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POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSgrade-level content standards for all children with disabilities. 3 The IEP must also include astatement of the special education and related service and supplementary aids and services to beprovided to the child. 4 When an IEP is appropriately developed and effectively implemented,children can experience social, emotional and academic success. IDEA also includes specificprovisions to address situations in which the behavior of a child with a disability impedes thechild’s learning or that of others. As part of the obligation to provide FAPE, in the case of a childwhose behavior impedes the child’s learning or that of others, the IEP Team must consider —and include in the IEP — the use of positive behavioral interventions and supports, and otherstrategies, to address that behavior. 5 Even with these requirements, data 6 suggests that manychildren with disabilities may not be receiving appropriate behavioral interventions and supportsand instead are being removed from the classroom through disciplinary removals. This resourceoffers alternative strategies that early childhood programs, schools, and local educationalagencies (LEAs) can use in place of aversive practices 7 or exclusionary discipline. 8As State educational agencies (SEAs), LEAs, schools, early childhood programs, and educators(including administrators, teachers, specialized instructional support personnel, and othersemployed by schools and early childhood programs) work diligently to ensure children have theopportunity for safe, in person learning, disciplinary practices and policies should be examinedand, when appropriate, changed where disparities 9 in their use persist. In this technical assistancedocument (a companion to the Questions and Answers: Addressing the Needs of Children withDisabilities and IDEA’s Discipline Provisions, which outlines the legal requirements related tobehavior support and discipline for eligible students with disabilities under IDEA), the Office of3456789States are permitted to define alternate academic achievement standards for children with the most significantcognitive disabilities, provided those standards are aligned with the State's academic content standards, promoteaccess to the general curriculum, and reflect professional judgment of the highest achievement standards possible,in accordance with 34 C.F.R. § 200.1(d). 34 C.F.R. § 300.160(c)(2)(i).34 C.F.R. §§ 300.17 and 300.320-300.324.34 C.F.R. §§ 300.324(a)(2)(i) and (b)(2); and 300.320(a)(4).See accompanying Dear Colleague Letter.Aversive practices include, but are not limited to, restraint, seclusion, unpleasant spray to the face, securing astudent to a chair (unrelated to providing occupational therapy or other medical support), and taping a student’smouth, as well as the use of electrical stimulation devices for the purpose of addressing self-injurious behavior oraggressive behavior.Exclusionary discipline, although not defined in IDEA and its implementing regulations, as used in this and theaccompanying documents, refers to the removal, whether on a short-term or long-term basis, of a child with adisability from a class, school, or other educational program or activity for violating a school rule or school’s codeof student conduct. Examples can include detentions, in-school suspensions, out-of-school suspensions,suspensions from riding the school bus, expulsions, disciplinary transfers to alternative schools, and referrals tolaw enforcement, including referrals that result in school-related arrest.In Supporting Students with Disabilities and Avoid the Discriminatory Use of Student Discipline under Section504 of the Rehabilitation Act of 1973, the Department’s Office for Civil Rights explains that statistical evidencesuggesting disproportionate use of discipline for certain conduct, alone, does not prove discrimination under thefederal laws that protect the educational rights of students with disabilities, but may raise a basis for examinationof whether disability discrimination is occurring.2

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSSpecial Education Programs (OSEP) provides information about resources, strategies, andevidence-based practices that (while not required by law) can help States, LEAs, schools, earlychildhood programs, educators, and families in their efforts to meet IDEA requirements and, indoing so, improve outcomes for children with disabilities.I.Proactively Addressing Disparities in, and Negative Outcomes from,Exclusionary DisciplineGiven the negative outcomes associated with, and the disparities in the use of, exclusionarydiscipline, 10 SEAs, LEAs, schools, and early childhood programs should identify ways tosignificantly reduce their use. 11 States and other entities that operate educational programs,including early childhood education programs, should consider enacting policies that restrict, orprohibit, the use of disciplinary practices such as suspension and expulsion in particularsituations or for particular groups of children. 12 Although there may be instances when a child’sbehavior, such as causing physical harm to self or others, warrants exclusionary disciplinaryaction, preventing the need before it occurs can be an effective first step in most situations.Proactive systematic approaches that focus on instruction and supports, and that are implementedwith fidelity and cultural responsiveness, are likely to address disparities; reduce the use ofexclusionary discipline; and result in positive developmental, academic, and behavioraloutcomes for all children including those with disabilities. 13 Further, in the Office of SpecialEducation and Rehabilitative Services’ (OSERS’) view, exclusionary discipline should not beused for non-violent offenses such as, tardiness, absenteeism, or subjective offenses such asdefiance or disrespect. A reduction in exclusionary discipline is associated with a positive schoolChu, E., & Ready, D.D. “Exclusion and Urban Public High Schools: Short- and Long-Term Consequences ofSchool Suspensions.” American Journal of Education, 124 (August 2018). Available 86/698454; Gerlinger, J, Viano, S, Gardella, J.H., Fisher, B.W.,Curran, F. C., & Higgins, E. M. (2021). Exclusionary School Discipline and Delinquent Outcomes: A MetaAnalysis, Journal of Youth and Adolescence 50, 1493–1509.11States can play an important role in helping LEAs and early childhood programs to build the capacity toimplement a proactive approach. For a thorough discussion of State obligations in reducing discipline disparities,see accompanying Questions and Answers: Addressing the Behavioral Needs of Children with Disabilities andIDEA’s Discipline Provisions. States may also use IDEA section 611 funds, as described in Section III of thisdocument.12For example, Head Start requires programs to prohibit or severely limit the use of suspension due to a child’sbehavior and, where suspension is deemed necessary, the program must first engage with mental healthprofessionals, parents, and other specialized professionals to determine whether other options might beappropriate. See 45 C.F.R. § 1302.17. See also Head Start Policy & Regulations p-xiii/1302-17-suspension-expulsion.13Scott, T.M., Gage, N.A., Hirn, R.G., Lingo, A. S., & Burt, J. (2019). An examination of the association betweenMTSS implementation fidelity measures and student outcomes, Preventing School Failure: Alternative Educationfor Children and Youth, 63:4, 308-316, DOI: 10.1080/1045988X.2019.1605971.103

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSclimate 14 which fosters safety and promotes a supportive environment with respectful, trusting,and caring relationships. 15Developing positive early learning environments and school climates while implementingevidence-based strategies and improving, and equitably applying, program and school disciplinepolicies and practices, starts with an investment in building the necessary expertise within theeducator workforce. A critical step in addressing disparities, significantly reducing the use ofexclusionary discipline and aversive practices and improving outcomes for children withdisabilities is providing educators with resources, strategies, and professional knowledge tofoster a positive school climate. When schools and early childhood programs foster climates ofinclusion, safety, and belonging, while implementing evidence-based practices, the use ofexclusionary discipline and aversive practices (such as restraint or seclusion) can be reducedsignificantly. 16A. Using an Evidence-Based Approach to Support and Respond to Student NeedsA culturally and linguistically responsive multi-tiered system of supports (MTSS) is acomprehensive prevention framework designed to improve developmental, social, emotional,academic, and behavioral outcomes using a continuum of evidence-based strategies andsupports. 17 Within an MTSS framework, educators implement: universal strategies and supports designed for all children, targeted strategies and supports for children with additional needs, and intensive strategies and supports to meet the specific needs of individual children.With data-driven decision making and evidence-based approaches to meeting each child’s needs,MTSS provides a valuable framework to help schools address long-standing inequities inHuang, F. L. & Cornell, D. (2018). The relationship of school climate with out-of-school suspensions. Childrenand Youth Services Review, 94, 378–389. 5School Climate Improvement. National Center on Safe Supportive Learning Environments (NCSSLE). (n.d.).Retrieved April 7, 2022, from te-improvement.16Gregory, A., Cornell, D., & Fan, X. (2011). The relationship of school structure and support to suspension ratesfor Black and White high school students. American Educational Research Journal, 48, 002831211398531; Heilbrun, A., Cornell, D., & Konold, T. (2018).Authoritative school climate and suspension rates in middle schools: Implications for reducing the racial disparityin school discipline, Journal of School Violence, 17(3), 324-338, son, E., & Aber, M.S. (2007). Closing the achievement gap: The association of racial climate withachievement and behavioral outcomes. American Journal of Community Psychology, 40, 7Essential components of MTSS. Center on Multi-Tiered System of Supports. (n.d.). Retrieved April 7, 2022, 144

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSachievement. 18 Additionally, MTSS focuses on meeting the needs of all children by usinguniversal screening, progress monitoring, and data-based decision making at all tiers of a flexiblestructure that allows schools and early childhood programs to customize and organize practices,supports, and services based on the needs of each child.1. Universal Academic & Behavioral SupportsUniversal instructional and behavioral supports are the strategies provided to all children withina school or early childhood program. Universal design for learning (UDL) and positivebehavioral interventions and supports (PBIS) are evidence-based strategies that may beimplemented at the universal level, which means they are strategies that benefit all children andcan be implemented at all tiers in MTSS.Implementing Universal Design for LearningWhen considering the need for interventions, it is important to determine if a child’s behaviorsthat are inconsistent with school expectations are a consequence of developmentallyinappropriate expectations, academic difficulty, or other factors. In some cases, a child’sbehavior can be impacted by their environment, academic experience, developmental level, orsocial emotional needs. For example, if a child is struggling academically, developmentally, orwith social emotional health, and is not provided with appropriate supports or interventions,disruptive behavior may occur as a signal that the child's needs are not being met. 19 Thus, it isimportant to consider whole-school and program-wide approaches that also proactively addressthe way children receive and engage with their environment, peers, and instructional material. 20UDL 21 is a framework to improve and optimize teaching and learning based on scientific insightsinto how humans learn. 22 UDL challenges educators to consider how to intentionally designJackson, D. (2021, July). Leveraging MTSS to Ensure Equitable Outcomes. Center on Multi-Tiered System ofSupports. Retrieved October 2021, from 7/MTSS Equity Brief.pdf.19As discussed later, these issues can also be indications that an individual student has a disability and should beevaluated to determine if special education or related aids and services are necessary to meet the student’s needson an individualized basis in order to provide FAPE.20States can access more information about accessible instructional materials through the federally funded NationalCenter on Accessible Educational Materials. ble-educationalmaterials-learning.21The Higher Education Opportunity Act (2008) defines UDL as: “a scientifically valid framework for guidingeducational practice that — (A) provides flexibility in the ways information is presented, in the ways studentsrespond or demonstrate knowledge and skills, and in the ways students are engaged; and (B) reduces barriers ininstruction, provides appropriate accommodations, supports, and challenges, and maintains high achievementexpectations for all students, including students with disabilities and students who are limited English proficient.”20 U.S.C. § 1003(24).22About universal design for learning. CAST. (2022, February 8). Retrieved April 7, 2022, or-learning-udl.185

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSinstruction and assessment to promote multiple means of engagement, representation, andaction/expression. 23 In doing so, UDL is rooted in a strengths-based approach to learning for allchildren, and research has demonstrated that UDL can increase developmental outcomes andacademic achievement, including for children with disabilities. 24Implementing Positive Behavioral Interventions and SupportsTo fully access and participate in the learning environment, all children should know the schooland program-wide behavioral expectations required to be successful, have opportunities topractice meeting those expectations, and receive support for and reinforcement of thosebehaviors by skilled adults trained in evidence-based practices.PBIS is an MTSS framework focused on improving behavior by integrating data, systems, andevidence-based practices within three tiers of support: universal, targeted, and individual. Thesetiers are fluid, and the amount of support and interventions should be differentiated over time andacross settings based on the child’s needs. Using this tiered system, all children would benefitfrom universal supports and services, while smaller groups that need more targeted and intensivesupports and services would receive them. According to the Center on Positive BehavioralInterventions and Supports and the National Center for Pyramid Model Innovations,implementation of PBIS results in: Improved outcomes, such as increased academic achievement and social and emotionalcompetence for children with disabilities, and reduced bullying behaviors; Significant reductions in inappropriate behavior; 25 Reduced use of exclusionary discipline, including reduced discipline referrals andsuspensions; and Reduced use of restraint and seclusion. 26Teaching Excellence in Adult Literacy Center. (2019, April 8). TEAL Center Fact Sheet no. 2: Fact sheet:Universal design for learning. Retrieved December 2021, from tives/teal/guide/udl.24Basham, J., Blackorby, J., & Marino, M. (2020). Opportunity in crisis: The role of universal design for learning ineducational redesign. Learning Disabilities: A Contemporary Journal, 18(1), 71–91. Retrieved October 2021,from: 5Hemmeter, M. L., Snyder, P. A., Fox, L., & Algina, J. (2016). Evaluating the implementation of the pyramidmodel for promoting social emotional competence in early childhood classrooms. Topics in Early ChildhoodSpecial Education, 36, 133–146. Retrieved April 2021, /0271121416653386.26Center on PBIS. (2022). Supporting and Responding to Student’s Social, Emotional, and Behavioral Needs:Evidence-Based Practices for Educators (Version 2). Retrieved April 9, 2022, fromhttps://www.pbis.org/pbis/getting-started.236

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERS2. Targeted SupportsConsistent with IDEA, if the behavior of a child with a disability impedes their learning or thelearning of others, the use of positive behavioral interventions and supports and other strategiesmust be considered to address that behavior. 27 For some children whose behavioral needs are notmet with school- and program-wide strategies, the IEP team should determine what moretargeted, individualized interventions and supports are necessary. Targeted supports are typicallyprovided in smaller groups to allow for more explicit instruction and additional opportunities topractice positive behaviors and receive constructive feedback. Social skills instruction, supportson developing social relationships, self-management strategies, check and connect (a mentoringintervention designed to spot early signs of disengagement, improve school performance, andreduce school dropout), and restorative practices, are examples of interventions that may beprovided as targeted supports. 28Restorative practices focus on developing caring connections, listening to and valuing others’opinions, promoting accountability, repairing harm, and supporting reintegration back into theeducational environment. Implementing restorative practices as a targeted support could includeusing restorative group conferencing, restorative circles, and conversations among students tofacilitate healing. 29 Research suggests that combining restorative practices with schoolwidepositive behavioral supports reduces disciplinary referrals and disparities in the use ofdiscipline. 303. Individualized or Intensive SupportsSome children may benefit from intensive supports that are designed to meet the specific needsof an individual child. These supports can be more intensive than school-wide or targeted andsmall-group approaches. Such supports may include conducting a functional behavioralassessment (FBA) and implementing a corresponding behavioral intervention plan (BIP) orproviding wraparound services 31 or individual counseling.34 C.F.R. § 300.324(a)(2)(i).Tier 2. Center on PBIS. (2021). Retrieved October 7, 2021, from https://www.pbis.org/pbis/tier-2.29Wachtel, T. (2016). References. Defining restorative. International Institute for Restorative Practices. RetrievedOctober 10, 2021, from ve Nov-2016.pdf.30Vincent, C. G., Inglish, J., Girvan, E. J., Sprague, J. R., & McCabe, T. M. (2016). School-wide positive andrestorative discipline (SWPRD): Integrating school-wide positive behavior interventions and supports andrestorative discipline. Inequality in School Discipline, 115–134. https://doi.org/10.1057/978-1-137-51257-4 7.31In this context, “wraparound services” refers to the school- and community-based medical and mental healthservices provided in tandem as supports for a child with serious behavioral needs and their family based on thechild’s and family’s unique needs.27287

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN WITH DISABILITIES: A GUIDE FOR STAKEHOLDERSFunctional Behavioral Assessment ProcessThe FBA is a process for identifying the reasons behind, or factors contributing to, a child’sbehavior. 32,33 This process is rooted in the understanding that behavior is a form ofcommunication and can provide a deeper understanding of what a child is trying to conveythrough their behavior. By investigating the conditions and other factors that contribute to theoccurrence of the behavior, the response that the behavior elicits, and the reasoning for thecontinuation of the behavior, the FBA process provides useful information to inform thedevelopment of appropriate, effective interventions that address the root cause of the behavior,rather than using a punitive approach as an attempt to stop or reduce the behavior.Although IDEA does not provide specific requirements for what should be included in the FBAprocess, it is generally understood that an effective FBA process 34 is individualized and, at aminimum, should: Clearly define the interfering behavior. Collect indirect and direct data on the occurrence and nonoccurrence of the behavior. Analyze data to determine trends and develop a hypothesis of the function of thebehavior. Lead to the development or revision of a BIP (which is monitored, evaluated, andadjusted as needed).The first step in the FBA process is to clearly define the behavior of concern (interferingbehavior) to ensure that it is measurable and observable, and that data are collected on thespecific behavior. Data collection provides information on the frequency, duration, conditions,location, and individuals present when the interfering behavior does and does not occur; theevents or conditions that typically occur before and after the interfering behavior; and otherAs noted in Questions and Answers: Addressing the Needs of Children with Disabilities and IDEA’s DisciplineProvisions, Appendix I, a functional behavioral assessment (FBA) is used to understand the function and purposeof a child’s specific, interfering behavior and factors that contribute to the behavior’s occurrence and nonoccurrence for the purpose of developing effective positive behavioral interventions, supports, and other strategiesto mitigate or eliminate the interfering behavior.33In D.S. v. Trumbull Board of Education, 975 F.3d 152 (2d Cir. 2020), the U.S. Court of Appeals for the SecondCircuit disagreed with the Department’s interpretation that a functional behavioral assessment (FBA) isconsidered an evaluation or reevaluation under IDEA that triggers a parent’s right to request an independenteducational evaluation at public expense. Based on this, OSERS intends to review its previously stated positionson this matter, including whether an LEA must seek parental consent before conducting an FBA for an eligiblechild with a disability. (See Questions E-4 and E-5 of OSERS’ 2009 Q&A document.)34For more information on the FBA process, see “Using FBA for Diagnostic Assessment in Behavior” from theNational Center on Intensive Intervention, available ssessment FBA Process.%20pdf.pdf.328

POSITIVE, PROACTIVE APPROACHES TO SUPPORTING CHILDREN

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