Behavior Analysis in Practice (2019) 12:222–234

https://doi.org/10.1007/s40617-018-00291-9

DISCUSSION AND REVIEW PAPER

The Big Four: Functional Assessment Research Informs Preventative

Published online: 20 September 2018

Abstract
Current practice guidelines suggest that the assessment and treatment of challenging behavior should consist of conducting a
functional behavior assessment following the onset of problem behavior. This assessment process can include indirect and direct
assessment, as well as manipulation of variables to determine function. The purpose of this article is to outline a proposal that
would add prevention practices to early intervention guidelines for problem behavior. Based on decades of research, the
suggestion is to proactively teach children at risk for problem behavior to navigate four of the most common conditions that
have been demonstrated to occasion problem behavior. Prevention is made a possibility because a large body of research
examining the conditions under which challenging behavior occurs has been reliably replicated. Preventative approaches are
an emerging phenomenon and reflect a progression in the practice of behavior analysis. Prevention may lead to acquisition of
prosocial behavior before problems arise, to expedited and enhanced treatment, to increased access to favorable learning
environments, and, we hope, to improvement in the quality of life for many children at risk for the development of problem
behavior.

Keywords Problem behavior . Functional analysis . Functional behavior assessment . Prevention . Early childhood interventions

Although it is not a diagnostic criterion, individuals diagnosed Mazurek, 2011; Richards, Oliver, Nelson, & Moss, 2012). For
with an intellectual disability (ID) or developmental disability example, researchers have shown that the prevalence of self-
(DD), such as autism spectrum disorder (ASD), commonly injurious behavior (SIB; e.g., hitting, biting, or pinching one-
engage in problem behavior (Didden et al., 2012; Kanne & self) ranges from 4% to 12% for individuals diagnosed with an
ID; for individuals diagnosed with ASD, the range is from
The second through eighth authors are listed in alphabetical order by their 33% to 71% (Bartak & Rutter, 1976; Cooper et al., 2009;
last names as they all had equal contributions to this article throughout the Dominick, Davis, Lainhart, Tager-Flusberg, & Folstein,
process.
2007; Richards et al., 2012). Another common topography
of problem behavior frequently observed is aggression (e.g.,
* Shahla Ala’i-Rosales
[email protected]
hitting, biting, or punching others), with prevalence rates rang-
ing from 7% to 56% for individuals diagnosed with an ID and/
* Justin B. Leaf
[email protected]
or ASD (e.g., Kanne & Mazurek, 2011). The prevalence of
some forms of stereotypic behavior within this population has
1
been documented to be as high as 71%. In addition to self-
Department of Behavior Analysis, The University of North Texas,
injury, aggression, and stereotypic behavior, individuals diag-
1155 Union Circle, Box 310919, Denton, TX 76203, USA
2
nosed with an ID or DD may engage in other topographies of
Autism Partnership Foundation, BCBA, 200 Marina Drive, Seal
problem behavior such as, but not limited to, elopement (with
Beach, CA 90740, USA
3
rates as high as 49%; Anderson et al., 2012), feeding problems
The Institute for Behavioral Studies, Endicott College, Beverly, MA,
(range 25%–34%; Didden et al., 2012), and pica (range 5%–
USA
4
60% of the sample; Didden et al., 2012).
The Lovaas Institute, Minneapolis, MN, USA
Problem behavior can have serious deleterious conse-
5
Autism Partnership, Seal Beach, CA, USA quences for the individuals (e.g., injury, death) and their fam-
6
JBA Institute, Torrance, CA, USA ilies (e.g., depression, anxiety). The occurrence of problem
Behav Analysis Practice (2019) 12:222–234 223

behavior also presents a barrier to participation in the commu- Historical Development of the FBA and SFA
nity and could make the individual less responsive to impor-
tant learning opportunities. For over 60 years, researchers in A typical FBA consists of two or three components. The first
behavior analysis have successfully developed and evaluated component, an indirect assessment, involves interviewing
the use of procedures (e.g., shaping, time-out, functional com- stakeholders, the people who care and are responsible for the
munication training, tolerance delay, task choice) to increase individual with the problem behavior (e.g., the individual him-
desired behaviors and decrease problem behavior such as ag- or herself, parents, teachers, other professionals). This can be
gression (e.g., Hanley, Jin, Vanselow, & Hanratty, 2014), self- done via structured or unstructured interviews, the purpose of
injury (e.g., Ghaemmaghami, Hanley, & Jessel, 2016), stereo- which is to gather information on the type of problem behav-
typic behavior (e.g., Falcomata, Roane, Feeney, & ior occurring, when the problem behavior is occurring, what
Stephenson, 2010), elopement (e.g., Roane & Derosa, events occur prior to the onset of the problem behavior, and
2014), pica (e.g., Mace & Knight, 1986), and noncompliance what events follow the occurrence of the problem behavior.
(e.g., Fischetti et al., 2012). The relationship between research The second component, descriptive assessment, consists of
and practice has resulted in a grounded theoretical framework observations of the individual in his or her natural environ-
that places a heavy emphasis on the function (i.e., control by ment without any manipulation of environmental variables.
consequences), as opposed to the structure (i.e., the form), of During these observations, data on antecedent events, target
behavior. The purpose of this article is to describe the founda- behavior, and consequences can be collected and used for a
tional research base for effectively treating problem behavior descriptive analysis. Sometimes, an SFA is deemed necessary
and to propose that it should inform preventative practices for (Hanley, 2012; Oliver, Pratt, & Normand, 2015). An SFA
young children at risk for problem behavior. The specific pre- involves “an analysis of the purposes (functions) of problem
ventive strategies are based on the hundreds of published stud- behavior, wherein antecedents and consequences representing
ies on functional assessment and treatment. Although there is those in the person’s natural routines are arranged within an
limited support for these specific strategies as preventative, experimental design so that their separate effects on problem
rather than reactive, treatments, there is support for early pre- behavior can be observed and measured” (Cooper, Heron, &
vention in general (e.g., Campbell & Ramey, 1994; Lovaas, Heward, 2007, p. 696). During an SFA, the individual is sys-
1987). Furthermore, we hope that this article can serve as a tematically exposed to specific conditions to determine ante-
stimulus for increased prevention research in this area of be- cedents and consequences that may be setting the occasion
havior analysis. for, or maintaining, the problem behavior. The components
are implemented in order to develop a treatment plan to reduce
problem behavior by addressing behavioral function.
The science of human behavior largely rests on understand-
Foundations ing the functions of behavior through experimental analysis
(e.g., Skinner, 1953). In an early example, Lovaas, Freitag,
The current approach for addressing problem behavior re- Gold, and Kassorla (1965) evaluated the variables controlling
quires a functional behavior assessment (FBA; Neef & the SIB of a woman with schizophrenia. The authors demon-
Peterson, 2007), sometimes followed by a standard functional strated that social reinforcement, and its withdrawal, altered
analysis (SFA; Iwata, Dorsey, Slifer, Bauman, & Richman, the frequency of self-destructive behavior. Like SFA, this
1982), also referred to as functional analysis or experimental study systematically altered the environmental conditions of
functional analysis (Hanley, 2012), and then implementation which behavior was a function and thereby provided an early
of a function-based intervention (e.g., differential reinforce- demonstration of how environmental variables controlled the
ment of other behavior, extinction). The goal is to develop occurrence of problem behavior. Several studies follow-
and implement procedures that reduce the rate and prevalence ed that examined the role of function in both clinical
of problem behaviors while teaching functional, socially de- interventions and carefully controlled intervention con-
sired alternatives. This is typically done with a goal of de- ditions (e.g., Carr & McDowell, 1980; Carr, Newsom,
creasing the frequency of the problem behavior while teaching & Binkoff, 1976; Favell, McGimsey, & Schell, 1982;
a functionally equivalent alternative response with FBA- or Martin & Foxx, 1973; Rincover & Devany, 1982).
SFA-identified functions (e.g., if the function of the problem In a seminal paper, Carr (1977) presented a review of var-
behavior is determined to be accessing attention, the function- iables hypothesized to influence the occurrence of SIB. The
ally equivalent target behavior would yield access to attention; review included supporting or refuting evidence for each of
if escape from a difficult task, the task would be modified, or a the hypotheses reviewed: positive reinforcement, negative re-
break response would be taught). This is the general approach inforcement, sensory stimulation, biochemical or organic fac-
to functional assessment (e.g., Hanley, 2012) and is consid- tors (e.g., Lesch-Nyhan syndrome, otitis media), and psycho-
ered the convention in behavior analysis. dynamic theories (e.g., self-injury results from the inability to
224 Behav Analysis Practice (2019) 12:222–234

distinguish oneself from the external world). Carr dismissed interventions based upon removal of aversive stimuli, reduc-
the prevailing psychodynamic interpretations of SIB, due to tion of task frequency, extinction from escape, and DRO were
contrary and absent data, and concluded that SIB may be most effective, whereas escape from social attention and time-
determined by multiple, and largely environmental, factors out were least effective. Twenty-five percent of the partici-
(as opposed to one single “cause”). This article was an impor- pants engaged in higher rates of SIB within the automatic
tant part of a nascent technology, built on the analysis of be- reinforcement condition. In these cases, interventions based
havioral functions. upon noncontingent access to reinforcement, sensory extinc-
Iwata et al. (1982) were the first to formally develop and tion, DRO, and response interruption were more effective than
evaluate a standardized protocol to analyze the possible func- contingent attention, extinction, and time-out. The remaining
tions of problem behavior, the SFA. Iwata et al. used a multi- cases were determined to be of unidentified function (4.6%) or
element experimental design and exposed participants to four to be controlled by multiple variables (5.3%).
different environmental conditions, manipulating antecedent In a discussion of the review, Iwata et al. (1994) raised
and consequent events to determine if these conditions evoked multiple issues. First, the data should be interpreted with cau-
more or less problem behavior. One condition evaluated the tion. The sample was a referred population sample and may or
presence of a positive reinforcement contingency. Within this may not reflect distribution or incidence of controlling vari-
condition, the interventionist sat away from the individual in a ables for other populations. Second, the SFA methodology
room and began to acted busy (e.g., read a magazine, act as if allowed the interventions to be tailored to the identified func-
working) and only provided attention, edibles, and tangibles tions of the problem behavior. Third, in most of these cases,
contingent on the occurrence of SIB. A second condition SIB seems to be maintained by socially mediated conse-
evaluated the presence of a negative reinforcement quences (e.g., access to attention, removal of a demand).
contingency. Within this condition, demands were delivered Fourth, they suggested that many individuals have not learned
and were discontinued contingent on the occurrence of SIB. A socially acceptable, and less harmful, means of accessing re-
third condition consisted of the individual in a barren inforcement, or their environments do not provide adequate
environment, in which no social attention, edibles, or reinforcement for more adaptive behavior. Fifth, and impor-
tangibles were provided. This condition was intended to tant to the aims of this article, data such as these can be useful
evaluate the presence of an automatic reinforcement in the identification and instruction of topographically differ-
contingency. Finally, they created a control condition in ent and more socially acceptable responses that serve the same
which the researchers provided noncontingent attention, function as the SIB and guide a “preventative strategy for all
pla ced no d emand s, a nd p resen t ed e nrich ment individuals at risk for SIB” (Iwata et al., 1994, p. 235).
materials. For the majority of the participants, SIB was
correlated with specific conditions, meaning specific Current FBA and SFA Conventions
contingencies evoked the problem behavior. The
authors concluded that conducting an SFA to identify Since the seminal work of Iwata et al. (1982, 1994), SFAs
the function of problem behavior would better inform have been one of the most studied methodologies and proto-
interventions and be more useful than beginning cols employed by behavior analysts in research (Beavers,
arbitrary and, perhaps unnecessary, interventions. Iwata, & Lerman, 2013; Hanley, Iwata, & McCord, 2003).
Following over more than a decade of SFA research, Iwata In 2003, Hanley et al. conducted a review of functional anal-
et al. (1994) presented an analysis and summary of the ysis research from 1961 to 2000 and found 277 published
responding of 152 participants from many SFA single-case functional analysis studies during that period. Beavers et al.
research studies conducted up to that point in time. The studies (2013) extended Hanley et al.’s (2003) review by analyzing
selected for review were on the function and treatment of SIB research on functional analyses from 2001 to 2012. Beavers et
(e.g., head banging, hand biting, pica). Function was evaluat- al. (2013) found that an additional 158 articles were published
ed through the use of multielement experimental designs, re- that used functional analysis methodology. In total, as of
versal designs, and comparisons between opposing pairs of 2012, there had been at least 435 studies published using SFAs.
conditions (e.g., demand vs. play). The analysis revealed that The research corpus also includes variations in the config-
26.3% of the participants engaged in higher rates of SIB with- uration of an SFA. These include, but are not limited to, brief
in the positive reinforcement condition. For this group, inter- functional analyses in which a series of short analogue condi-
ventions based upon noncontingent attention, extinction, dif- tions are rapidly changed during a relatively short duration
ferential reinforcement of other behaviors (DRO), and time- (e.g., 90 min; Northup et al., 1991), trial-based functional
out proved most effective, whereas verbal reprimands and analyses in which the analogue conditions are modified into
response interruption were least effective. Thirty-eight percent a series of trials (e.g., Bloom, Iwata, Fritz, Roscoe, & Carreau,
of the participants engaged in higher rates of SIB within the 2011), and the interview-informed synthesized contingency
negative reinforcement condition. For this group, analysis (e.g., Hanley et al., 2014), which consists of
Behav Analysis Practice (2019) 12:222–234 225

providing a semistructured interview with stakeholders transmission, public health initiatives concentrate on preven-
followed by a brief functional analysis in which multiple con- tion and early action to prevent HIV, while both sets of activ-
ditions are combined and compared to a control condition ities continue (e.g., Kelly, St. Lawrence, Hood, & Brasfield,
through the use of a multielement design to determine the 1989; Stover et al., 2006). This proposal also contributes to
contingencies maintaining the problem behavior. The use of other preventative initiatives within behavior analysis (e.g.,
FBAs and SFAs is considered recommended practice in many Dunlap, Johnson, & Robbins, 1990; Dunlap et al., 2006;
areas of education and health care. For example, it is a com- Fahmie, Iwata, & Mead, 2016; Fahmie, Macaskill, Kazemi,
ponent of the Individuals With Disabilities Education Act & Elmer, 2018; Fox, Dunlap, Hemmeter, Joseph, & Strain,
(2003, 2004), the legislation governing services in educational 2003; Luczynski & Hanley, 2013; Lutzker, Frame, & Rice,
settings (Hanley et al., 2003). It is also a part of the ethical 1982; Lutzker & Rice, 1988; Richman & Lindauer, 2005).
guidelines for the practice of behavior analysis (Behavior Understanding the core functions likely to produce prob-
Analyst Certification Board, 2014) and thereby a mandate lem behavior informs our capacity to arrange environments
for practicing certified behavior analysts. Research, law, and and teach skills that would prevent problems from occurring.
practice recommendations from professionals have resulted in An increase in prevention efforts would likely result in a de-
the FBA becoming an important part of clinical practice creased need for conducting FBAs and SFAs. That is, if prob-
(Oliver et al., 2015). Oliver et al. (2015) surveyed 724 certi- lem behavior is prevented, then the need to conduct a func-
fied behavior analysts on the implementation of FBAs and tional analysis of behavior might be eliminated. The goal
SFAs. The results of this survey showed that around 90% of would be to proactively teach young children at risk for prob-
behavior analysts surveyed used some component of an FBA lem behavior all the necessary skills to navigate the common
as part of their practice; however, around 63% reported to contexts that have been extensively documented to occasion
never or almost never use an SFA as part of the FBA process. problem behavior, instead of waiting for the problems to oc-
Although there is variation in how FBAs may be conducted cur. This would preempt deleterious consequences for the
within clinical practice, and SFAs remain much less common- child and other stakeholders. Decades of published research
ly used than FBAs, it is clear that taking a functional approach permit us to identify the most common conditions that occa-
to understanding challenging behavior is common practice. It sion problem behavior (Beavers et al., 2013; Carr, 1994;
is also evident that this has contributed to the development of Hanley et al., 2003; Iwata et al., 1982). Additionally, if a
interventions based on the functions of problem behavior. behavior analyst is already working with a client who is
Within both research and practice, functional analysis is wide- displaying problem behavior, there is no harm, yet several
ly regarded as the gold standard in addressing problem behav- benefits, to reactively teach the appropriate skills needed to
ior (Gardner, Spencer, Boelter, DuBard, & Jennett, 2012; navigate these conditions without engaging in problem behav-
Wacker et al., 1998). ior. In the following sections, we expand upon the emerging
discussion of the prevention of problem behavior for young
children diagnosed with an ID or DD, such as ASD (e.g.,
A Proposal for Progressing to Preventative Fahmie et al., 2016; Fahmie et al., 2018), and outline a pro-
Practices posal to expand current conventions for problem behavior.
Our prevention proposal is aimed at young children at risk
Based on the strength of the functional analysis research, we for problem behavior. Preventative intervention is more likely
propose that in addition to current SFA and FBA conventions, to be more effective the younger the child; progress is more
we allocate increased attention to the prevention of problem rapid, generalization is more likely, learning histories and liv-
behavior, especially in the case of young children. One of the ing environments are less complicated, families have more
hallmarks of applied behavior analysis (ABA) is that re- energy, and the topography of problem behaviors in small
searchers and practitioners are responsive to data, and that children is usually less dramatic and more tolerable to adults
responsiveness has caused our practices to become more ef- (Dunlap & Robbins, 1991).
fective and our science to progress (Leaf et al., 2016). The
previous decades and hundreds of SFA and FBA studies can Conceptualization
inform this preventative practice. Professional practice, based
on science, should progress as the science and social under- Prevention efforts for young children would consist of several
standing of data and their use advance. Our proposal is similar distinct components. The first three involve the context and
to advances in other realms of health and education. For ex- assumptions, whereas the fourth focuses on specific skills and
ample, medical advances are made, and continue to be made, conditions. First, the behavior analyst creates an appropriate
toward understanding the basic mechanisms and treatments and nurturing educational environment that is conducive to
for the human immunodeficiency virus (HIV). Based on an learning. This aligns with general behavior-analytic practice
understanding of the conditions responsible for HIV (cf. Biglan, Flay, Embry, & Sandler, 2012; Delprato, 1981;
226 Behav Analysis Practice (2019) 12:222–234

Goldiamond, 1974) and early childhood intervention recom- moment, condition to condition. For instance, a child might
mendations (Division for Early Childhood, 2014; Hemmeter, gain control over the environment, momentarily suppressing
Ostrosky, & Fox, 2006). This is the first layer of groundwork pain from a migraine and/or escaping from a task, as a result of
for minimizing the probability of problem behavior. Such ef- hitting himself. Each of the consequences could be operating
forts should routinely include ensuring that (a) the level and concurrently, sequentially, or periodically. The assumption of
type of demands are matched to the skill and level of rein- multiple control and synthesized contingencies allows for pre-
forcement that is available (minimizing motivation to escape), ventative approaches to address a variety of potential main-
and (b) positive reinforcement is provided throughout the day taining variables in a variety of contexts.
and is consistently higher when adaptive behavior is displayed Fourth, the data gathered from decades of SFA research can
(minimizing differential reinforcement of problem behavior). be synthesized into a constructive and proactive focus that
Second, through reviews of the empirical literature and directly addresses four common conditions that have been
surveying successful practitioners and leaders in the field of demonstrated to evoke challenging behavior. Knowledge of
early intervention, recommended practices have been devel- these conditions can be used to define repertoires with the
oped and revised over the last 20 years that align with the hope that children learn the essential skills required to navi-
conceptualization of a preventative approach to problem be- gate the troublesome conditions in socially acceptable and
havior (Division for Early Childhood, 2014; McLean & behaviorally healthy ways—before problems develop. Each
Odom, 1996; Odom, McLean, Johnson, & LaMontagne, of these repertoires yokes directly to the SFA conditions.
1995; Smith et al., 2002). In particular, the Division for The “Big Four” focus areas are:
Early Childhood (DEC) Recommended Practices are crafted
to understand and synthesize evidence and expertise to pro- 1. Safely, effectively, and respectfully communicating
mote the highest degree of leverage and impact on long-term wants, needs, likes, and dislikes in ways that are under-
outcomes, or “keystone” behaviors (Wolery & Sainato, 1996). stood by others and do not result in harm to self or others;
For example, DEC recommendation strands emphasize the 2. Safely, effectively, and pleasantly gaining the attention
role of the family and collaborators (stakeholders) throughout and affection of others in ways that are understood by
the assessment and intervention process, the importance of others and do not offend or hurt others;
environmental assessment and planning, the need for transi- 3. Joyfully engaging in activities alone and with others in
tion planning, the critical role of effective behavior-change ways that increase in number, duration, and complexity
procedures, and the necessity of well-designed systems and and do not cause harm to self or others; and
personal preparation strategies. Furthermore, there is an over- 4. Safely, effectively, and diplomatically, coping with, toler-
riding focus on the sensitivity and responsiveness of provider ating, and accommodating adversity in situations that are
interactions. These include interactional practices (environ- in the child’s best interests over the long term.
mental arrangements, models, prompts, and consequences)
contingently directed toward very specific classes of behavior It should be noted that there are emotions included in the
related to social development. Although known widely to pro- descriptions, which was an intentional attempt to tact particu-
fessionals in early intervention, the DEC-recommended prac- lar contingencies. We chose to qualify the way that we stated
tices are not generally part of the base informing behavior- each of the Big Four to encourage action beyond satisfying
analytic practice when treating young children. Many of these functional equivalents of potentially problematic behaviors.
recommendations are not new to behavior analysts. As pre- This is an initial effort (a) to support the goals of stakeholders
sented in the DEC strands, however, they comprise an inte- (families generally want children who are happy, joyful, pleas-
grated whole that is specific to the needs and well-being of ant, respectful, and diplomatic); (b) to stress that the responses
young children. learned must be effective, as a response without a correspond-
Third, instead of an a priori assumption of one sole function ing consequence is unlikely to maintain; and (c) to use words
of a problem behavior (e.g., behaviors only maintained by (e.g., emotion labels) that tact contingencies beyond
access to attention or only maintained by escape from de- alleviation/toleration of discomfort, receipt of desired items,
mands), there is an assumption that multiple control and syn- or avoidance of causing trouble. For example, when we speak
thesized contingencies can, or will, develop over time (cf. of joyful, it probably describes something beyond satisfaction
Michael, Palmer, & Sundberg, 2011; Slaton, Hanley, & with receiving attention. We hope that it means that the inter-
Raftery, 2017), which may include variables not typically test- action has acquired reinforcing value for all parties. Similarly,
ed within FBAs or SFAs (e.g., control, reflexive, or respon- respectfully might indicate some perspective-taking ability in
dent). In the natural environment, contingencies in life work in terms of what the communicative attempt means to the other
concert (Slaton et al., 2017) and behavior can have multiple or person. As part of our proposal, we attempt to expand the goal
combined controlling contingencies, and often, contingencies descriptions in ways that are more likely to, over time, enrich
maintaining problem behavior could change from moment to the life of the child and the family. This was one of the closing
Behav Analysis Practice (2019) 12:222–234 227

points of the seminal paper by Wolf, Risley, and Mees (1964), wants, needs, likes, and dislikes in ways that are understood
in which Dickey had become “a new source of joy” (p. 312). by others and do not cause harm. Communication has been
Including the language of emotions and feelings, although not proposed as a necessary area of assessment and attention for
common, is not new to behavior analysis (e.g., Wolf, 1978; every child with disabilities (Goldstein, Kaczmarek, &
Wolf et al., 1964), is supported by commentaries on behavior- Hepting, 1996; Weiss & Zane, 2010). When children fail to
analytic terminology (e.g., Becirevic, Critchfield, & develop the skills to express their preferences, challenging
Reed, 2016; Jarmolowicz et al., 2008; Rolider, behavior is likely to occur, which means that communication
Axelrod, & Van Houten, 2009), and has been the sub- goals are paramount in the education of young children with
ject of research (Green & Reid, 1999; Parsons, Reid, disabilities (Kaiser & Roberts, 2011). The repeated demon-
Bentley, Inman, & Lattimore, 2012). strations of functional communication training (FCT; Carr &
From a conceptual standpoint, each of the Big Four reper- Durand, 1985), a common intervention within the SFA litera-
toires we propose should be designed to increase the likeli- ture to address challenging behavior (e.g., Carr & Durand,
hood of behavioral cusps (Rosales-Ruiz & Baer, 1997). 1985), suggest that this technology could also be an effective
Behavioral cusps produce generative and pervasive changes: method to establish desirable forms of communication before
“What makes a behavior change a cusp is that it exposes the atypical or dangerous forms develop (for a review of FCT
individual’s repertoire to new environments, especially new research, see Tiger, Hanley, & Bruzek, 2008). That is, instead
reinforcers and punishers, new contingencies, new responses, of developing an FCT program in response to problem behav-
new stimulus controls, and new communities of maintaining ior, functional communication for expressing preferences oc-
or destructive contingencies” (Rosales-Ruiz & Baer, 1997, p. curs at the onset of early intervention. Kaiser and Roberts
534). In the case of prevention, cusps should lead to socially (2011) suggested that prelinguistic skills such as joint atten-
desirable behaviors and opportunities, as opposed to socially tion, using gestures, and even symbolic play could facilitate
undesirable behavior. If a cusp involves the development of the development of more complex forms of communication.
problem behavior, In some cases, it may be necessary to establish communica-
tion skills with augmented or alternative communication de-
this cusp brings danger to self and others; interferes with vices, a promising area of research (Drager, Light, &
treatment, learning, and relationships; decreases access McNaughton, 2010).
to mainstream environments; and, when left unsuccess-
fully treated, all of these factors interact to produce a Gaining Attention Failure to develop more desired forms of
worsening of quality of life over time for the individual gaining attention (e.g., tapping on the shoulder, using some-
with DD and important others. (Robertson, 2015, p. 11) one’s name, or seeking out a friend to vocally share a desired
event that just occurred) can lead to the development of less
Conversely, if they are developed with stakeholders, if the desirable, often harmful, forms of problem behavior (e.g., ag-
specifics are analyzed in terms of current and potential envi- gression toward self or others, elopement). As such, the sec-
ronments, responses, stimulus control, and communities of ond repertoire within the Big Four is safely, effectively, and
reinforcement for the child in question, and if meaningful, pleasantly gaining the attention and affection of others in ways
measurable assessment occurs over time, locations, and set- that are understood by and do not offend or hurt others. This
tings, the Big Four repertoires could be developed as desirable repertoire is similar to that of the communication repertoire
cusps prior to the development of problem behavior (cf. Bosch previously discussed and can be targeted with similar ap-
& Fuqua, 2001; Smith, McDougall, & Edelen-Smith, 2006). proaches (e.g., FCT). However, instead of solely focusing
These four repertoires are likely universal repertoires that may intervention on the development of single requests, or mands,
constitute a core curriculum for a child at risk for problem for specific activities or items, the development of this reper-
behavior and would increase the likelihood of navigating his toire requires careful intervention for the development of a
or her environment effectively in such a way as to contribute general class of responses to gain the desired form of attention
to overall quality of life over time. What follows is a brief and the corresponding meaningful exchanges that maintain
description and examples of research in each area. that appropriate attention seeking.
As this communicative repertoire develops and children
The Big Four move into adolescence and adulthood, gaining prosocial at-
tention becomes more complex, which requires this repertoire
Communication Access to preferred events and escape from to expand beyond the initial appropriate gaining of attention.
nonpreferred events are two of the conditions that appear to At this stage, the behavior analyst should focus on teaching
maintain problem behavior. For that reason, one of the Big social skills that lead to the development of meaningful rela-
Four repertoires that should be a target of intervention is for tionships that result in prosocial attention. It is through these
the child to safely, effectively, and respectfully communicate relationships that most receive “attention,” but only when the
228 Behav Analysis Practice (2019) 12:222–234

skills to develop meaningful relations are developed. The ini- important for children to participate in because they will have
tial communicative repertoire can be expanded to develop benefit to the child over time. The final repertoire of the Big
social skills such as, but not limited to, perspective taking/ Four involves teaching children how to safely, effectively, and
theory of mind, giving compliments, apologizing, soliciting pleasantly negotiate, tolerate, and accommodate adversity.
help, and eing a good sport (Taubman, Leaf, & There will undoubtedly be circumstances during which appro-
McEachin, 2011). These skills can and have been de- priate escape or avoidance is not feasible. This could be due to
veloped through the use of procedures based upon the practical reasons because the activity is necessary to ensure
principles of behavior analysis such as behavioral skills the child’s continued progress or to ensure his or her long-term
training, the teaching interaction procedure (Cihon, health. Events such as doctor visits, waiting for desired toys or
Weinkauf, & Taubman, 2017), and video modeling. activities, and scheduled or unplanned changes to routines can
be nonpreferred, but the benefits of tolerance and continuation
Engaging in Play and Leisure Activities Children also appear of learning despite these circumstances outweigh the burdens.
to develop problems when they do not have acceptable activ- Although it is difficult to identify all potential aversive events,
ities to engage in when they are alone or in social groups. For especially novel events, prior to the onset of the aversive
that reason, the third repertoire that should be a target of inter- event, there are many skills that, if taught proactively, may
vention for children at risk for problem behavior is joyfully minimize difficulties surrounding aversive events. Learning
engaging in activities alone and with others in ways that in- to tolerate, cope with, and/or enjoy these circumstances does
crease in duration and complexity and do not cause harm. not have to be painful though. There is considerable evidence
Appropriate solitary play is, by definition, incompatible with that children can learn to tolerate less preferred tasks through
challenging behavior, and research has helped to identify how systematic teaching (e.g., Dixon, Rehfeldt, & Randich, 2003;
to most effectively teach these skills. For instance, Baker Fisher, Thompson, Hagopian, Bowman, & Krug, 2000;
(2000) and DiCarlo, Schepis, and Flynn (2009) demonstrated Ghaemmaghami et al., 2016).
that manipulating play materials increased the likelihood that Dooley, Wilczenski, and Torem (2001) signaled schedule
children will play with them. Paterson and Arco (2007) ob- changes and reinforced the calm behavior of a 3-year-old boy,
served that children’s play behaviors with toys were more which resulted in consistently successful transitions.
likely to generalize to similar toys, establishing a strategy for Lee, Sugai, and Horner (1999) observed lower rates of
expanding the breadth of toy play. Others investigated how the challenging behavior when children engaged in easier
physical structure of solitary work areas can promote desirable tasks than when the same children completed more
downtime activities (Hume, Loftin, & Lantz, 2009; Hume & complex tasks, suggesting that systematically increasing
Odom, 2007). There are also many recent advances in tech- the complexity of the task can reduce or prevent the
nological toys, such as handheld video games, smartphone onset of problem behavior. Ducharme and Worling
applications, and computer-based activities, that require (1994) brought this observation to fruition when they
future research but may also be tools to help children showed that by systematically manipulating the se-
with disabilities safely engage in downtime activities quence of activities with divergent preference levels, a
(Lifter, Mason, & Barton, 2011). child can learn to comply with less preferred tasks.
Although there are many effective ways to teach children to Using clinical applications of changing criterion designs,
play alone, to occupy themselves without getting into trouble, several researchers also demonstrated successful shaping
these skills are too often taught in reaction to ongoing problem of calm behavior during aversive events (Ellis, Ala’i-
behavior. We propose that teaching these skills should be a Rosales, Glenn, Rosales-Ruiz, & Greenspoon, 2006;
priority for all children at risk for problem behavior at the Lalli, Casey, & Kates, 1995; Ricciardi, Luiselli, &
onset of treatment, not after the onset of problem behavior. Camare, 2006; Wolf et al., 1964).
That is, if children are taught the necessary skills required to Tolerating aversive events is an important skill at any age,
engage with a variety of activities, the probability of develop- especially for children at risk for problem behavior. This may
ing problem behavior may be minimized. Furthermore, ex- be one of the most difficult repertoires of the Big Four to
pansion of activity engagement and preferences can be con- develop proactively. However, if targeted in combination with
sidered an important part of the process of developing con- the other three repertoires (i.e., communicating preferences,
structive play and leisure repertoires, and there is a growing obtaining attention, and engaging in activities), teaching the
number of examples, from rotating exposure, to observational skills necessary to tolerate aversive events may become a less
learning (e.g., Ala’i-Rosales, Zueg, & Baynam, 2008; Frey & daunting task. For example, developing a communicative rep-
Kaiser, 2011; Leaf et al., 2012). ertoire to express likes and dislikes may allow the child to
communicate his or her discomfort of potential aversive
Coping Skills Task demands appear to occasion a great deal of events prior to their onset and allow for the necessary support
problem behavior. At the same time, there are tasks that are and learning to occur proactively.
Behav Analysis Practice (2019) 12:222–234 229

Implementation That is, if these four repertoires are at the core of all early
intervention, at-risk children will develop the skills necessary
Ideally, when teaching children, the Big Four would be to successfully navigate environments that we know occasion
targeted proactively (i.e., before the onset of problem behavior problem behavior. Without these repertoires in place, problem
and at the onset of treatment). To establish these skills, behav- behavior may be more likely to develop. This aligns with
ioral procedures would be employed (e.g., discrete trial teach- other suggestions of similar approaches to preventing problem
ing, incidental teaching, behavioral skills training, the teach- behavior (e.g., preschool life skills; Hanley et al., 2007).
ing interaction procedure) to teach each of these skills. Within Furthermore, in many ways, this is similar to public health
comprehensive early intervention programs, this would be initiatives, as described earlier. In public health campaigns,
easily incorporated. In focused programs, it may be difficult such as HIV and malaria prevention, variables that contribute
for behavior analysts to come in contact with clients prior to to the spread of disease are prevented based on prior research
the onset of problem behavior due to diagnostic criteria. In about the disease. The wealth of SFA research described pre-
those cases, one strategy may be to train caregivers how to viously has given us the information needed to be preventative
develop the Big Four skills proactively so that other difficul- in the case of problem behavior in much the same way.
ties do not arise. If behavior analysts can develop system-level
changes with respect to parent education and training for Less Risk
teachers, it may be possible to preemptively combat the fre-
quency, duration, or even onset of problem behavior. Adopting this approach to problem behavior allows a behavior
Unfortunately, outside of early intervention, referral to a analyst to avoid intentionally evoking behaviors that may put
behavior analyst typically occurs because an individual is en- a child at risk of hurting him- or herself and/or others. When
gaging in problem behavior. In such situations, behavior ana- conducting SFAs (Iwata et al., 1982; Iwata et al., 1994), prob-
lysts could conduct an SFA to determine a function and ensure lem behavior is evoked to identify the conditions under which
that a functional alternative to the immediate problem is avail- the problem behavior occurs, as well as to inform treatment.
able. At the same time, behavior analysts may wish to teach Even when conducting an FBA, one goal of the behavior
the Big Four skills, as doing so would produce no harm to that analyst is to observe the client engage in problem behavior
child and could teach behaviors that could potentially offset (Hanley, 2012) prior to the onset of intervention. Some pro-
the development of other problems in the future. fessionals have argued that evoking harmful behavior during
an SFA is justified because it could reduce the chance of injury
in the long term. Furthermore, studies have identified safer
Why Adopt the Big Four? means of conducting SFAs (e.g., latency measures;
Thomason-Sassi, Iwata, Neidert, & Roscoe, 2011), and we
There are several benefits to adopting the Big Four as a pre- encourage future researchers to continue to pursue safer
ventative approach to problem behavior. Although we have means of evaluating behavioral function. Nonetheless, inten-
not yet conducted research on prevention, within our clinical tionally evoking problem behavior or allowing the client to
experience we have provided early intervention for children at engage in problem behavior in the natural environment (e.g.,
risk for the development of problem behavior at an early onset direct observation) without providing treatment may be un-
(e.g., before problem behavior was present or upon early signs necessary if a potential alternative prevents the development
of the development of problem behavior) and were able to of problem behavior in the first place. This is especially true as
either combat problem behavior before it started or to stop behavior analysts have the technology to teach the necessary
continued development or escalation. The benefits and ratio- skills prior to the onset of problem behavior; the program just
nales provided in the following sections are done so in the has to begin before the problem occurs.
context of data synthesized from the literature on problem
behavior (e.g., Hanley, Heal, Tiger, & Ingvarsson, 2007). Multifunction
The benefits discussed in the following sections are not meant
to be exhaustive, as there may be other benefits to adopting the Another reason for adopting the Big Four as a progressive
Big Four as a progressive approach to problem behavior. approach to problem behavior is that behavior analysts trained
These will be identified with increased efforts toward preven- under this progressive approach acknowledge that problem
tion and research that evaluates the effects of those efforts. behavior can be multiply controlled, or consequences can be
synthesized (cf. Michael et al., 2011; Slaton et al., 2017), and
Prevention function can change from moment to moment and context to
context. Although existing SFA research has often focused on
One of the main benefits for adopting the Big Four is the isolating single functions (Iwata, 2017), there is a growing
potential to prevent the onset of problem behavior altogether. body of research supporting the notion of synthesized
230 Behav Analysis Practice (2019) 12:222–234

consequences with respect to problem behavior (e.g., Hanley self or others; and (d) the developing coping skills that allow
et al., 2014; Slaton et al., 2017). Much more research is need- the child to safely, effectively, and diplomatically negotiate
ed on multiple control and synthesized functions (Slaton et al., adversity. It is entirely possible that some early interventions
2017), but it is probably safer to assume in practice that be- for children at risk for problem behavior already proactively
havior has, or may come to have, multiple functions. It would target and successfully develop these repertoires. Our hope is
seem that the worst possible outcome of taking a multifunc- that our proposal is considered by those not engaged in such
tion approach, even if an individual’s problem behavior was preventative approaches and that it will result in an increase in
never going to acquire multiple functions, would be that one the acquisition of prosocial behaviors, expedited and en-
helps a person with a disability expand his or her verbal rep- hanced treatment, access to favorable learning environments,
ertoire beyond the absolute minimum required to decrease and fewer problem behaviors.
problem behavior. All of the recommendations made in this article are based
on and derived from the hundreds of articles that have been
Human Rights published on function-based assessment and treatment, as
well as recommended practice in the field of early childhood
The Big Four aligns with the United Nations Convention on intervention. The effectiveness of the Big Four repertoires in
the Rights of the Child (United Nations, 1990). Regardless of preventing the development of problem behavior has not been
the presence or absence of problem behavior, learning these directly researched. If done in the manner that most prevention
four skill sets is one portion of a worldwide agreement about research is currently conducted, this would require random-
fundamental rights that should be afforded to children every- ized comparison groups of children who do and do not
where: to have a voice, to have love and affection, to play and receive the Big Four interventions. Such experimental
recreate, and to learn to be a useful member of society and designs are typically not in the domain of ABA single-case
develop skills. The rights are further extended to children with research methodologies. Although more research in this vein
special needs in that they should be afforded special care to is clearly needed, we propose that these preventive strategies,
achieve these rights. Behavior analysts who work in early derived from the assessment and treatment literature, are
intervention settings may be ethically obligated to consider worth implementing now and need not wait for future
these areas when designing comprehensive programs. between-groups research. The foundation laid by functional
assessment and analysis research can inform the goals and
practices of behavior analysts today: to improve the quality
Conclusion of life for the children and families we serve.

The current approach to problem behavior is evidence based Compliance and Ethical Standards
and empirically validated and considered recommended prac-
tice. However, ABA is a science, and a hallmark of science is Conflict of Interest None of the authors have any conflicts of interest
with the information presented within this article.
constant evolution and progression (Baer, 2001; Leaf et al.,
2016). As such, we should hope that within our science, as we
Ethical Approval This article does not contain any studies with human
accumulate information, our approach to socially important or animal participants performed by any of the authors.
problems will evolve (Leaf et al., 2016). In this article, we
suggest that the practice arm of our field is ready for the next
step in this evolutionary process with respect to the assess-
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