherwise, but
we do not struggle from it or against it, but there is purely helpless
retrospection. Harm and loss which might provoke in one nature to
fear or anger, in another lead only to inactive sorrow.
The cognition form in sorrow means always sense of personal
loss. I may fear a thing, or I may be angry at a thing, but I can be
sorry only for a person. I do not feel sorry for a broken chair, though
I may feel sorry for having broken it. This view of one’s own
personal agency in causing harm to one’s self and harm to others is
very prominent in a large range of sorrow. In viewing any action
which determined some evil, I say, “I am sorry I did it.” This is,
however, a later mode of the emotion, which at the first cannot take
account of any agency, but is simply an acute feeling of distress at
the injury received. Thus the one who grieves over the spilled milk
regards, not his own agency, but only his loss; he is sorry, not that
he spilled the milk, but that his milk was spilled. Yet the sense of
personal agency certainly forms a great part in much sorrow, and
tends to intensify it. I may grieve over any harm that has come upon
me, but my grief is intensified as I remember my own agency in
bringing it about. I may feel sorry over the loss of my goods by fire,
but if I lose them by my own careless act, my sorrow is redoubled.
Strictly speaking, perhaps, the sorrows are distinct, I feel sorry for
having done it and I am sorry at it done; yet they may be said to
constitute a single psychic state. Sense of our own agency, however,
in having produced harm to self is as likely to produce anger at self
or even fear of self. Hence our intensest and purest sorrows are apt
to be those occasioned by considering injuries occasioned by
elemental forces. That harm which we did not help because we
could not, the inevitable injury, this excites a keen regret and deep
mourning.
The pain in sorrow is as peculiar, searching, unanalyzable and
undescribable as other simple emotion pains, and only conceivable
through realization. This sinking, helpless pain over what has
happened is clearly distinct from the sensation order of pains, and is
in no wise a reflection from them. The pain I have at remembrance
of some great loss which has befallen me is certainly very distinct
from that which came from the loss itself.
What part now does sorrow play as a psychic life-function, and
how explain it on the general principle of natural selection? At first
sight, sorrow or grief over the past seems utterly valueless, seems to
be mental energy thrown away. The past is irretrievable, of what use
then is any grief? Is not all regret vain? To deplore its loss does not
tend to restore a lost arm, and it is of no use crying over spilled milk.
Indeed, he who bewails spilled milk has not only the actual loss but
the ideal pain about the loss. He who grieves suffers doubly. But
while it is true that sorrow for what has happened cannot alter the
occurrence, yet it has a permanent salutary effect on the one who
sorrows to give more caution for the future. The child will carry the
pitcher of milk the more carefully next time by the more he has
grieved over the past occurrence. By increasing sensitiveness and
capacity for sorrow experience is strengthened, deepened, and
completely adjusted to environment. Shallow and volatile natures,
who take all loss and harm easily, and even gaily, have little
strength, and attain no great and permanent growth. But with most,
when the object of strong desire is suddenly lost, not only will there
be a disappearance of the positive feeling about it, but an actual
minus or negative state will be generated, a reaction mode we term
grief. By this grief the chief lessons of all higher experience are
made possible. Grief is not a pathological phenomenon in mind, but
in its place thoroughly normal and useful. Indeed, if under certain
circumstances grief did not appear, mind would be proved very
crude, obtuse, or diseased. He who never feels sad about what has
happened, is not of a progressive or highly advanced type. If one
does not feel sorry for his past errors and hurtful actions, he plainly
has so much the less motive force to higher action for the future. If
sorrow had never entered the world of mind, if the whole corrective
for injurious actions or want of action lay wholly in the immediate
pain resulting or in the direct simple emotions like fear and anger, a
most potent factor in psychic progress would be lacking. The
possibility of going wrong, i.e., literally aside, and contrariwise to
one’s own interests, is implied in the struggle for existence. The next
best thing to the impossible status of being unable to do wrong, is to
have the capacity of feeling for the wrong, that is, of experiencing
grief. Sorrow is thus a corrective of the highest importance in the
history of experience. The slips, willed and unwilled, from the narrow
path of upward evolution are of necessity many; but a man is, on
the whole, best doing the largest part in the evolution scheme in
which he finds himself, who both knows the wrong as such, and is
sorry for it, whether in the primitive selfish mode, or better still, on
the higher ethical and religious grounds. The greatest and most
efficient minds are those who have felt most keenly for their errors,
faults, and sins.
As to the origin of grief, we may say with confidence that it is
tolerably late, and certainly subsequent to anger and hate and like
reactions. Under certain circumstances sorrow must be accounted a
more favourable reaction than these. Rage is certainly impotent and
useless on many occasions of recalled injury, and rage is besides a
very intense emotion and expensive of energy. The general law in
the development of emotion is toward milder, more economical, and
more permanent forms, and then it is that sorrow must at some time
have originated under the demands of life, and been preserved and
developed under natural selection. Sorrow most probably originated
as supplanting rage at the view or remembrance of injury done. In
young children we often see rage mingled with the first
manifestation of grief, and but slowly is the rage eliminated and pure
grief attained. Sorrow exercises its function where rage is useless.
The child cries over spilled milk partly from rage, partly from grief,
but such mishaps will tend more and more to be attended by grief
only, as the better and more economical reaction. Further, in a
certain range of cases, sorrow in its manifestations serves to
appease revenger, and sincere regret, unmistakably expressed, often
saves the wrong-doer an equivalent harm. This form of sorrow
function is distinctly cultivated in the education of children where
they are taught to feel sorry for faults if they would be forgiven and
escape punishment.
Grief in its origin and its earlier occurrence is not the spontaneous
and almost irresistible impulse of our adult human experience, but,
like all emotion and all progressive psychism, is by effort of will. That
is, we must suppose that grief has its origin in some such nisus as a
child exhibits when he is taught to be sorry for something he has
done. Hence it is only gradually and with the lapse of many
generations after its origin that sorrow becomes hereditary and
spontaneous. At first sorrow was a distinct attainment, rarely and
but occasionally reached by any individual, and it is comparatively
late in psychic history that it becomes a permanent and innate
power. Sorrow also very gradually widens its sphere. At first purely
selfish, a retrospective reaction at one’s own hurt, it becomes at
length, through sociality and its concurrent advantages, altruistic;
sorrow is felt for others and the springs of sympathy and pity are
developed. That this altruism is very late development is obvious, in
that it has still to be taught even among the most advanced of the
human race to their children. The child is taught to feel sorry for the
cat he has hurt, for the blind man, for the cripple. And we must
conclude that at one time in psychic history egoistic sorrow was
likewise at the stage of development at which we now see altruistic,
and we may suppose that in the far future the altruistic may come to
the present status of the egoistic sorrow. However, for both there is
an indefinite field for expansion, for refinement of sensibility, and for
readiness and appropriateness of manifestation. Sorrow also will
develop more and more on ethical and religious grounds. Remorse
arises and develops; and also the “godly sorrow for sin.” We learn to
feel, not merely sorry over the past as affecting our disadvantage,
but to feel sorry conscientiously as our deeds or those of others
conflict with the law of right or with the law of God. Those who have
no God-consciousness, and so no feeling about their action in the
sight of God, no sense of sinfulness, have yet often acute moral
sense and feelings. However, the origin and function of the moral
and religious sense in the light of natural selection is a wide subject
which can only be alluded to here; suffice it to say that sorrow is
thereby lifted to a peculiar and new plane of self-contained
spirituality. That is, the bearing of it is often without relation to
physical life-function, and even adverse thereto, and throughout has
its value and sanction in itself alone.
One of the deepest and most significant of late forms of sorrow is
that for the dead, and its importance is obvious from the fact that a
word is especially coined to denote its expression, namely,
mourning. Nothing can be more useless than mourning for the dead
as far as the individual object is concerned; the most poignant
sorrow cannot in anywise tend to reanimate the corpse. However, it
plainly serves as an index to the value put upon life, and so in
general has a most powerful effect on conservation and upbuilding
of life. Other things being equal, sensitiveness to this form of sorrow
measures accurately possibly self-conservative effort or effort for
others’ conservation, which in a state of sociality, is equivalent in
value to one’s self. The lives for which there is the most mourning
and real sorrow when death comes are the most valuable to the
community, and for the conserving of which the utmost combined
effort would be extended. Where life has little value attached to it,
sorrow is slight and mourning short. As compared with the savage
state, loss and injury to life is infinitely more respected in the great
centres of modern civilization—the nuclei of progress. It is because
we feel strongly for the safety of friends and relatives that we
employ the best devices to insure their protection from injury and
death. One who has sorrowed most deeply over the death of a
friend caused by his own careless handling of a gun, will for the
future be much more careful for himself and others. To be sure we
sorrow deeply because we place a high estimate upon the life rather
than place high estimate because we sorrow greatly; but if there
were no sorrow reaction, there would be no emotion basis for the
future caution and care, and it affects our general estimate of life.
Thus there is ever a cumulative emotional development.
Perhaps the latest developed form of sorrow is the feeling of
sadness which comes over one in reflecting upon pain as a universal
fact of existence. The pessimistic mood, with its converse, the
optimistic, as based on philosophic generalization, is certainly
extremely late. Pain at pain in general, pleasure at pleasure as a
purely general fact, are equally remote from primitive modes, and
mark culminating phases. While, perhaps, there is a certain
justification and value in being saddened by the spectacle of
universal pain, yet a gravity rather than a despondency is its proper
measure. Pain, punitive and premonitory, plays, as we have already
noted more than once in our discussions, a most beneficent and
essential part in the struggle for existence and in all the higher
struggle. It is a necessary and salutary phenomenon, involved in the
very nature of evolution by struggle; hence he who impugns pain
and is offended at it, really impugns the psychic nature of things and
desires with Schopenhauer the annihilation of will. As a matter of
fact the extreme pessimistic spirit is more destructive to progress
than even the most buoyant optimism, in that it nips all earnest and
forceful activity in the bud. A foolishly happy-go-lucky activity is
better than a paralysis of effort through conviction of its inherent
painfulness and ultimate inutility. The scientific evidence, so far as
we can now read it, points decisively to the belief that pain-will
activity, an intense struggle, is the earliest mind, and the condition
of its birth has been the law of its development, and for aught that
we can see, ever will be. Into this we are born, and it is as foolish to
run counter to it as to the law of gravitation. A philosophy which
runs counter to reality must either build a new reality or subside; but
it is most certainly to be doubted whether the philosophic spirit ever
has or ever will determine a general innovation in psychic evolution.
But we cannot do more than merely advert to these large questions
here.
With reference to the development of sorrow it is an obvious
remark that much which causes grief in the earlier stages of mental
growth ceases to have that effect with maturer experience. Thus the
man may not notice, or may laugh at, or may feel irritation at
occasions which in his early life would have wakened grief. On the
contrary, much that seems grievous to the old is not so regarded by
the young. In general, grief tends to become less frequent and
paroxysmal, but more profound and lasting with the growth of mind.
As to the kinds of retrospective emotion the largest division is, of
course, into the painful and pleasurable. We have touched only on
some of the painful, but each painful emotion has its analogous
pleasurable emotion. We have used the terms sorrow and grief as
synonyms. If we should make a distinction, it would be to put
sadness or sorrow in antithesis to happiness, and grief to joy; that
is, sorrow proceeds from outward circumstances, grief from
subjective conditions. However, popular usage is not firm on this
point. Regret is a mild sorrow. Remorse is the ethical side of sorrow.
Resignation is a very late phase of emotion related to sorrow. A
person says, My child was crushed in the accident, yet I do not
grieve, but am quite resigned. Here certainly is a new mode of
feeling about past harm, and it is a mode as far above sorrow proper
as sorrow is above anger in the evolutionary scale. We do not
lament or weep over the past, but there is self-conscious, self-
constrained sinking of the will, and a composure which is not apathy,
but a gentle emotion wave. Nor is there a callousness; one is not
hardened, but softened, and made the more sensitive. The emotion
of resignation is thus cultivated and to be cultivated, and is yet in
the volition stage which marks the early form of all emotions. Even
in the highest human types resignation does not come, it must be
brought; the instinctive impulse upon contemplating past personal
evil is toward sorrow or anger and revenge, which must be checked,
and resignation directly willed and assumed as the proper emotion.
Resignation, then, as a growing point in psychic evolution, a distinct
attainment as frame of mind, is generally and rightly accounted a
virtue. At present, then, it seems the culmination of retrospective
emotion with regard to past personal injuries, and it exercises and
will more and more exercise a most important function in human
psychic development.
CHAPTER XIII
DESIRE

The lowest organisms come in contact with things, have objective

relations of contact, but it is quite unlikely that the earliest psychic
life feels contacts, really touches things. From the objective
commerce with things pleasures and pains are realized, but object is
unsensed and unknown. The simplest marine forms are incessantly
feeding at hazard at the prompting of a subjective lack-pain. That
the lowest life is born into a nutritive medium and that at birth many
later organisms are incased or in direct connection with nutritive
material, shows that at the very beginning psychic life is not needed
as discriminatory, but as simple subjective pain and pleasure moving
to undirected activities. However, such perfect environment being
rare and temporary, in its blind and senseless activity the organism is
often trying to assimilate the unassimilable, or the harmful, and is
often appropriating when there is no substance present. It would
obviously be of great advantage if it could touch its food, have
sensation as guide to activity. Thus realization of a very limited world
of things arises in touch achieved during the feeding act. That which
satisfies and gives pleasure is by touch discriminated from that
which does not give these results. Discrimination of soft and hard is
probably the earliest touch impression. The soft thing is manipulated
in the feeding act as edible. But a great step is made when psychical
effect of the edible is not only comprehended through touch in direct
connection with the assimilatory act, but antecedently thereto. The
animal establishes a connection between the feeling the soft thing
and pleasure experience in its struggling activities. It touches more
and more readily what it is assimilating, and thence rejects more
easily and promptly the injurious. In appropriative effort with
pleasure experience it feels the thing, cognizes in most general way
its physical quality. As sensitiveness increases through struggle and
natural selection the assimilatory attempt will be more and more
quickly met by the touch sensation, until touch ultimately becomes
precedent and actually directive to food. Recognition, in a far more
emphatic way than before, becomes added to cognition; the thing is
not merely known in its bare objectivity, but is recognised, identified,
and has a meaning. Touch must give, not only the thing, but the
thing as potent for some quality not now being appreciated, though
formerly appreciated pari passu with the touching. The interpretative
act comes through the association gradually established in past
experiences, so that the edible is no longer fortuitously hit upon, but
touch precedes active effort at appropriation, and suggests by itself
edibility or non-edibility. Thus is action greatly economized and made
certain. Definite feelers, extending from the body, and sometimes
quite long, are evolved, and the first period in the history of
knowledge, the age of touch, is inaugurated.
It is here when touch involves representation and becomes a sign
of something, e.g., edible thing, that desire and other simple
emotions originate. A possibility of pleasurable experience being
recognised, it is necessary, if useful action would follow, that
emotion springs up as incentive, and this emotion we term desire.
Hunger drives, but desire draws, and as reinforcement and guide to
the blind hunger impulse desire has a large function. A mere
indifferent recognition, the pleasurable foreseen but not felt about,
would be entirely unserviceable. If we do not desire the pleasurable
and beneficial, we do not act for it. And originally, at least,
perception of the good always stirred desire; and desire was
awakened in no other way; for in the course of natural evolution,
knowledge and emotions have alike to be interpreted in their origin
and meaning with reference to advantageous action, this alone
being the arena of natural selection. A meaningless knowledge and a
self-contained emotion or feeling, are entirely contrary to the trend
of evolution on the basis we have assumed. Moreover, through ages
of activity the tendency to desire the good and the good only
becomes so ingrained that I think it hardly fails, even in the highest
and latest minds. The most hyper-conscious man, once convinced
that something will give him pleasant experience, so long and so far
as this feeling is dominant in mind will have incipient desire.
On this long disputed question of the relation of desire to the good
or pleasurable, evolutionary psychology, which views mind as serving
life, as interpreting things with reference to their serviceability and
so implied pleasurability, always bases desire in its origin and growth
on pleasure. But is this general point of view borne out by the facts
of mind? A typical example of common desire is this: At a fair I
observe a toboggan chute and say to my companion, “That must be
sport, how would you like to try it?” The appeal to “sport” awakens
desire in my comrade and he says, “Let’s try it.” We test its
pleasurability, and, enjoying it, desire to go again. It is evident that
desire arises not on the mere image of actualization as such, the
idea of sliding, but on conception of its pleasure quality. Whenever
by our own experience or by the testimony of others we are assured
of a good thing to be experienced we straightway desire it.
This, it may be said, is all very true for a certain class of desires,
but the principle does not apply in the higher desires like the desire
for knowledge. But knowledge originates only as serviceable, and
primarily only serviceable knowledges are desired. We desire
knowledge only so far as it is worth having, and it may be that I
esteem all knowledge as worth something and so desirable.
However, some knowledges are worth nothing and are never
desired. Who wants to know the exact measurements of the pebbles
on the road, or how many hairs are on the mane of his neighbour’s
pony, or the names of all the inhabitants of Pekin? But if one thinks
it would be any satisfaction to know such facts, he may desire to
know them. The insatiable curiosity of children which seeks to know
all such irrelevant facts hardly comes under the category of desire,
but is rather instinctive hereditary impulse. It has no clear idea of a
thing to be known and a desire to know it, but is only a spontaneous
outburst of knowing activity which is inbred and comes from
ancestral integration. There is a sensing and perceiving activity
which is very intense at the questioning age, but which hardly
implies the desire to know. The incessant “What’s this?” “What’s
that?” is merely outcome of an instinctive impulsion to interpret
environment; it is not significant of full-formed desire, there is no
idea of thing to be known, of an actualization to be accomplished.
If a man desires knowledge, not for his own sake, but for its own
sake, desire as such really ceases, it merges into love and devotion,
which are disinterested and clearly distinct as mental modes from
desire. Desire is not a sentiment; and it does not properly include all
impulse to actualization. For instance, the feeling for actualization
merely as such, for achievement of ideal per se, is beyond the
biologic stage of consciousness wherein desire has its chief function.
The attainment of end merely for the sake of the end must be
distinguished from actualizing an image for the pleasure of
actualization, which thus has desire element. We know that the
image of realization may act as end by compulsion, as in feeling of
duty, which is thus marked off from desire as impulsion. Thus desire
is but one mode of teleological emotion. But desire is emotion at
unrealized good and not at unrealization in general.
Spinoza’s dictum, followed by Volkmann, that we do not desire a
thing because we deem it good, but we deem it good because we
desire it, is not borne out by the commonest facts. A peddler shows
me an apple, but I do not desire it and then deem it good, but I
examine it, and if it seems good I may desire and buy it, but if bad,
I have aversion, and return it. My desire thus depends altogether
upon whether or not I deem the apple good, and not my deeming it
good upon my desire. If I see any one desiring anything I at once
judge that he first thought it good or he would not have desired it.
All the excitation of desire is by representation of the good. The
merchant tempts you by exhibiting his goods, the child with candy
offers it to you crying, “good! good!” the moralist proclaims, “do this
and thou shalt live.” The cause of desire, which for weal or woe
plays such a large part in almost all psychism, is always by imaging
the good. The bait and the reward as excitants of desire are most
common; a mere suggestion of a representation without implication
of its goodliness in realization does not excite desire. Thus some
one, speaking of a totally unknown town, asks, “How would you like
to live in Perry?” and we answer, “Is it a pleasant town?” A mere
suggestion of change of abode starts desire only when there is
already displeasure with present residence, and so desire for release
as a good; but image of actualization considered solely by itself is
desireless. And if to excite desire we offer the good or pleasurable,
to extinguish desire we offer the bad and painful. I desire a fair
looking apple, but cutting it and finding it wormy and rotten, desire
flees. I extinguish the desire of a child for eating some noxious
substance by assuring it of the bad taste and nauseating effect. Both
positively and negatively then, common sense finds the basis, not of
the good in desire, but of desire in the good. The facts in both
exciting and extinguishing desire point to this conclusion.
Spinoza (Ethics iii., Prop ix.) defines desire as “appetite with
consciousness thereof.” But to be aware of being hungry is but the
first step toward desire. In the midst of my daily occupations I
become aware of pain, then of uneasiness, then of hunger,
whereupon I may desire food, which desire includes as distinct
elements: (1) idea of eating as act or movement; (2) idea of the
thing eaten as food, a something satisfying; affording relief, and so a
good; (3) thereupon the emotion wave of longing, the essential
point in desire. This is, of course, followed by volition, I act to
realize, I go to a restaurant. When Höffding (Psychology, p. 323)
says that the impulse in hunger “has reference primarily to the food,
not to the feeling of pleasure in its consumption,” he forgets that
“food” is a something satisfying, and only thus is desired. Object is
not desired as object, but for its value in experience.
We must also touch upon a certain class of experiences which
have been adduced as showing a desire not based upon the idea of
the pleasure. Take the example of a man in ennui who takes to
playing tennis as a relief, but with no desire of being victorious.
Engaging in the game he finds that “this desire which does not exist
at first is stimulated to considerable intensity by the competition
itself; and in proportion as it is thus stimulated both the mere
contest becomes more pleasurable, and the victory, which was
originally indifferent, comes to afford a keen enjoyment.” (Sidgwick,
Methods of Ethics, p. 46.) But does the desire really come from
some idea of pleasure? The player volleys a ball successfully against
his opponent, and thereby receiving a thrill of pleasure desire
awakes to beat. “Wouldn’t I like to beat him? I would enjoy nothing
better.” This desire foresees the pleasure of triumph. If he gets no
pleasure from returning the ball successfully he does not desire
success; but if unanticipated pleasure comes up in beating his
opponent, as soon as he recognises this pleasure he desires to
continue and complete it. This pleasure in succeeding in competitive
activity, extremely old and integrated from all the struggle of
existence, springs up spontaneously. There may also be added
pleasure from activity and pleasure from skill which will make the
game very interesting, i.e., full of desire and other emotions.
Professor Sidgwick allows that pleasure may be the cause of
desire, but not its object. But surely if I cognize pleasure coming
from an act, I attach this pleasure to it in representation; if I take
pleasure from returning a tennis ball and then represent a coming
opportunity to return the ball I also represent its pleasurability.
Pleasure or pain connected with acts is connected by association
with representation of the acts, the pleasure-pain tone penetrates
the representation, and only thus does actualization of an image
become object of desire. If it is possible to conceive an activity
indifferent—which may be doubted—we should have no emotion
about it. But we have already sufficiently emphasized how the
perceived experience quality of things determines desire and all
emotion.
Professor Sidgwick’s remark that the pleasurableness of the
contest is “in proportion” (Ibid., p. 46) to the desire, i.e., that the
pleasure results from the desire rather than desire from the
pleasure, also shows defective analysis. If I desire intensely to beat,
and am on the losing side, I am greatly pained, for desire is always
in itself painful. In any case desire is pleasurable only so far as it is
being satisfied, which, of course, means only so far as desire is
being extinguished. It is not the increasing desire intensity, but the
decreasing, that gives pleasure, i.e., desire is negatively related to
pleasure. Intense desire may act as excitement-pleasure, but this
does not bear on the nature of desire.
Another objection that has been brought up against pleasure as
desire basis is that “pleasures are diminished by repetition, whilst
habits are strengthened by it; if the intensity of desire therefore
were proportioned to the ‘pleasure value’ of its gratification, the
desire for renewed gratification should diminish as this pleasure
grows less, but if the present pain of restraint from action
determines the intensity of desire, this should increase as the action
becomes habitual.” (James Ward in Encyclopædia Britannica, vol.
xx., p. 79.)
But pleasure and so also desire often increases with repetition.
One who tastes champagne for the first time may receive slight
pleasure. The next time he dines out he will, with image of his
previous experience, have slight desire for champagne. As
experience is repeated his pleasure and desire may increase to
ecstasy and passion. But habits not obviously pleasure-yielding, as
the morning chore to the country lad, will be desired after
intermittance; the country boy homesick in the city longs in the
morning for the familiar scene and familiar task which was a source
of aversion at home. We painfully miss the customary, even the
painful customary, for thereby the conservative tendency of nature
and organic activity is broken up. Desire arises for relief from this
pain, and the habitual is so far regarded as pleasurable. Thus desire
is in proportion to the “restraint” only so far as the restraint is
painful, and thus relief appears pleasurable. Thus the desire for the
habitual has, like other desire, its basis in prospective pleasure.
That the analysis of desire as regards representation of pleasure is
still an open question certainly marks the psychology of feeling as
very backward; that here is a most common and prominent
psychosis, whose simplest analysis is not yet agreed upon, shows
how far we yet are from a standard of subjective verification. I have
expressed my own opinion that both the evolutionary standpoint and
special analysis indicate a distinct emotion at prospective good which
is best denominated by the term desire. This is a purely
psychological result, and has absolutely no reference to ethics.
“Pleasure” has such an inevitable ethical tinge that a purely scientific
denotation would be useful. The “good” is a better, but also
objectionable term. That then the organism should foresee and
image the good and should have a feeling about it which should
stimulate will to its appropriation and realization is a psychosis of
utmost value, and one which is in all psychism above the lowest an
extremely common phenomenon. This does not assert that desire in
all its lower range is a seeking for pleasure, an extremely late
conception and endeavour; but it means that as perception is of
things in their experience values, so representation also, as giving
the basis of desire; but a conscious hedonism is still afar off.
The general function which desire subserves in stimulating
advantageous action is obvious. As anger and fear are primarily
useful emotions in view of potential pain and harm, so desire in view
of potential pleasure and benefit.
The function of desire in stimulating advantageous action is
obvious. Desire answers to potential pleasure and benefit just as
anger does to potential pain and harm. It is a correlative and
supplement of fear, and in general the more one fears a thing the
more one desires the opposite. When sailing I desire fair weather in
proportion as I fear a squall. Desire is the very spring of life and
progress, and when desire is extinguished the will to live ceases, and
psychic life declines and dies. Fulness of desire is fulness of life, and
the largest mental life is that in which desire, constant, multiplex,
and far-reaching, is strong and dominant. Desire seems thus to be a
permanent factor, and, though there is a pre-desire period, no post-
desire age seems to be indicated in psychic history so far.
Somewhat as to the analysis of desire has already been intimated
in touching upon its origin and function, but we are now to study its
elements more in detail. The very young infant certainly experiences
hunger pains in almost its initial consciousness; but it is only
gradually that the need felt leads up to presentation and
representation of the needed thing, and so to desire. Hunger with it,
as with all organisms, sharpens the wits, and leads to knowing
things, interpreting them, and acting definitely toward them.
Through touch it first comes to appreciate object, and object as
food, a representative–inductive act. The earliest meaning attached
to object is edibility, and this, indeed, indiscriminately to all objects,
as we see that infants mouth everything. Gradually from this, or by
dint of a good deal of unpleasant experience, objects are divided
into edible and non-edible, the primitive classification of things.
From the consideration of any such simple example as the desire
for food we determine that the first element toward and in desire is
a lack-pain generating felt want, and so—and such common use of
words is significant—we want, i.e., desire what we are in want of. A
feeling of need or lack is fundamental. Now sense of lack is more
than pain from restriction or intermission, for it implies a measure of
in-ground integrated experience with objects, a constant connecting
of object with purely subjective experience. For instance, hunger and
feeling the need of food, the craving for food, are not the same, for
it is evident that to feel lack of anything with such a central pain as
hunger-pain means that this something has often been conjoined
with the pain experience. Hunger is primarily an organic uneasiness
and gnawing pain which does not include any sense of object as of a
food or reference thereto. Our subjective and objective experience
have been so completely integrated, and feeling of lack and that for
a very definite thing has become so ingrained in mind with pains, we
feel so spontaneously and immediately need of thing in connection
with organic pains that it is very difficult for us to realize a state
where this connection has not been formed or is forming. But it
would seem that the first hunger pains of the infant are of this
primitive quality, and that need is not felt in connection therewith. It
is only after some crude cognitions of bodies have been generated in
connection with the feeding act and as guides thereto that on
occasion of hunger pains there can occur the sense of lack of food
object, a painful feeling of unrealization, at first very dimly
representative, and so a craving, an incipient emotion. Desire rests
then upon capacity to feel the lack of accustomed satisfying thing in
connection with some form of perception or representation of the
thing. When a satisfying object is missing, it must be missed
psychically before desire can awake. The reaction when a
customarily conjoined experience does not occur is a peculiar feeling
in mind, a disturbance, uneasiness, a unique sense of loss and lack
which is the immediate stimulus of desire. Hunger at first leads
blindly to activities tending to satisfy hunger, but the satisfying thing
—food—therewith becomes gradually known, hence thereafter when
hunger comes there is struggle both to know and to act thereby.
This struggle has impulsation from feelings of lack.
Lack pains then prompt to cognitive activities to find the thing
lacked and desired. The first knowledge is that some things satisfy,
and an appropriative activity is excited. The lowest organisms under
impulse of hunger pains reach out after things, feel for them, and as
soon as they sense the edible, appropriate it. It is quite evident that
they exercise cognition only as driven to it, and then it is effort even
for the simplest knowing. But what the first psychic facts are is hard
for us to interpret, because we have progressed so far beyond them.
However, we may well believe that the general form of primitive
consciousness is akin to what we have when dozing or half awake.
The realization of things is dim indefinite, and it is only as pains of
considerable severity are felt and as the psychism gains in capacity
for pain that particular knowledges and particular needs and desires
are accomplished. After having repeatedly sensed something—as a
soft vegetable form—in connection with bodily pain as hunger and
with the feeding activity as allaying hunger, a renewal of the pain
from organic conditions will give, not merely purely subjective pains,
but also, as the pre-associated cognition of thing and the allaying of
hunger is not experienced, there arises as reaction a vague sense of
lack which may lead to equally vague desire. A vague uneasiness
and restlessness which knows object and misses object only in the
most general way is the lowest basis. A study of some case of
waking from a doze by reason of hunger would give the original
formation of desire as involving lack sense. Here a purely subjective
pain gradually intensifies till it wakens a very general objectifying,
and we feel need of undefined something, which soon becomes
specialized, when fully wakened, to need of something to eat, and
finally as need of some particular usual food, as bread, meat, or
milk, which is then desired.
Pain from restriction or intermission of some organic activity, as
the digestive and assimilatory, may then lead to sense of lack and
desire for object which is unrealized. However, craving-desire as
implying sense of loss, of something pleasurable missed, is not
organic, but is mere reflex of organization. It is not progressive, but
conservative; it does not initiate, it merely keeps the organism to its
accustomed level. This is the limited range of appetite. Craving rests
on past evolution. However, we have to explain the origin of those
activities which, when intermitted, produce such distressful results.
We must first acquire the liking before we miss what we like, and
tastes uniformly originate through effort, and all pleasurable activity
is built up by painful volition as urged by direct pains or by desires.
Desire then is more than craving. Craving as based on organic lack is
satiable, desire is insatiable. We desire what we have never missed
and modes of experience we have never attained. We, who have
never had a gold watch, desire one, and having received one, we
lose it, miss it, and so desire is reinforced. All the progressive activity
of the human world originates in desire, as ambition, or as desire of
truth, virtue, etc. Here we do not miss what we are accustomed to,
but we are forming habits, which will be the basis for cravings with
descendants. For instance, one who now does not miss beauty of
art, but is ambitiously striving to appreciate art, may come finally—
or at least his descendants—to miss art, and so to crave it. But for
the time he has no art craving, only an art desire. Of course all
desire in the craving form, or in the higher desire form, involves a
missing actualization. All desire is extinguished in realization. But this
obviously does not destroy the distinction of desire as based on
craving, a spontaneous resultant from integration, an intermittence
of habit, and desire as itself integrating habit-forming emotion.
However, with the lowest psychisms, we may perhaps suppose it
unlikely that representation does ever become definite enough for
desire, except when in direct sensing of a thing, as, for example, in
a touch perception. The psychism is impelled to touch activity by its
subjective pains and simple, undifferentiated lack pains. It does not
desire a food through the representation of it brought up by hunger,
for such representation of things in their potentiality is probably not
originally stimulated directly by subjective feelings, though with
man, for instance, we know that hunger and other simple feelings
will provoke representations of foods, which foods will be desired;
and particularly in famine the most lively representations of feasts
occur, and thus there is a strengthening and defining of desire. Thus
in famine there comes a greater and greater urgency to action as its
necessity becomes greater. The vivid representations of foods
become through desire—though there may be no sense connection
with food—a mighty force for self-preservative action.
Yet primitively desire probably awoke only after some sensing was
accomplished, not the mere subjective pain, but the touch
perception awoke the representation, for it would seem the original
status that representation occurs at first only with correlated
presentation. Thus it is that the simplest psychisms are driven by
their pains to achieve a touch or some sensing of a thing before they
interpret it as food, and so desire it; that is, things must have a food
meaning attached to them through actual sense appreciation of
them as such, before they can be directly instanced in pure
representation as foods. Hunger leads us immediately to think of
food, but this ability to directly represent food is based upon having
thoroughly learned certain things as food by repeated direct
experiences. A savage who has never seen or known of bonbons is
presented with a box of them, and he may receive them with
indifference, but a bonbon is placed in his mouth, whereupon he
says, “it tasted so good, I want another.” Such is the genesis of
desire when pleasure quality is attached to thing, is learned by
experience. The visual and tactual experience is actively conjoined
with pleasure experience, so that seeing another bonbon, he
represents its pleasurability and so desires it.
Further, the relative presentations and feelings must be mentally
correlative, the connection must be more than phenomenal series of
several forms; there must be an active connecting psychic process
as basis. You are told to open your mouth and shut your eyes, and a
bonbon is dropped in; the taste will at once give rise to a revival
visual presentation, and if a person holds up before your eyes a fine
bonbon, saying, “look at this,” there may occur revival taste
experiences. But the immediate basis of desire is not here, for if
psychic process stopped here, there would be no higher elements;
these can only be accomplished by a definite bringing up and
attribution of subjective quality to the thing. You represent its
possible pleasurableness on the basis of past experience, by the
action of the inductive instinct, a complex process. Here revival is
not an active correlating, but is self-contained, lying isolated by
itself, and unfruitful till its revival character is recognised, and it is
actively wrought into experience. That is, integrating act is
presupposed in all desire.
The way in which revival becomes the basis representation is hard
to trace, but in many cases it seems to be connected with certain
physiological activities. A revival form implies correlated physical
functions, as when the sight of a peach causes the taste pre-
experienced therewith to be revived, and the mouth waters, as if in
actual deglutition. As the reacting and assimilating process is carried
on without any real thing to be acted upon, there comes a
physiological reaction, which in turn gives rise to peculiar psychic
affections, and specially the uneasy feeling of lack. The unreality and
mere revival character of the revival experience is ultimately
recognised, and representation becomes possible, and idea of
pleasure as both experienced and experienceable is evolved. Thus
an unsubstantial revival, where the thing is sensed in one form only,
but thereby re-awakening other associated experiences, as in the
case of merely seeing a peach, leads finally to know the thing as a
potency; I taste, but after all I taste nothing; hence I am led to
perceive the thing as a sign, as unrealized in its pleasure
significance, but realizable. How we attain sense of reality and
unreality we discuss in chapter on Induction, but with special
reference to desire we add here an illustration. When engaged in
reading on a hot day, I have feeling of discomfort, and then
spontaneously arises image of a wonted bathing place, I have the
image of moving in the clear, cool water, but at once recognising the
unreality of the image, I long for realization. I, when heated, have
so often seen the water, and plunged in it, that the presentation of
mode of relief has become firmly associated with the discomfort, so
when it organically returns, presentation revives, and its unreality
known, desire rises. One not accustomed to bathe, but to taking
lemonade when heated, will have visions of lemonade and desire
therefor. One who is just forming some habit of relief will not have
spontaneous images, but must call them up. Desire also will be
purely general, “Oh! to get rid of this heat.” Specific desire, as
founded upon a definite image of realization, is primarily the result
of active association of definite object and mode with a given
pleasure-pain state. The realizing the image as unreality, as
suggesting an actualization to be wished for, is learned from rude
experience with present sensations and perceptions quite at variance
with the image. Thus, that the vision of water is unreality I know by
seeing the room before me, touching the chair, sense of painful heat
unrelieved, etc. An image of actualization barely of itself does not
include desire. I may conceive that I can image myself moving in
water without any emotion therewith connected, but as matter of
fact, this never occurs; all our images of actualization carry some
desire value. Even bare phantasy, as imagining myself living on the
moon, is not without a tinge of desire or aversion, for the origin and
growth of imaging has been so bound up with desire, and is for
desire as life function that some desire tendency is retained even in
the purest flights of imagination. It becomes increasingly evident
that such a simple and understandable expression as, “I want that
peach,” implies a great complexity of psychic process which is hidden
from us by the summarizing facility of language. Emotion is evidently
far too complex for full analysis. Its complexity is such that we may
well hesitate to attribute it, as is so often and easily done, to the
lowest psychisms. Since desire includes a measure of self-
consciousness, and also of consciousness of pleasure, it seems
improbable at first sight that such elements should exist in certain
low consciousnesses where primitive organisms seem impelled by
desire. However, though this a priori view has weight, it must not be
allowed to be of supreme value. Yet when we fairly interpret a very
simple case, as when a dog scenting and seeing meat on a shelf, is
said to desire it, and so to spring for it, we certainly imply a
complexity of mental activity, which might by many be thought quite
beyond the power of even a very intelligent dog. We have at least
the following factors:—
1. Simple scent or vision of the thing; bare presentation or
representation of object.
2. Either a definite bringing up, or a mechanical re-occurrence of
past pleasurable associated feelings and sensations, or both.
3. Sense of unreality.
4 Feeling of lack.
5. Pain of lack.
6. Sense of pleasure potentiality of the thing, which implies—
(a) Idea of pleasure.
(b) Idea of personal experience thereof, i.e., some egoistic
sense.
(c) Sense of experience as in time past, as experienced.
(d) Sense of time as future as implied in sense of the
experienceable.
7. The longing, yearning, peculiar desire quality as feeling mode.
8. Desire pain.
In the first place then, the object of desire, the desideratum, is
not the object as such. We do not desire things merely as such, but
only as far as they are significant of experience. Presentation does
not, at least normally and originally, ever end in itself, but it is
always connected, and connects with pleasure-pain experiences.
Desire begins by being vague as to its object; under slight pressures
of pain we want something, but we know not what; we have dim,
undefined longing, but the indefinite object is always a possibility of
experience, a centre of pleasure-pain potency. At the first stirring of
hunger pains, we have a vague uneasiness and sense of lack, with a
most general idea of object and longing toward it, and suffer the
pain from hunger. We may be physiologically hungry without feeling
hungry, and so may have a desire of thing in general to remove pain
before the pain is felt and recognised in its particularity as hunger
pain. When hunger comes, or, primitively, is achieved, then we want
something to eat; and as this feeling intensifies, the craving
becomes more and more definite as to object; bread, etc., is
wanted, and in famine hunger there is the most particular
representation, as of certain dishes formerly eaten with great relish.
Lumholtz, wandering famished on a Christmas in the wilds of
Australia, thinks of the puddings in his native Norway. The
evolutionary significance of this increasing definition of object in
desire is obvious in that greater definiteness and accuracy of self-
preservative action is thereby assured.
As far as the nature of the emotion desire goes, it seems quite
indifferent whether there is presentation or representation of object.
I desire equally, whether I actually see the bonbon on the table or
when I merely represent it—see it in my mind’s eye.
Primarily then, and always, even in the latest evolution, as
tendency at least, the desire is for the pleasure in the object, and
desire is excited by every representation of the pleasurable. If one
says, “I can look upon pleasure without desire,” we may well
question whether there is really personal pleasure represented.
Dancing, card-playing, wine-drinking, may be pleasures which do not
attract me because I do not care for them; and by such a statement
we indicate the practical parallelism of pleasure and desire which is
forced upon common introspection. If you care for it, it is a pleasure
to you; if you do not care for it, it is not a pleasure to you; such is
the result of common observation, and a very just conclusion so far
as I can see. To excite desire, we naturally suggest the pleasurable.
One person persuading another to go to a party says: “I know you
would have a good time.” When one answers, “I know that I would
have a good time, but I dread the trouble of getting ready”; here is
a conflict of desires in which desire of present ease and comfort may
overcome desire of future pleasure. We may, indeed, assert that one
cannot honestly say, “I know it would be a great pleasure to me, but
I have no desire for it.” When such a phrase is used, it can only
mean that the pleasure is interpreted as belonging to the generic
class of pleasures, yet not a pleasure to the individual in his present
conception, or else its contingency, implied by “would,” is so great
that desire is practically nil.
And if the pleasurable is always the desirable, the desirable also
may be said to be only the pleasurable. The martyr in his most eager
desire for a painful death, fixes his mind, not upon the pain as pain,
but upon the enduring it successfully, and the triumphant pleasure,
also the satisfaction of the reward of martyrdom, and the pleasure of
suffering for right and the approval of conscience; these and many
other factors influence him.
Desire is at pleasure, not in pleasure, and thus contains pain,
especially as implied in the preparative factors, sense of unreality
and sense of lack. A bonbon may be so cunningly imitated, that
placed in the mouth it feels like a bonbon, yet not tasting so, the
painful sense of unreality and loss occurs. There is a painful waking
up to the fact of non-realization, much the same in quality as that
which we suppose to have happened in the original genesis of
desire. The pleasant hallucination is broken in upon by actuality not
fulfilling the psychic co-ordination pre-established under more
favourable circumstances; and this occurs in early psychisms on a
wider variety of occasions than in later development. That I am not
tasting the bonbon I see on the table, this fact per se does not pain
me. I take it as a matter of course in an order of nature already well
learned and completely acquiesced in. But with infantile and lower
stages of evolution generally, the lack of immediate correlation
seems highly painful. Seeing has directly developed in immediate
connection with a tasting, and the seeing without tasting seems by
its very nature as disquieting as the feeling in the mouth the artificial
bonbon without being able to taste is for later experience. It is
through the negations of customary coincident impressions that
anticipation and desire become forced by the exigencies of life. The
early psychism is limited in its adjustments to a very few simple
coincidences, but in the struggle of life in complex nature there
comes disruption of these primitive co-ordinations, and sequences
become apprehended, and meaning is discerned in things. This
disruption primitively occurred most easily when there was direct
opposition to the usual course of sensations. Just as when mouthing
the imitation bonbon, we apprehend most quickly and easily non-
realization when it tastes sour rather than sweet. By realities
continually breaking in upon the common course of psychic
association, the significance of things is gradually apprehended, and
to see a thing is understood not merely as coincident with other
sensations and perceptions, touching, tasting, and pleasure-feeling,
but the thing is cognized as centre of pleasure potency, and so can
become object of desire. Experience loses its self-contained
simplicity, and is forced in the struggle of experience in a complex
environment into some definite understanding of things, and into a
feeling for them or at them, and not merely a feeling from them.
And so a world of desirables and aversibles is formed.
If no pain was felt in the experience of unreality and lack, if there
was mere passivity, desire would not be generated. This pain of loss
spurs the mind to achieve desire, and desire enables the organism to
attain the advantageous. At length a conventionalized world of
desirables so formed, and certain significances, become so inground
into experience that they seem often to be instinctively and
immediately recognised by the individual, anterior to any personal
learning by experience, as in cases of instinctive fear of, and desire
for, certain objects.
While desire is attained at the incitement of pain, it is in itself a
painful mental act. The emotional going out toward the desideratum
is in itself a painful mode of consciousness. The feeling I have for
the bonbon which I see and desire is, so far as desire, painful, yet
negatively and comparatively, it may be pleasurable in that this
psychosis may supplant one more painful still. It may be said that
desire is painful, and also lack of desire, or ennui. But mere
desirelessness is not ennui. Ennui is a feeling of lack and loss, and
so a feeling of desire, but a peculiar kind of desire. It is desire for
activity, when by a morbid status there is no desire moving to
activity. Lack of desire and interest in things may be painfully
revealed to some active natures, but to the great majority of
psychisms it is a pleasure state. As far as we can judge, the undesire
of the cow leisurely chewing her cud in a warm corner of the barn
yard is supreme felicity. A state of desirelessness, complete yet
blissful, occasionally visits even the consciousness of the nineteenth
century busy-body. But the normality of desire for human adult
consciousness in general is apparent to all. One who loses all
interest or desire loses hold on life. Thus desire is life, and even
when it is sought to extinguish it either as dictated by a
philosophical maxim or by religious and moral scruples, on account
of the innate selfishness of desire—Madame Guyon, for instance—
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To the children, students and adults who

taught us how to conduct and use functional

assessment procedures; and to the families,

teachers, and community staff who used

previous versions of the tools in this book and

helped us understand how to make these tools

more practical and effective.

2 Functional The Content of the Functional Assessment

Assessment and Analysis Using the Functional Assessment

of the Behavior to the Writing Behavior Support Plans 99

Intervention 67 Why Write Behavior Support Plans? 99

C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83

Instructor Ancillaries Robert E. O’Neill

1 Window to the World

■ Case Study ONE

Window to the World ■ Case Study TWO

Purpose of the Handbook behavioral assessments and analyses. The focus

✷Key Point 1.1

Informant Methods What events or changes in these situations seem

✷Key Point 1.3

Systematic Manipulations—Functional designed to identify the function of the problem

Ethical Considerations 1.1

Ethical Questions Regarding Functional Assessment and Positive

■ Case Study ONE

Window to the World ■ Case Study TWO

Mitch is a 19-year-old student in a transition program operated by the school

Brown divided emotions into retrospective and prospective, but

The lowest organisms come in contact with things, have objective

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C: Student-Directed Functional Assessment 4.6 Competing behavior model for Marlene. 83