final
see attachment title final
Week 6 – Final Paper
· Points 25
Individualized Education Program
Throughout this course you have been developing your skills in aspects of curriculum design and delivery to create meaningful classroom instruction that aligns with curriculum, standards, and individualized education program goals. In this program, we have located and evaluated evidence-based instructional strategies and curriculum design, including collaboration with service providers to best meet the academic needs of students with mild to moderate disabilities. We have examined assessment-driven instruction, background and cultural influences, and factors of maintenance and generalization of skills.
The purpose of this assignment is the culmination of the learning achieved in this course through a real-world application of the content. This summative assessment supports your achievement of Course Learning Outcomes 1, 2, 3, and 4 and the MASE Program Learning Outcomes 1, 3, 4, 5, 7, and 8.
For this assignment you will be assuming the role of a special educator working with Mr. Franklin and will create important components of an IEP. As you have read in the Instructor Guidance and throughout this course and the MASE program; an IEP
· Consists of a legal document outlining an assessment-based measurable goals and objectives.
· Provides more intensive intervention and services.
· Specifies supports around the student’s specific needs.
· Involves active collaboration with teachers, support staff, the student, and parents.
· Dictates progress measurement and monitoring.
Bridging this real-life experience with the theories of instruction in the virtual course environment, this assignment mirrors a career building experience.
In this course and in previous coursework you have learned about the process of developing an IEP document and the participation in a multidisciplinary team to, in part, plan and collaboratively develop key goals around the student’s areas of strengths and weaknesses. It is important to access previous video examples, discussions, and other coursework as your develop this plan. You have been collecting these web addresses in your link library. This would be a perfect time to access them.
In this example, you will focus on components of an IEP that are written by the team and that support the assessment-based functional performance skills.
A student in Mr. Franklin’s class has been assessed for special education eligibility and services. This young man, Huang, was determined to be eligible under the primary handicapping condition of high-functioning autism spectrum disorder (ASD) and the secondary handicapping condition of speech/language impairment. A full comprehensive individualized evaluation (including a summative assessment report) has been completed and it is now time for the IEP team, including you serving as the special educator, Mr. Franklin, Huang’s parents, the diagnostic team, and the district administrator to develop an appropriate IEP for him.
Instructions
Using support from your assigned reading, the Instructor Guidance, and the discussions, as well as a scholarly search for peer-reviewed sources, submit the following for evaluation:
Using the provided full
Comprehensive Individualized Evaluation Report
and summative assessment information, you will create an assessment-driven IEP document for Huang.
Use the below guidelines and
attached template
, create the components of the IEP. If you have questions about the assignment or the rubric, please contact your Instructor using the Ask Your Instructor discussion before the due date.
Content Expectations: (Note: There are two parts to this assignment.)
Part One: IEP Document. Using the
attached template
, complete the
IEP Document
, save your work, and attach the final product to your assignment submission in Waypoint, (13 pages) to include:
· Demographic & Participant Information (1 point). Complete the highlighted sections of the IEP document for Huang (i.e., Grade, Case Manager (you), IEP Meeting Date (today’s date), Special Education Teacher (you), any other participants you deem necessary).
· PLAAFP (4 points). Identify present levels of academic achievement and functional performance (PLAAFP) based on assessment information provided to you, as well as the PLAAFPs you developed in Week One.
· Statewide Assessment Participation (3 points). List the level of participation and accommodations or modifications recommended in the information provided to you in the assessment report.
· Annual Academic and Functional Goals and Objectives (4 points). Write two annual measurable goals with objectives on an area recommended in the information provided to you in the assessment report.
· Services and Participation (2 points). Name the services to include and the level of participation recommended for the student based on what is listed in Huang’s information provided to you in the assessment report.
Part Two: Narrative. Submit a separate document (two to three pages) that includes:
· Evidence-Based Instructional Strategies (2 points). Explain evidence-based materials and strategies that might be used to support the goals you developed in this assessment-driven IEP.
· Relevancy (1.5 points). Analyze how the process of creating an IEP is relevant to your current profession or future professional goals.
· Reflection (1 point). Compose a reflection summarizing the process of creating an IEP, including elements of observation, assessment, collaboration, EBP strategies, parent engagement, and student input.
The Individualized Education Program Final Project
· Must be 15 to 16 double-spaced pages in length (not including title and references pages) and formatted according to APA style as outlined in the
Ashford Writing Center (Links to an external site.)
.
· Must include a separate title page with the following:
· Title of Final Project
· Student’s name
· Course name and number
· Instructor’s name
· Date submitted
· Must use at least five scholarly sources in addition to the course text.
· The
Scholarly, Peer Reviewed, and Other Credible Sources (Links to an external site.)
table offers additional guidance on appropriate source types. If you have questions about whether a specific source is appropriate for this assignment, please contact your instructor. Your instructor has the final say about the appropriateness of a specific source for a particular assignment.
· Must document all sources in APA style as outlined in the Ashford Writing Center.
· Must include a separate references page that is formatted according to APA style as outlined in the Ashford Writing Center.
Next Steps: Review and submit the Final Project
Review your Final Project with the Grading Rubric to ensure you have achieved the distinguished levels of performance for each criterion. Both the IEP document and your narrative document are required to be submitted for this assignment no later than Day 7.
Required Resources
Article
s
Burns, M. K., Egan, A. M., Kunkel, A. K., McComas, J., Peterson, M. M., Rahn, N. L., & Wilson, J. (2013).
Training for generalization and maintenance in RTI implementation: Front-loading for sustainability
. Learning Disabilities Research & Practice, 28(2), 81-88. doi:10.1111/ldrp.12009
· The full-text version of this article is available through the EBSCOhost database in the Ashford University Library. This article discusses ways in which programming for generalization and maintenance can be incorporated into interventions such as RTI. This article will support your Promotion Maintenance and Generalization discussion this week.
Osnes, P. G., & Lieblein, T. (2003).
An explicit technology of generalization
. The Behavior Analyst Today, 3(4), 364-374. doi:10.1037/h0099994
· The full-text version of this article is available through the EBSCOhost database in the Ashford University Library. This article builds upon the seminal article from Stokes and Baer (1977) to extend the strategies that can be used for targeting generalization of skills. This article will support your Promotion Maintenance and Generalization discussion this week.
Stokes, T. F., & Baer, D. M. (1977).
An implicit technology of generalization (Links to an external site.)
. Journal of Applied Behavior Analysis, 10(2), 349-367. doi:10.1901/jaba.1977.10-349
· The full-text version of this article is available through the National Center for Biotechnology Information website at https://www.ncbi.nlm.nih.gov/pmc/articles/PMC1311194/pdf/jaba00113-0179 . This seminal article on generalization provides seven strategies for promoting generalization of skills. This article will support your Promotion Maintenance and Generalization discussion this week.
Recommended Resource
Article
Young, K.R., West, R., Howard, V., & Whitney, R. (1986).
Acquisition, fluency training, generalization, and maintenance of dressing skills of two developmentally disabled children (Links to an external site.)
. Education and Treatment of Children, 9(1), 16-29. Retrieved from http://www.jstor.org/stable/42898943
· This article on stages of learning provides a background on acquisition, fluency, generalization, and maintenance of skills. This article will support your Promotion Maintenance and Generalization discussion this week.
ESE668: EVIDENCE-BASED INSTRUCTIONAL METHODS FOR STUDENTS WITH MILD TO MODERATE DISABILITIES
Instructor Guidance
Week 6
Congratulations! Welcome to the final week of ESE 668: Evidence-Based Instructional Methods for Students with Mild to Moderate Disabilities. Please be sure to review the Week Six homepage for this course to see:
· The specific learning outcomes for the week.
· The schedule overview.
· The required and recommended resources.
· The introduction to the week.
· A listing of the assessments.
Next, be sure to read this entire Instructor Guidance page.
Overview
This week, we will discuss one final component needed in EBP methods for students with mild to moderate disabilities: Maintenance and generalization of skills. Now is the time to reflect upon all you have learned and experienced in this course. In Week Six, you will prepare your Final Project consisting of the requirements in the guidance.
Intellectual Elaboration
Stages of Skill Development and Learning
When a student is presented with a new skill, there are four stages of learning they will go through (Young, West, Howard, & Whitney, 1986):
1. Acquisition.
2. Fluency.
3. Maintenance.
4. Generalization.
As educators, our initial aim is acquisition. Goals and objectives must be written using S.M.A.R.T. for this express purpose of skill acquisition. What about the other stages? Is it enough for a student to be able to perform a skill in the classroom? What about their efficiency in doing so? Fluency involves accuracy and speed. If a student can add numbers when provided a problem on paper, is it enough that she is successful in doing so in 30 minutes per problem? Probably not. We also need to consider writing goals to ensure fluency of skills.
Maintenance of Skills
Now what about maintenance? Will skills be helpful for our students if they are able to fluently complete the skill in the classroom when it is taught, but a week later cannot perform the skill as a prerequisite for the next stage of the task? What about if a student was able to complete math facts fluently in 5th grade, but did not maintain the skill after secondary school? Goals must be explicitly written to consider maintenance of skills. One way to do this is to align goals and objectives with CCSS as we discussed in Week Four of this course. When we have long-term goals that build upon the previously mastered skills, we promote maintenance of acquired skills over time.
Technology of Generalization in Special Education
“Generalization refers to
the transfer of what is learned in one setting or situation
to another setting or situation
without explicit teaching or programming in the second transfer setting.”
–Autism Ontario, 2011, pg. 35
One of your required readings this week is a seminal article discussing the technology of generalization, which is often a missed step in the education process. We cannot assume that all students with passively generalize the skills they have learned in the classroom to other people, environments, situations, or stimuli. We as educators must specifically implement strategies that teach generalization and incorporate generalization technology into our S.M.A.R.T. goals and objectives (Stokes & Baer, 1977):
Putting It All Together: Evidence-based instructional methods for students with mild to moderate disabilities
Well, you did it! We have explored six weeks of evidence-based instructional methods for students with mild to moderate disabilities from many facets of development and implementation of instruction. It is now time to look toward demonstrating what you have learned by compiling and composing your Final Assignment: Huang’s IEP.
Assessment Guidance
This section includes additional specific assistance for excelling in the discussions for Week Six beyond what is given with the instructions for the assessments. If you have questions about what is expected on any assessment for Week Six, contact your instructor using the Ask Your Instructor discussion before the due date. Both the Discussion and Final Project are opportunities for you to further demonstrate mastery with the four course learning outcomes, which are noted on the course Syllabus.
Discussion: Promoting Maintenance & Generalization
In this final discussion, you will choose only one of two optional topics on maintenance and generalization of skills to reflect upon and discuss with your classmates. Use what you have learned about scholarly searches in Week Five to guide you in finding additional information to support your discussion.
Final Project: The Individualized Education Program (IEP)
For this final assignment, you will be assuming the role of a special educator and will create an IEP for Huang, a student in Mr. Franklin’s class. Using the IEP rubric provided complete the IEP Template and reflection for Huang. You may use components have personally developed throughout this class (i.e. PLAAFPs, Goals & Objectives, Accommodations & Modifications, S.M.A.R.T. goals) to complete the corresponding sections of the IEP template. Review all feedback that was provided and make any needed changes before including them in your IEP document. Be sure to complete all sections of the rubric. As well, in a second document you will provide a narrative detailing the EBP strategies you would recommend for implementing Huang’s IEP, as well as a reflection on the relevancy of this IEP process to your current or future professional goals.
References
Autism Ontario. (2011).
Ideas for promoting generalization of social skills (Links to an external site.)
. Social Matters. Toronto, ON: Author. Retrieved from https://autismontario.novosolutions.net/default.asp?id=108
Burns, M. K., Egan, A. M., Kunkel, A. K., McComas, J., Peterson, M. M., Rahn, N. L., & Wilson, J. (2013). Training for Generalization and Maintenance in RTI Implementation: Front-Loading for Sustainability. Learning Disabilities Research & Practice (Wiley-Blackwell), 28(2), 81-88. doi:10.1111/ldrp.12009.
Osnes, P. G., & Lieblein, T. (2003). An explicit technology of generalization. The Behavior Analyst Today, 3(4), 364-374. doi:10.1037/h0099994
Stokes, T. F., & Baer, D. M. (1977). An implicit technology of generalization. Journal of Applied Behavior Analysis, 10(2), 349-367. doi:10.1901/jaba.1977.10-349
Young, K.R., West, R., Howard, V., & Whitney, R. (1986).
Acquisition, fluency training, generalization, and maintenance of dressing skills of two developmentally disabled children (Links to an external site.)
. Education and Treatment of Children, 9 (1), 16-29. Retrieved from http://www.jstor.org/stable/42898943
Oregon Department of Education
Office of Learning/
Student
Services
255 Capitol Street NE
Salem, OR 97310-0203
Oregon Standard INDIVIDUALIZED EDUCATION PROGRAM
DEMOGRAPHICS
|
___Huang Le ____________ |
__Anytown School District __________ |
__________________________________ |
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| Student |
Resident District |
IEP Meeting Date |
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__ Anytown School District __________ |
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Gender: _X_ M ___ F Grade: _____ |
Attending District |
Annual IEP Review Date |
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___xx/xx/xx_______________ |
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Date of Birth (mm/dd/yy) |
Attending School |
Amendment Date |
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__111-111-111______________________ |
||||||||
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Secure Student Identifier (SSID) |
Case Manager |
Most Recent (re)Evaluation Date |
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__AU Autism Spectrum Disorder ______ |
_SI Speech/Language Impairment ___ |
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Primary Disability Code & Category |
Secondary Disability Code & Category – OPTIONAL |
Re-Evaluation Due Date |
MEETING PARTICIPANTS
|
_Huang Le _____ |
__Duyi Le __________ |
__An Liu ______________ |
| Student |
Parent/Guardian/Surrogate |
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____________________________________ |
__Dr. Susan Jones __________ |
|
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Special Education Teacher / Provider |
District Representative |
|
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_Mr. Franklin________________________ |
___Dr. John Smith _________________ |
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General Education Teacher |
Individual Interpreting Instructional Implications of Evaluations |
|
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_N/A ___________________________ |
Denay Gonzales, Speech/Language Pathologist |
Shiri Ali, BCBA, Autism Specialist________ |
|
Agency Representative, if appropriate |
Other |
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__________________________________ ____________________________________ ____________________________________ NOTE: If required team member participates through written input or is excused from all or part of the IEP meeting, attach documentation of parent’s and district’s agreement to participate by written input or excuse. |
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A district provided interpreter was used for this meeting: YES ( NO ( Name _______________________________________________ |
PROCEDURAL SAFEGUARD NOTIFICATION 34 CFR 300.504(a)
( * ) To note required team members?
SPECIAL FACTORS
In developing each student’s IEP, the IEP team must consider
(34 CFR 300.324):
|
A. Does the student exhibit behavior that impedes his/her learning or the learning of others? |
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___X__ YES |
____ NO |
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If YES, the IEP addresses the use of positive behavioral interventions and supports, and other strategies, to address that behavior(s). |
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B. Does the student have limited English Proficiency? |
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_____ YES English Language Proficiency Level____________ |
__X__ NO |
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If YES, the IEP team must consider the language needs of the student as those needs relate to the student’s IEP. |
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C. Is the student blind or visual impaired? |
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| _____ YES | ||||
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If YES, Braille needs are addressed in the IEP, or an evaluation of reading/writing needs is completed and a determination is made that Braille is not appropriate. |
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D. Does the student have communication needs? |
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__X__ YES |
_____ NO |
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If YES, the IEP addresses communication supports, services, and/or instruction. |
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E. Is the student deaf or hard of hearing? |
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If YES, the IEP addresses the student’s language and communication needs, opportunities for direct communication with peers and professional personnel in the student’s language and communication mode, academic level, and full range of needs, including opportunities for direct instruction in the student’s language and communication mode. |
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F. Does the student need assistive technology devices or services? |
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__ __ NO |
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If YES, the IEP addresses assistive technology devices or services. |
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G. Does the student require one or more specialized formats (braille, large print, audio, and/or digital text) of educational materials because blindness or other disability prevents effective use of standard print materials? |
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If YES, alternate format(s) is/are identified in the IEP. |
PRESENT LEVELS OF ACADEMIC ACHIEVEMENT AND FUNCTIONAL PERFORMANCE
In developing each student’s IEP, the IEP team must consider (
34CFR 300.324):
|
Student’s overall strengths, interests, and preferences: |
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Input from parent(s) in the areas of academic achievement and functional performance, including concerns for enhancing the education of their child: 34 CFR 300.324(a)(1)(ii) |
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Present level of academic achievement (i.e. reading, writing, mathematics, etc), including most recent performance on State or district-wide assessments: · Strengths of the student · Needs of the student · How the student’s disability affects involvement and progress in the general education curriculum |
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Narrative and supporting data: |
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Present level of functional performance (not limited to, but may include communication, social skills, behavior, organization, fine/gross motor skills, self-care, self-direction, etc), including the results of initial or most recent formal or informal assessments/observations: · Strengths of the student · How the student’s disability affects involvement and progress in the general education curriculum |
TRANSITION PLANNING
Beginning not later than the first IEP to be in effect when the child turns 16, or younger if determined appropriate by the IEP team, and updated annually, thereafter, the IEP must include:
34 CFR 300.320(b)
|
Results of age-appropriate transition assessments, including student’s preferences, interests, needs and strengths (PINS) 34 CFR 300.320(b)(1); 34 CFR 300.43(a)(2) |
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Transition planning has begun for Huang at an early stage. We are focusing on independent classroom skills that will be prerequisites for a formal transition plan to be assessed when he enters the 9th grade. |
Appropriate, measurable post-secondary goals based upon age-appropriate transition assessments 34 CFR 300.320(b)(1)
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Training |
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Education |
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Employment |
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Independent living skills (where appropriate) |
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Transition Services/Activities: Transition Services include instruction, related services, community experiences, the development of employment and other post-school adult living objectives, and if appropriate, acquisition of daily living skills and provision of a functional vocational evaluation. 34 CFR 300.43 |
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TBD by IEP Team |
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Course of Study: (designed to assist the student in reaching the post-secondary goals) |
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Agency Participation: To the extent appropriate, with consent of the parents or adult student, the school district must invite a representative of any participating agency likely to be responsible for providing or paying for transition services. 34 CFR 300.321(b)(3) |
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Transfer of Rights 34 CFR 300.320(c), 300.520 |
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The student and parent were informed of his/her rights under Part B of IDEA that will transfer to the student at the age of majority: · X YES · Date student was informed: __________ · Date anticipated transfer will occur: __________ The district must also provide written notice of the transfer of rights to the student and the parent when the student reaches the age of majority. |
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Graduation 34 CFR 300.102(a)(3)(i)-(iii) |
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Anticipated Graduation Date: __________ · With Regular Diploma · With Modified Diploma · With Extended Diploma · With Alternative Certificate |
STATEWIDE ASSESSMENT 34 CFR 300.320(a)(6)
Will the student participate in any Statewide Assessments during this IEP period?
· No, Statewide Assessment not conducted at student’s grade level (at time of testing)
· Yes (student’s grade level at time of testing __________). If yes, describe participation decisions below:
|
Standard Assessment or Alternate Assessment (select one) |
Accessibility Supports (includes all accommodations, designated supports, and/or universal tools the team identifies as necessary for statewide assessments) |
Modified Cut Scores (Only available for standard assessment with or without accommodations) |
* State why student cannot participate in standard assessment and why particular alternate assessment selected is appropriate for student. |
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( Standard: English Language Arts / Literacy
( Without accessibility supports
( With accessibility supports ( Alternate: Extended Assessment* |
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( Standard: Mathematics ( Without accessibility supports |
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( Standard: Science ( Without accessibility supports |
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( Standard: Social Sciences ( Standard without accessibility supports ( Standard with accessibility supports |
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Standard Assessment |
Exemption Decisions (identify appropriate domains) Due to the nature of some students’ disabilities, an IEP team might exempt the student from responding to a particular domain |
*Explanation Statement why student cannot participate in select domains |
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( English Language Proficiency Assessment (ELPA) ( Without accessibility supports ( With accessibility supports |
( *Listening ( *Reading ( *Writing ( *Speaking |
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( Kindergarten Assessment (KA) ( Without accessibility supports |
( *Early Literacy ( *Early Math ( *Approaches to Learning |
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DISTRICT-WIDE ASSESSMENT
District-wide Assessment
Will the student participate in any District-wide assessment during this IEP period?
· No, District-wide Assessment not conducted at student’s grade level (at time of testing)
· Yes, student’s grade level at time of testing _________. If yes, describe participation decisions below:
|
Standard Assessment or
Alternate Assessment (select one) |
Accessibility Supports (includes all accommodations, designated supports, and/or universal tools the team identifies as necessary for statewide assessments) |
* Explanation: State why student cannot participate in standard assessment and why particular alternate assessment selected is appropriate for student. |
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( Standard District Assessment: ______________ ( Without accessibility supports ( Alternate District Assessment: ______________ ( Without accessibility supports |
ANNUAL ACADEMIC AND FUNCTIONAL GOALS AND OBJECTIVES
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Goal Area: 34 CFR 300.320(a)(2)(i) |
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Annual Measurable Goal (including conditions and frequency): Objectives (if needed): |
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Related Content Standard(s), if applicable: |
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How progress will be measured: |
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How progress will be reported, including frequency: 34 CFR 300.320(a)(3)(i) |
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Progress Towards Goal 34 CFR 300.320(a)(3)(ii) |
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Date of Progress: ___/___/___ Narrative and supporting data: |
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Date of Progress: ___/___/___
Narrative and supporting data: |
SERVICES
The IEP team must identify and provide appropriate services to enable the student:
· To advance appropriately towards attaining the annual goals
34 CFR 300.320(a)(4)(i)
· To be involved in and make progress in the general education curriculum and to participate in extracurricular and other nonacademic activities
34 CFR 300.320(a)(4)(ii)
· To be educated and participate with other children with disabilities and nondisabled children in extracurricular and other nonacademic activities
34 CFR 300.320(a)(4)(iii) & 300.107
|
Specially Designed Instruction 34 CFR 300.39 |
Anticipated Amount & Frequency |
Anticipated Location |
Starting Date |
Ending Date |
Provider |
Role Responsible for Monitoring |
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Related Services 34 CFR 300.34 |
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Supplementary Aids/Services; Accommodations 34 CFR 300.320(a)(4)(i)-(iii) |
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Supplementary Aids/Services; Modifications 34 CFR 300.320(a)(4)(i)-(iii) |
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Program Modifications/ Supports for School Personnel 34 CFR 300.320(a)(4)(i)-(iii) |
NONPARTICIPATION JUSTIFICATION 34 CFR 300.320(a)(5)
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Describe the extent (including amount), if any, to which the child will not participate with nondisabled children in the regular classroom and in extracurricular and other nonacademic activities: |
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Provide explanation justifying the removal, if any: |
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EXTENDED SCHOOL YEAR (ESY) SERVICES 34 CFR 300.106; OAR 581-015-2065 Criteria/Inquiry: Does the student experience regression on his/her IEP goals and objectives? ( Yes ( No ( More information needed Explanation: Does the student experience a prolonged recoupment period of time to relearn previously learned skills? ( Yes ( No ( More information needed Explanation: Other factors considered by the team: Decision: Does the student require ESY services? ( Yes (described below, including goals to be addressed) ( No ( To be determined by _______________________ Specially Designed Instruction 34 CFR 300.39 Anticipated Amount & Frequency Anticipated Location Starting Date Ending Date Provider Role Responsible for Monitoring Related Services 34 CFR 300.34 Anticipated Amount & Frequency Anticipated Location Starting Date Ending Date Provider Role Responsible for Monitoring |
Parent was provided the special education procedural safeguards in his/her native language or other mode of communication
YES_X__ NO____
If student is of transition age, he/she was provided the special education procedural safeguards in his/her native language or other mode of communication
YES____ NO____ N/A__X__
Form 581-5138b-P
1
10/2014: Oregon Standard IEP
___Huang Le_______ __Anytown School District
_________________
__
Student Resident District IEP Meeting Date
__ Anytown School District
_________________
__
Gender: _X_ M ___ F
Grade: _____
Attending District Annual IEP Review
Date
___xx/xx/xx_________
__ Anytown School
___________
_________________
___
Date of Birth (mm/dd/yy) Attending School Amendment Date
__111-111-111_____ ____________________________
_________________
__
Secure Student Identifier
(SSID)
Case Manager Most Recent
(re)Evaluation Date
AU Autism Spectrum
Disorder _SI Speech/Language Impairment
_________________
___
Primary Disability Code &
Category
Secondary Disability Code &
Category – OPTIONAL
Re-Evaluation Due
Date
A. the evaluation is conducted in accordance with the procedures in federal and
state law,
B. the results of the evaluation are used by the IEP Committee in developing an
individualized education program (IEP)
A written report of a full individual evaluation of a student for purposes of
special education services shall be completed not later than the 60th calendar day
following the date on which the referral for assessment was initiated by school
personnel, the student’s parent or legal guardian, or another appropriate person. The
assessment shall be conducted using procedures that are appropriate for the student’s
most proficient method of communication.
The 60 calendar day time line requirements for the special education
department processing and assessment begins from the time that the parent/guardian
signs notice and consent for FIE. Data should be gathered and sent to special education
assessment person as soon as possible.
The purpose of the full individual evaluation is to:
A. determine eligibility and the presence or absence of a physical, mental,
or emotional disability which may affect the student’s successful
participation in the general education curriculum;
B. determine the presence or absence of a significant educational deficit
and the need for special education instructional and/or related services;
C. identify specific learning competencies in instructional and related
service areas;
D. make recommendations for determining the grading criteria and
procedures for participation in extracurricular activities; and
E. provide information relative to the appropriate mastery level or levels at
which the student should be expected to achieve in order to receive
passing grades in all content areas of instruction.
Based on observation and data collected:
PRESENT LEVELS OF
ACADEMIC PERFORMANCE
PRESENT LEVELS OF
FUNCTIONAL PERFORMANCE
STRENGTHS
OF THE
STUDENT
Huang has shown on or above
grade level performance for CCSS
in: Various grade-level science
concepts, scientific method,
mathematical principles and
operations, vocabulary
development, handwriting. He
reads extensive non-fiction
literature.
Huang shows great attention to
detail. He shows strength in
making logical decisions. He is a
visual learner. Huang shows deep
interest in his topics of choice. He
is beginning to attend to peer
social behavior around his during
unstructured activities.
EDUCATIONAL
INPUT FROM
PARENTS,
INCLUDING
CONCERNS
Parents report difficulties in
getting Huang to complete his
homework. In addition, they are
concerned about his frustration
with math story problems.
Parents report that there is no
adherence to self care routines
without significant prompting.
Huang has few relationships
outside his parents. He does not
actively participate in
extracurricular activities. His
leisure skills are limited. He
protests changes in routines.
RESULTS AND
EXPLANATION
OF CURRENT
DATA,
INCLUDING
MOST RECENT
EVALUATION
State Literacy Assessment: Passed
with Accommodation
State Mathematics Assessment:
Passed with Accommodation
District Standardized Assessment
of Skills: Passed with
Accommodation
Daily Data Collection on Goals &
Objectives from Current IEP: Raw
data and graphic analysis
indicate Progress or Mastery in
all area
Daily Data Collection on Goals &
Objectives from Current IEP: Raw
data and graphic analysis indicate
Progress or Mastery in all area
Functional Behavior Assessment:
Conducted for noncompliance
NEEDS OF THE
STUDENT
Huang needs support in the areas
of: language/communication,
social/behavioral skills, reading
comprehension, math story
problems, classroom
management, self help skills, and
he is very resistant to changes in
topic or routine.
Huang has difficulty initiating and
maintaining peer interactions.
Other areas of need include:
Conversation and complex
instructions, Social language, Body
language. He does not
independently interpret unwritten
rules or social routines that are
more subtle. Self care routines
both at home and at school are
lacking. Huang does not
demonstrate long term goal-
setting and planning. He engages
in noncompliant behavior.
ASSESSMENT OF LEARNING COMPETENCIES (ACADEMIC PERFORMANCE)
Huang should take the standard assessments with accessibility supports for statewide
and district testing.
———————————————————————————————————
and Adapted Physical Education
Not recommended for Huang
Incorporate self-help goals and independence into his IEP goals; no vocational services
recommended at this time.
Transition planning is recommended. Please develop a goal for Training, Education for
him based on his classroom placement.
• N/A
Related Services
• Speech Language Therapy
• Transportation Services
• Occupational Therapy
• Visual hourly schedule
• Breaks to move within the room when needed
• Visual or text available during lessons that require a verbal response
• Extended time to take tests and complete activities
• Extra wait time for instructions
• Seating in the front of the classroom
• Visual
• Daily or weekly communication between parent and teachers
• Social skills training
• Paraprofessional//classroom aide assistance in the classroom for communication
and social needs
• Reducing the number of questions on a test or homework
• Adjusted grading to weighted grading
• Using a calculator during a math test
• Adapted curriculum in reading
• Alternative activities
• Provide at least 3 specific training opportunities on specialized instruction for
students with ASD per year
Huang has made great progress since his last full evaluation. At this time, goals
recommended include:
Language/communication Huang will initiate communicative interactions with
others by asking questions 4/5 opportunities to do so.
Huang will appropriately acknowledge an interaction
initiated by others by giving an appropriate response,
either verbal or non-verbal 4/5 opportunities to do so.
Social/behavioral skills Huang will work cooperatively with peers in small group
settings (ie. Share materials, allow peers to share
different thoughts) 4/5 opportunities to do so.
Huang will accept changes in routine/schedule by
exhibiting appropriate behaviors given visual and verbal
cues 80 % of the time.
Huang will follow classroom rules and directives given
visual and verbal prompts 80% of the time.
Huang will independently take a break given visual
prompts 75% of the time.
Huang will independently ask to take a break given
visual and verbal prompts 80% of the time.
Classroom management
skills
Huang will raise a hand and wait to be called on before
talking aloud in group settings 4/5 opportunities to do
so.
Mathematics Huang will identify what the characters and
mathematical operation within a math story problem
4/5 opportunities to do so.
Literacy Huang will state the main idea of the story, video or
situation 4/5 opportunities to do so.
Self-help skills Huang will transition appropriately from tasks and
activities and school environments 80% of the time
given visual and verbal prompts.
Based on our observations, Huang will receive all his services in the regularly assigned
classroom with children that are nondisabled, as well as for all extracurricular activities.
Huang’s teacher will be provided with supports and additional staff if the need should
arise. No removal is recommended at this time.
Reference
Bailey, E. (n.d.). Suggestions for classroom accommodations and modifications for
children with autism. Health Central. Retrieved from
http://www.healthcentral.com/autism/c/1443/140596/accommodations/.
National Association of Special Education Teachers. (n.d.). Examples of IEP goals and
objectives: Suggestions for students with autism. Retrieved from
https://www.naset.org/fileadmin/user_upload/Autism_Series/Examples_IEP_Go
als_Objectives_for_ASD .
http://www.healthcentral.com/autism/c/1443/140596/accommodations/
https://www.naset.org/fileadmin/user_upload/Autism_Series/Examples_IEP_Goals_Objectives_for_ASD
https://www.naset.org/fileadmin/user_upload/Autism_Series/Examples_IEP_Goals_Objectives_for_ASD
- FULL COMPREHENSIVE INDIVIDUALIZED EVALUATION REPORT
- N/A
- Speech Language Therapy
- Transportation Services
- Occupational Therapy
- Based on our observations, Huang will receive all his services in the regularly assigned classroom with children that are nondisabled, as well as for all extracurricular activities. Huang’s teacher will be provided with supports and additional staff i…
DEMOGRAPHICS
INITIAL EVALUATIONS
TIME LINE
PURPOSE
EVALUATION DATA: PLAAFP
Assessment for Related Services and Adapted Physical Education
Vocational Assessment
RECOMMENDATIONS FOR SUPPORTS:
Specially Designed Instruction
Related Services
Supplementary Aids/Accommodations
Supplementary Aids/Modifications
Supplementary Program Modifications/Supports for School Personnel
RECOMMENDATIONS FOR GOALS & OBJECTIVES BASED ON PREVIOUS YEAR’S PLAAFP:
NONPARTICIPATION JUSTIFICATION:
Learning Disabilities Research & Practice, 28(2), 81–88
C© 2013 The Division for Learning Disabilities of the Council for Exceptional Children
Training for Generalization and Maintenance in RtI Implementation:
Front-Loading for Sustainability
Matthew K. Burns, Andrea M. Egan, Amy K. Kunkel, Jennifer McComas, Meredith M. Peterson,
Naomi L. Rahn, and Jennifer Wilson
University of Minnesota
Response to Intervention (RtI) is being implemented as a new initiative in PK-12 schools
with increasing frequency. However, the model must be sustained at the school level, which
is potentially difficult due to a number of challenges brought about by systems change. This
article applied the Stokes and Baer (1977) framework for programming for generalization and
maintenance of behavior change to suggest specific activities in which schools could engage
to better ensure RtI sustainability. We specifically discussed ways to (1) introduce to natural
maintaining contingencies, (2) train with sufficient exemplars, (3) train loosely, (4) program
common stimuli, (5) mediate generalization, and (6) train to generalize. Directions for future
research are included.
Response to Intervention (RtI) and other multitiered inter-
vention systems are being adopted nationwide with increas-
ing frequency (Berkeley, Bender, Peaster & Saunders, 2009)
to increase student achievement for all students, reduce re-
ferrals to special education, and close existing achievement
gaps (Fuchs, Fuchs & Stecker, 2010). RtI has the potential to
positively affect both systemic and student outcomes (Burns,
Appleton & Stehouwer, 2005), but, some question whether
the RtI movement will sustain over time (Burns, 2007; Ys-
seldyke, 2005). RtI initiatives must ultimately be sustained
at the school level, and organizations adopting a system of
RtI are faced with a multitude of challenges brought about
by systems change (Grimes, Kurns & Tilly, 2006).
Previous research has found that implementation integrity
could be a serious threat to the validity of RtI models (Gansle
& Noell, 2007). For example, school personnel consistently
assessed fidelity of implementation for interventions that oc-
curred at tier 2, but did not assess fidelity at tier 1, and the
alignment between tiers was not explicit (Hill, King, Lemons
& Partanen, 2012). Moreover, implementation integrity of
problem-solving teams (PSTs) was low to the point of po-
tentially affecting student outcomes (Burns & Symington,
2002). Some of the challenges regarding implementation in-
tegrity can be avoided by building on the existing knowledge
of the school personnel, streamlining processes, and using a
clear system of communication between interventionist and
teacher (Johnson, Pool & Carter, 2012). However, implemen-
tation integrity can still wane as the implementation moves
further from the initial supports (Burns & Symington, 2002;
Kovaleski, Gickling, Morrow & Swank, 1999), which further
highlights the need to focus on sustainability.
Requests for reprints should be sent to Matthew K. Burns, University of
Minnesota. Electronic inquiries should be sent to burns258@umn.edu.
Sustainability is best obtained by changing the system
in which the initiative is implemented (Hargreaves & Fink,
2000). Systems change is an “intentional process designed
to alter the status quo by shifting and realigning the form
and function of a targeted system” (Foster-Fishman, Nowell
& Yang, 2007, p. 197), and is multifaceted with theoretical,
ethical, and pragmatic implications (Noell & Gansle, 2009).
Prior to implementation, theoretical and ethical dimensions
of systems change are considered, including issues of what to
change, why to change it, and how that change will take place.
Promoting adoption and implementation of RtI in schools re-
quires that stakeholders see the value of its implementation
in their schools (McIntosh, Filter, Bennett, Ryan & Sugai,
2010) and that teacher “buy-in” is high. Moreover, educators
are more likely to implement interventions or practices in
which they have experience, support, and belief in overall
effectiveness (Fixsen, Blase, Naoom & Wallace, 2009). Al-
though RtI implementation research has found that collabo-
ration is important for teacher acceptance, teacher buy-in can
be difficult to gain (Mahdavi & Beebe-Franenberger, 2009).
Alberto and Troutman (2009) suggest the school and
teacher environment should be examined to uncover what
teachers value and invoke strategies or interventions that
may have existing support. After schools have resolved the
theoretical and ethical dimensions of systems change, the
pragmatic aspects of implementation, including generaliza-
tion and sustainability, can be addressed (Noell & Gansle,
2009). Behavior change among all organizational partici-
pants (i.e., teachers and administrators) is crucial (Sarason,
1996), and must be accompanied by sustained environmen-
tal supports that are responsive and adapted to inevitable
challenges (Grimes et al., 2006). Moreover, in order for the
long-term goal of sustained change to be realized, the ex-
pected behaviors exhibited by key stakeholders must gen-
eralize across situations and maintain over time (Sarason,
1990; 1996).
82 BURNS ET AL.: SUSTAINABILITY OF RTI IMPLEMENTATION
There is an inexorable link between generalization and
sustainability within educational reform (Hargreaves & Fink,
2000). Generalization occurs when a learned behavior con-
tinues to occur across time, setting, and target in the absence
of the conditions that promoted its acquisition (Stokes &
Baer, 1977). Thus, generalization is at least a prerequisite
for sustainability, but it could be argued that promoting gen-
eralization over time could provide a framework to address
sustainability because sustainability is the continued behav-
ior over time after the conditions in which it was required are
removed or changed.
Stokes and Baer (1977) introduced a framework for as-
sessing and programming for generalization and mainte-
nance of behavior change. Prior to that publication, the most
frequent method of considering generalization in behavior
change programs was to “train and hope” (p. 351). In other
words, new behaviors were trained and any generalization
across settings, time, or responses were not actively planned;
rather, it was hoped that generalization would occur. A re-
cent survey of special education directors found that the most
common support for RtI implementation provided by state
departments of education was short-term trainings and pro-
fessional development (Werts, Lambert & Carpenter, 2009).
Accordingly, RtI implementation could attempt to be gen-
eralized through train and hope, but it will likely not be
successful without sustained environmental support. How-
ever, deliberate programming for generalization and mainte-
nance of expected behaviors in a system of RtI could result
in successful outcomes and sustained actions. The process
of programming for generalization of RtI implementation
includes the following techniques discussed by Stokes and
Baer in 1977: (1) introduce to natural maintaining contin-
gencies, (2) train sufficient exemplars, (3) train loosely, (4)
program common stimuli, (5) mediate generalization, and (6)
train to generalize.
The purpose of this article is to discuss each of these strate-
gies within the context of implementation and sustainability
of RtI and implications for practice in schools. The goal will
be to describe specific actions that schools can take to pro-
mote generalization and maintenance of practices in order for
RtI implementation to be sustained over time. In other words,
we will discuss ways that school personnel can frontload im-
plementation efforts to better assure sustainability. Table 1
provides a succinct summary of the generalization strategies
and related practices for RtI sustainability. We will also pro-
vide suggestions for future research, which will likely be the
primary outcome associated with these suggested strategies
and practices.
INTRODUCE TO NATURAL MAINTAINING
CONTINGENCIES
Stokes and Baer (1977) stated that introducing naturally
maintaining contingencies is the most dependable way to ob-
tain generalization, even though this strategy may not always
be feasible. To generalize in this manner is to transfer the
behavioral control to the natural contingencies that operate
in the environment where the practice will occur. Apply-
ing naturally maintaining contingencies in training involves
teaching behaviors or practices and bringing them into con-
tact with naturally existing contingencies for reinforcement.
Using naturally occurring contingencies to promote gen-
eralization can take many varied forms. For example, imagine
that during a professional development session, teachers are
taught to examine student data and make instructional pro-
gramming decisions based on the data. Now imagine that a
month later when they examine their students’ progress, the
data indicate that the most struggling students have made sub-
stantial gains. Seeing those substantial gains may naturally
reinforce the practice of making instructional programming
decisions based on student data. In this example, the instruc-
tional leader might select specific examples of the data-based
instructional programming that resulted in the substantial
academic gains for a sample of the students and could discuss
the types of instructional programming decisions that would
be more and less likely to produce future academic gains.
The first step in planning for a sustainable RtI model at
the individual school level might be to have school person-
nel implement the model within their daily practice (Fixsen
et al., 2009), rather than having district or university person-
nel handle the initial implementation. Despite the temptation
to provide significant support during the initial implementa-
tion of RtI, if school personnel are the ones who implement
the RtI-related practices, then they are likely to directly ex-
perience the natural successes that result. Similarly, teachers
should be included in all aspects of planning and implement-
ing RtI, including making intervention decisions, and doing
so resulted in improved student outcomes (Lembke, Garman,
Deno & Stecker, 2010). For example, teachers could create
the list of instructional practices and interventions for spec-
ified skill deficits available for use at each tier of service
in their building. The list could take the form of a menu
of evidence-based options and include evidence-based in-
structional practices and interventions that teachers in the
building have used and found successful. A teacher may be
more likely to implement an instructional practice or inter-
vention that s/he has found successful in the past because
s/he has witnessed the effect it had on producing academic
growth and therefore has contacted the natural consequence,
student success, which was produced by implementing the
practice or intervention.
Implementation of RtI should be considered within the
context of what components are already in place and what
components need to be established. If numerous components
need to be added, a format for establishing the model that al-
lows individual teachers to make a relatively small number of
changes to their practice at a time is advisable (Grimes et al.,
2006). This approach allows teachers to come into contact
with naturally maintaining contingencies, whereas if they are
forced to change numerous aspects of their practice at once,
they are less likely to contact the reinforcing consequences of
any one of the practices (McIntosh et al., 2010). When sys-
tems change is time-consuming and requires implementation
of numerous novel practices, competition with existing, less
effective practices presents a considerable challenge (Noell
& Gansle, 2009). Alternately, schools might consider invit-
ing teachers to be involved in or responsible for particular
components of RtI (e.g., screening, interventions) according
to their interest (Johnson et al., 2012). Preference is related
LEARNING DISABILITIES RESEARCH 83
TABLE 1
Strategies for Generalization from Stokes and Baer (1977) and Accompanying Activities to Build Sustainability in Response to Intervention (RtI)
Implementation
Strategy Description Activities
Natural maintaining Teach the skill to be reinforced by naturally • Involve school personnel in implementation decisions
contingencies existing contingencies • School personnel implement interventions and assessments
• Use efficient data collection procedures
Train sufficient exemplars Use numerous examples during training • Provide ongoing professional development in the core components/skill
sets of RtI
• Use a broad range of examples of forms that RtI core components can
take (e.g., collecting progress monitoring data for a variety of academic
skills)
• Train personnel to implement multiple aspects of the grade-level and
problem-solving team processes
Train loosely Expose learners to a diverse array of the
contexts or situations in which skill set is
• Train using a variety of contexts and situations in which the same set of
skills are required (e.g., monitor progress in multiple areas)
to be used • Use a broad range of examples (e.g., what teams are called, which data
collection tools are selected)
Program common stimuli Incorporate into training stimuli that are
common across contexts or situations
• Use grade-level teams as professional learning communities to make
decisions at various tiers
• Configure teams (e.g., grade-level teams) of consistent members who
will address a variety of contexts and situations together
Mediate generalization Incorporate tools or strategies that the • Use implementation fidelity protocols and checklists
learner can readily use across contexts or
situations
• Provide continuous feedback to school personnel (e.g., team processes,
intervention fidelity, assessment procedures)
Train to generalize Raise awareness of need for generalization
during training and suggest use of trained
skill sets across contexts and situations
• Discuss how existing RtI practices contextualize into other areas of
practice
to quality of reinforcement and if teachers are encouraged
to participate in aspects of RtI that fit their preferences, they
may experience relatively higher-quality reinforcement for
their participation.
Finally, response effort impacts the effects of naturally
maintaining contingencies of reinforcement. For example,
the amount of data collected in an RtI model should not
be exorbitant, but rather focused on useful information
that can be collected efficiently (Horner, Sugai & Todd,
2001). Assessment procedures should be quick and easy,
and yet result in sufficiently reliable data and valid decisions
(e.g., curriculum-based measurement). When teachers are
involved in collecting their own data, it allows them to see
the effects of their practice through a direct link to student
outcomes (McIntosh et al., 2010). Moreover, previous RtI im-
plementation efforts emphasized the importance of stream-
lining data collection and giving the teachers responsibility
for collecting the data (Johnson et al., 2012). However, teach-
ers must view data collection and analysis as an investment
(Horner et al., 2001), and the payoff of positive outcome data
presents natural reinforcement for teachers. If data reveal an
absence of positive outcomes for certain students, teachers
are provided an efficient and effective means by which to in-
form further instruction, and will see the benefits of program
modification for students as interventions are intensified and
data collection continues.
TRAIN SUFFICIENT EXEMPLARS
Training sufficient exemplars is described as one of the most
valuable techniques for programming generalization (Stokes
& Baer, 1977). Teaching only a single exemplar limits the
effectiveness of the lesson to the teaching situation, whereas
providing additional exemplars across a variety of situations
is crucial for generalization of the skill set to occur across
a variety of situations. To illustrate, in a special education
program, an instructor might teach how to use a vending
machine. Such teaching necessitates some careful planning
because there are a wide variety of vending machines, many
of which require different approaches. Some vending ma-
chines require pushing the button that depicts the product,
others require finding the code for the product and enter-
ing into a keypad. Depositing money can take the form of
coins, bills, or a combination, and the coin slot is sometimes
vertical and sometimes horizontal. By exposing students to
these variations during training, they are more likely to ex-
perience success when they use a vending machine when
they are not with their teacher. Within the context of pro-
fessional development, which is a crucial aspect of effective
RtI implementation (Kratochwill et al., 2007), it is wise to
provide educators with several examples of potential imple-
mentation models including structures for delivering quality
core instruction for all students, a variety of screening and
progress monitoring tools, evidence-based interventions for
tiered intervention delivery, and teaming strategies for data-
based decision making. How these individual components
are implemented within a school can vary depending on the
school’s model. Providing educators with a variety of ex-
amples of these core components, as well as examples of
successful RtI models in other schools or districts, can allow
educators to adapt and adopt an ideal model for the situations
their setting presents, leading to a much greater probability
of sustaining RtI within a given school.
84 BURNS ET AL.: SUSTAINABILITY OF RTI IMPLEMENTATION
Although schools are limited by the standardized assess-
ments they are required to use with students with and without
disabilities, the screening and progress monitoring tools are
typically open to teacher discretion. Providing teachers with
training and materials to monitor progress across content ar-
eas (i.e., reading, writing, and math) and with various tools
(e.g., oral reading fluency, timed mathematics probes) im-
parts additional examples of efficient assessments of student
outcomes, thus creating multiple ways from which teachers
can choose to monitor progress. Furthermore, varied exam-
ples of monitoring frequency (e.g., weekly or bimonthly) and
data collection personnel (e.g., paraprofessionals, volunteers,
or classroom teachers) provides teachers with additional op-
tions. For example, screening or monitoring data might be
completed by a small cadre of individuals across grades and
days to limit disruptions to the classroom and instruction.
Conversely, such data might also be collected in a unified
approach involving many individuals completing all class-
rooms within a shorter time span.
Ensuring that teachers are knowledgeable of multiple
evidence-based interventions will allow them to make in-
formed intervention decisions for struggling students to re-
ceive targeted interventions in appropriate groups. However,
providing training in too many intervention approaches can
be counterproductive to maintaining naturally occurring con-
tingencies and may overwhelm the teachers. Thus, it might
be beneficial to train teachers and school personnel in in-
tervention implementation within content areas, age groups,
and academic needs, which may help promote a foundation
for a successful model and its generalization.
Training educators on various teaming strategies may be
one of the most important considerations for RtI sustain-
ability, particularly with frequent changes in staffing models,
movement of administrators within a district, and teacher
turnover. Many schools implementing RtI form grade-level
teams, which are strongly related to the quality of later prepa-
rations for sustainability (Perkins et al., 2011). Although the
function of grade-level teams can differ among schools, de-
pending on the RtI model in place, they are often involved in
examining screening data for all students, analyzing progress
monitoring data, making informed intervention decisions re-
garding struggling students, and discussing adaptations and
modifications to the model at each tier of instruction. Pro-
viding schools with examples of successful grade-level team
models and professional development of effective teaming
strategies will allow them to choose and adapt the best model
fitting their resources, increasing the sustainability of RtI over
time. Unfortunately, inconsistent implementation of school-
based teams is well documented and a potential threat to RtI
implementation (Burns, Vanderwood & Ruby, 2005), which
reinforces the need for schools to train personnel with posi-
tive examples before implementation begins.
TRAIN LOOSELY
Whereas training sufficient exemplars involves teaching in
such a way that individuals make appropriate adaptations and
adjustments in their behavior (e.g., how to indicate a selection
with any vending machine) given the specific requirements
of the context or situation, training loosely (Stokes & Baer,
1977) refers to teaching a behavior or skill set such that it oc-
curs in the presence of a variety of contexts and situations. To
train loosely, an approach must be taken that exposes learners
to a diverse array of situations in which the same response
might be expected. For example, in a classroom, a teacher
might say, “Have a seat,” “Take a seat,” “Find your place,”
or gesture toward a circle of chairs; in all cases, the expected
behavior is for the student to sit down. In the previous sec-
tion, we mentioned grade-level teams, which often function
to provide a forum and structure, as well as accountability
for analyzing progress monitoring data, making informed in-
tervention decisions, and discussing necessary adjustments
to the model at each tier of instruction. However, PSTs can
also play an important role in RtI models, especially within
tier 3. PSTs go by a wide variety of names across the coun-
try, including but not limited to Instructional Support Team,
Instructional Leadership Team, Academic Leadership Team,
Child Study Team, and Teacher Support Team. By inter-
changeably using a variety of names for teams but pointing
out their unifying function, the notion of problem-solving
instruction and interventions within a team is trained loosely.
The purpose of training loosely is to allow for responding
in a singularly appropriate manner in a variety of situations
that differ superficially but are functionally equivalent. Thus,
transfer of the targeted behavior to new situations is facil-
itated by exposure to the many contextual dimensions that
may vary.
The concept of training loosely can inform multiple as-
pects important to the sustainability of RtI, including data
collection, intervention delivery, and teaming strategies for
effective decision making. School personnel must pay at-
tention to the fit between the conceptual framework of a
school-wide program and the local, contextual variables of
a given school (McIntosh et al., 2010). While adherence to
the conceptual framework of RtI is necessary to increase the
efficacy of the practice, acknowledgement of contextual fit
is important to its sustainability within a given school en-
vironment (Goldenberg, 2003). For example, a school may
strongly embrace a strengths-based approach to instructional
planning. In this case, the term “PST” would likely be less
acceptable than the term “Instructional Leadership Team.”
Increased flexibility of RtI implementation combined with
an emphasis on local control may create the potential for
RtI to sustain in a manner that is both building-based and
consistent with the general concept.
The function and makeup of PSTs might also allow for
flexibility regarding how often the team meets, who is re-
sponsible for leading the meetings, and the relationship be-
tween team discussions and professional development. For
example, some schools may use a designated leader who
organizes and leads meetings, whereas flexibility and sus-
tainability may be enhanced by having several individuals
within a school able to lead meetings at different times. Sim-
ilarly, the data analysis completed by PSTs may serve as a
springboard for related professional development, or could
support already-implemented school-wide initiatives. This
relationship is often reciprocal and can buttress the sustain-
ability of similar data-driven practices such as School-wide
Positive Behavior Interventions and Supports.
LEARNING DISABILITIES RESEARCH 85
PROGRAM COMMON STIMULI
Programming common stimuli, another technique used to
train for generalization, involves incorporating in training
stimuli that are essential features and therefore will likely be
present in a variety of generalized situations (Stokes & Baer,
1977). One example in school settings with students has been
the use of peers as common stimuli to promote generalization
of desired social interactions across settings (Stokes & Baer,
1976). Incorporating peers as common stimuli to train for
generalization can be applied to professional development
related to RtI.
The literature on professional development, particularly
the use of professional learning communities (PLCs), pro-
vides an opportunity to utilize peers as common stimuli to
build sustainability of RtI. It is increasingly clear that high-
quality professional development in schools represents an
essential link between teacher performance and student out-
comes (Kratochwill et al., 2007). In a PLC, teachers work
together in small groups on a particular topic to analyze and
improve school practices to enhance student learning. PLCs
are composed of three “Big Ideas” (DuFour, 2004): (1) ensur-
ing that students learn, (2) building a culture of collaboration,
and (3) a focus on results. The mission of professional devel-
opment in a PLC framework is not simply that students are
taught, but rather that they learn. When learning does not oc-
cur for all students, a PLC will focus on improving teaching
practices to enhance student learning. To build a culture of
collaboration, PLCs provide an ideal occasion to use peers as
common stimuli to build sustainability. With a focus on re-
sults, improving student achievement through collaboration
between teachers becomes routine work for everyone in the
school. PLCs allow schools to “create a multi-tiered, coordi-
nated, and collective response to support students” (DuFour,
2011, p. 61).
Within RtI, teachers in grade-level teams comprise the
PLCs. Teachers on a grade-level teamwork together to adopt
specific aspects of RtI. As new aspects of RtI are adopted, the
likelihood that a teacher will successfully implement new RtI
components is increased if it is done in the context and with
the support of the other teachers on the grade-level team. The
presence of peer teachers can facilitate generalization by sim-
ulating the environment—the grade-level team—in which
successful adoption of the initial RtI components occurred.
Research regarding professional development related to RtI
found that isolated training was not sufficient (Kratochwill
et al., 2007). This seems particularly relevant to the sus-
tainability of RtI, and the use of peers to program common
stimuli in professional development practices in schools can
ensure generalization and maintenance of the model.
MEDIATE GENERALIZATION AND TRAIN TO
GENERALIZE
Two final ways to increase sustainability and generalization
of RtI are to: (1) build procedures into the RtI process that
will increase the likelihood of generalization of desired be-
haviors, and (2) directly discuss and ask for generalization.
In mediated generalization, a response that is likely to be
used in new situations is established to promote generaliza-
tion (Stokes & Baer, 1977). For example, to multiply poly-
nomials, we are taught “FOIL”—first, outside, inside, last,
which is the order in which the products are to be computed
(Crawford, 1980). Thus, whenever one is confronted with a
polynomial, use of FOIL will facilitate successful multiplica-
tion of the polynomial in any situation. Within an RtI context,
tools for individual teacher and program self-evaluation may
play a mediating role in generalization of RtI components.
These tools include checklists for fidelity of implementation
of specific evidence-based practices (e.g., a reading interven-
tion), and for implementation of various aspects of the RtI
process more generally. Fidelity of implementation at both
the teacher and school levels should be evaluated to ensure
the effectiveness of RtI (Riley-Tillman & Burns, 2009).
Teacher-level implementation across RtI components and
settings can be measured through observations of imple-
mentation fidelity of specific evidence-based practices in
the classroom using checklists developed by researchers or
school districts. For example, the St. Croix River Education
District in Minnesota and Heartland Area Education Agency
in Iowa have developed checklists for assessing fidelity of
implementation of specific instructional or intervention pro-
grams (see Table 2). School-level evaluation tools are also
necessary for measuring generalization and maintenance of
RtI over time. For example, the School-wide Evaluation Tool
(SET; Sugai, Lewis-Palmer, Todd & Horner, 2001), was de-
signed to evaluate implementation fidelity of School-wide
Positive Behavior Support. Data from the SET are reviewed
by school teams and state-level teams to guide sustainabil-
ity efforts at both levels (McIntosh, Filter, Bennett, Ryan &
Sugai, 2010).
In addition to considering mediators, Stokes and Baer
(1977) advise directly discussing generalization and suggest-
ing that individuals generalize the desired behaviors or skills
sets to other contexts or situations. Training to generalize
involves explicitly suggesting or reminding the implementer
(e.g., teacher) to implement the RtI components in novel sit-
uations. Within an RtI framework, professional development
efforts should include discussions with staff of how exist-
ing RtI skill sets, such as universal screening and data-based
decision making, could be generalized to other areas of prac-
tice. For example, in a school already implementing RtI in
reading, school leaders might initiate discussions of how the
RtI model could be expanded to include math or behavior.
As generalization occurs, staff efforts should be reinforced.
Reinforcing generalization when it happens results in quick
wins for teachers and other RtI team members.
DIRECTIONS FOR FUTURE RESEARCH
Although the recommendations made by Stokes and Baer
(1977) are well grounded in research, the application to sus-
taining RtI requires additional research. Schools are com-
plex systems with several considerations when implement-
ing change initiatives (Fixsen et al., 2009). Thus, researchers
could examine a method to best identify potential applica-
tion (e.g., quality core instruction, screening and progress
monitoring tools, evidence-based interventions for tiered
86 BURNS ET AL.: SUSTAINABILITY OF RTI IMPLEMENTATION
TABLE 2
Response to Intervention (RtI) Implementation Checklists
Resource Tool(s)
Evidence-Based Intervention Network http://ebi.missouri.edu/ Intervention protocols for reading, math, writing, and
behavior
Heartland Area Education Agency http://www.aea11.k12.ia.us/idm/ Observation and permanent product
checkists.html treatment integrity checklists for academic interventions
National Center on Response to Intervention http://www. RtI Integrity Rubric and Worksheet
rti4success.org/categorycontents/continuously_improving/page
Pennsylvania Department of Education http://www.pattan.net/category/ • Response to Instruction & Intervention
Educational%20Initiatives/Response%20to%20Instruction%20and% (RtII) Readiness and Implementation
20Intervention%20%28RtII%29 (Elementary): Self-Assessment Tool
• Secondary RtII Framework: Self-Assessment Tool
Path to Reading Excellence in School Sites http://www. • Reading intervention protocols for all three tiers
cehd.umn.edu/reading/PRESS/default.html • Intervention implementation checklists
• Professional development materials
RtI Action Network http://www.rtinetwork.org/ Self-Assessment of Problem Solving Implementation
getstarted/checklists-and-forms
Scientifically based research http://gosbr.net/ • Reading and math intervention protocols
• Assessment tools
St. Croix River Education District http://www.scred. • Integrity checklists for reading interventions
k12.mn.us/School/Index.cfm/go:site.Page/Page:3/index.html
Technical Assistance Center on Positive Behavioral Interventions and PBIS evaluation checklists including:
Supports (PBIS) http://www.pbis.org/evaluation/evaluation_ • School-Wide Evaluation Tool (SET)
tools.aspx • Early Childhood System-wide Evaluation Tool: Program
Wide (EC SET-PW)
• Benchmarks for Advanced Tiers (BAT)
intervention delivery, and data-based decision-making mod-
els) that matches the needs and circumstances of each
unique system. Second, research has found that school-based
problem-solving teams were effective, but implementation
integrity of the process may have substantially reduced team
effectiveness (Burns & Symington, 2002), and implementa-
tion integrity was rarely assessed in tier 1 (Hill et al., 2012).
Moreover, unanticipated staffing changes can occur within
schools, which may result in a change in problem-solving and
leadership teams. When team members leave, responsibilities
have the potential to shift or be forgotten. Ensuring neces-
sary components of the RtI process are in place throughout
change is crucial to sustainability. Thus, additional research
is needed to examine issues such as the essential attributes of
an effective team and how to best measure integrity of core
instruction.
Implementing multiple changes, such as training suffi-
cient exemplars, training loosely, and programming common
stimuli, comes with additional difficulties that could provide
targets for additional research. Moreover, future researchers
could examine the recommendations made here to determine
both effectiveness and a potential heuristic to prioritize the
strategies given characteristics of the schools.
CONCLUSION
Education has a long history of fads in which, as Ellis (2005)
elegantly stated, “today’s flagship is often tomorrow’s aban-
doned shipwreck” (p. 200). RtI has the potential to be the
next in a long line of innovations about which school person-
nel are initially enthusiastic and result in immediate gains
in student learning, but then implementation wanes as the
initial enthusiasm fades. Educational change is a slow and
difficult process, but it can result in lasting reform if school
personnel consider long-term implications during the initial
phases. Applying the framework for generalization during
initial RtI implementation could potentially frontload sus-
tainability efforts and provide a roadmap to sustainability.
The goal of this article was to suggest potential methods to
apply generalization strategies to RtI implementation efforts,
primarily to provide directions for future research. Some of
the strategies mentioned above would be easily implemented
and some would require extensive research. However, given
the increased frequency of RtI implementation, the research
seems warranted.
Acknowledgments
This publication was made possible in part by Grant Number
H325D090012 from the United States Department of Edu-
cation Office of Special Education Programs. Its contents are
solely the responsibility of the authors and do not necessarily
represent the official views of the USDE OSEP.
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About the Authors
Matthew K. Burns is a Professor of Educational Psychology, Coordinator of the School Psychology program, and Co-Director
of the Minnesota Center for Reading Research at the University of Minnesota. His research interests include response to
intervention, using curriculum-based assessment for instructional design to determine academic interventions, and facilitating
problem-solving teams.
Andrea M. Egan is a doctoral student in special education at the University of Minnesota. Her research interests include
assessment and intervention strategies for students with co-occurring academic and behavioral problems and methods to
address these within a response to intervention framework.
Amy K. Kunkel is a graduate research assistant in Educational Psychology at the University of Minnesota. Her research
interests include computer-assisted instruction and response to intervention.
Jennifer McComas, Ph.D., is a Professor with the Special Education Program in the Department of Educational Psychology
at the University of Minnesota. Her current research interests include functional analysis and treatment for problem behavior
and academic skill deficits, the influence of the principles of behavior on learning, and the influence of social context on severe
problem behavior.
88 BURNS ET AL.: SUSTAINABILITY OF RTI IMPLEMENTATION
Meredith M. Peterson is a doctoral student in Educational Psychology at the University of Minnesota. Her research inter-
ests include assessment and intervention strategies for students with behavioral problems within a response to intervention
framework.
Naomi L. Rahn is a doctoral candidate in Educational Psychology, Special Education at the University of Minnesota. She
has over 15 years of experience in early childhood special education. Her research interests include naturalistic language
interventions, response to intervention, and teacher preparation.
Jennifer Wilson is a doctoral candidate in Educational Psychology, Special Education at the University of Minnesota. She
holds a Director of Special Education license and has over 10 years of experience in the field. Her research interests include
response to intervention and teacher preparation.
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individual use.
O S N E S & L I E B L E I N
AN EXPLICIT TECHNOLOGY OF GENERALIZATION
Pamela G. Osnes & Tara Lieblein
University of South Florida
The publication of the now classic article on generalization, “An Implicit Technology of
Generalization” (Stokes & Baer, 1977), spurred interest in generalization as an active process rather
than a passive process consisting primarily of a failure to discriminate between training and
nontraining settings. Following their description of nine areas in which the extant behavioral
research addressed generalization issues, a new interest in generalization of behavior change was
borne. More than a decade later, their description of categories of techniques that purportedly
could be used to produce generalization was refined in “An Operant Pursuit of Generalization”
(Stokes & Osnes, 1989). Stokes and Osnes described 12 generalization-promoting strategies that
were classified within three broader areas. Their description assisted the field in continuing to focus
interest on the fundamental need for the results of behavioral interventions to generalize effectively
and to be durable and for behavioral research to actively address generalization. Now, more than a
decade following the publication of “An Operant Pursuit of Generalization” and a quarter century
after “An Implicit Technology of Generalization” was published, the time has arrived to address the
status of generalization-promotion by behavior analysts, both in their conceptual and empirical
investigations.
The publication of “An Implicit
Technology of Generalization” (Stokes & Baer,
1977) resulted in a groundswell of interest in
generalization as an active process that is
important for behavior analysts to pursue
directly to validate the effectiveness of
behavioral programming. This classic article
embedded in behavior analysis the realization
that our work is functional not only when it
produces immediate effects in the immediate
environment that is targeted for change, but
more importantly, when the effects are more
widespread. Baer, Wolf, and Risley (1968)
included generality of behavior change as one of
the seven dimensions of applied behavior
analysis, and concluded that, “in general,
generalization should be programmed, rather
than expected or lamented” (p 97). Their
description of generality is consistent with the
description provided by Stokes and Baer: “A
therapeutic behavioral change, to be effective,
often (not always) must occur over time,
persons, and settings, and the effects of the
change sometimes should spread to a variety of
related behaviors” (p. 350). While
acknowledging that their conceptualization of
generalization was not consistent necessarily
with the traditional understanding and
descriptions of the phenomenon, they proceeded
to provide a description of generalization as
“…the occurrence of relevant behavior under
different, non-training conditions (i.e., across
subjects, settings, people, behaviors, and/or
time) without the scheduling of the same events
in those conditions as had been scheduled in the
training conditions” (Stokes & Baer, p. 350).
This description appeared to resonate positively
within the behavior analytic community, as
evidenced by the embracing of the nine
categories of generalization outlined in the
article: train and hope; sequential modification;
introduce to natural maintaining contingencies;
train sufficient exemplars; train loosely; use
indiscriminable contingencies; program common
stimuli; mediate generalization; train “to
generalize”. Importantly, not only did the article
provide a rubric by which behavior analysts
could organize their efforts to achieve broad and
durable behavior change, it provided the first
exhaustive review of the behavioral literature in
regards to the process of generalization.
Although it was a critically-acclaimed
seminal effort to organize behavior analysis
around a conceptualization of generalization, the
interest that was piqued following the
publication of the article focused primarily on
researchers beginning to note whether or not the
effects of their work occurred in generalized
circumstances. Absent from the new recording
of the presence or absence of generalization
effects was an accounting of the functional
variables that were responsible when
generalization was noted and the variables that
were responsible when no generalization
occurred. It is this recording that is critical in
the advancement of the science of behavior. A
functional approach is linked with scientific
endeavors, and the analytic pursuit of the
principles of effective generalization has been
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T H E B E H A V I O R A N A L Y S T T O D A Y V O L U M E 3 , I S S U E 4 , 2 0 0 3
deemed an important activity for scientists in
behavior analysis (e.g., Stokes, 1992).
In response to these problems, Stokes
and Osnes (1989) provided “An Operant Pursuit
of Generalization.” Noting a need for
researchers to “describe the dimensions of their
analyses and the scope of their generalization
assessment”, they posed two critical questions:
“Did the behavior occur in generalized
circumstances, and what are the functional
variables which account for that generalization?”
(p. 339). Despite the recommendation of Baer
et al. (1968, p. 97) that “in general,
generalization should be programmed, rather
than expected or lamented”, Stokes and Baer
(1977) noted that almost half of the applied
literature on generalization focused on the
“Train and Hope” category. Twelve years later
and 21 years following Baer et al., Stokes and
Osnes (1989) continued to express the need for
behavior analysts to account for the functional
variables responsible for generalization when it
has been observed. Their refinement of the
generalization-promoting categories centered on
the basic principles of behavior, in contrast to
the emphasis of Stokes and Baer on procedural
aspects of treatment deserving careful attention.
They proposed three categories of generalization
promotion. The first category, exploit current
functional contingencies, reflects the function of
natural selection by the consequences of
behavior. Train diversely, the second category,
reflects the contribution of diversity in the
exemplars of learning. The third category,
incorporate functional mediators, “addresses the
relationship between salient conditions of
learning and the stimulus control exerted over
behavior by environments related to original
learning” (Stokes, 1995, p. 429).
Each of the three categories was
discussed in terms of four subcategories:
A. Exploit Current Functional Contingencies:
1. Contact natural consequences.
2. Recruit natural consequences.
3. Modify maladaptive consequences.
4. Reinforce occurrences of generalization.
B. Train Diversely:
5. Use sufficient stimulus exemplars.
6. Use sufficient response exemplars.
7. Make antecedents less discriminable.
8. Make consequences less discriminable.
C. Incorporate Functional Mediators:
9. Incorporate common salient physical
stimuli.
10. Incorporate common salient social
stimuli.
11. Incorporate self-mediated physical
stimuli.
12. Incorporate self-mediated verbal and
covert stimuli.
It has been 25 years since Stokes and
Baer articulated the need for generalization
programming in great detail. It has been over 10
years since Stokes and Osnes refined the prior
articulation and provided a template for
addressing generalization within the work of
both practitioners and researchers in behavior
analysis. At this time, it is pertinent to address
the state of the advancement of generalization
programming in behavior analysis application
and research today. Have we progressed past
the Train and Hope stage of development as a
field and advanced the science of human
behavior by developing methods that empirically
demonstrate a generalization-promoting
function?
CURRENT STATUS
In an attempt to determine the state of
generalization programming today as reflected
in behavior analysis journals, a sampling of
journals was conducted. The following journals
were reviewed for the years 1990-2002: The
Journal of Applied Behavior Analysis, Behavior
Modification, the Journal of Positive Behavior
Interventions, and The Behavior Analyst Today.
This sample was selected because two of the
journals are long-standing journals in the field
(Journal of Applied Behavior Analysis and
Behavior Modification). The Journal of
Positive Behavior Interventions is a relatively
new journal, first published in 1999. As such, it
was selected because it is possible that its
acceptance practices of research for publication
might require more stringent examination of
generalization variables than would journals that
had been in existence prior to 1977 when “An
Implicit Technology of Generalization” was
published. The Behavior Analyst Today was
selected for that reason, and also because it is
available in electronic format, therefore capable
of reaching a broad audience at minimal cost.
Importantly, it emphasizes functionalism as
well.
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O S N E S & L I E B L E I N
From these journals, articles were
determined to have generalization foci if they
contained any of the following features: the
word “generalization” or “maintenance” in the
title or in the descriptor words, if those were
required by the journal; a statement in the
abstract that generalization and/or maintenance
was a goal of the research (or article, in the case
of review or discussion articles); the presence of
a condition to assess maintenance or a follow-up
condition; the inclusion of generalization probes;
or the use of a reversal design that allowed for
assessment of durability of effects post-
treatment. In total, 93 articles were identified as
meeting these requirements. Four were review
articles, one was a discussion article, and the
remaining 88 articles were research articles.
The articles were scrutinized for the following
features: explicit attention to the generalization-
promoting strategies of Stokes and Baer (1977)
and/or the generalization-promoting principles
of Stokes and Osnes (1989); research methods
that were designed to control for generalization-
promoting variables; the inclusion of explicit
generalization probes; and the length of follow-
up or maintenance conditions.
Review and Discussion Articles
Interestingly, all review articles focused
on some type of social behavior. While not
providing an extensive review of generalization
per se, Singh, Deitz, Epstein, and Singh (1991)
provided an analysis of intervention studies of
the social behavior of students who were
classified as seriously emotionally disturbed.
They reviewed 28 studies from 10 journals, the
majority of which were published after 1980
(N=25). They reported specifically on the
studies that programmed for generalization and
maintenance, and found that skill generalization,
and generalization across settings and untrained
persons were programmed for in 14 articles.
However, no description of the type of
programming was provided. Additionally, they
reported separately about studies that assessed
follow-up of intervention effects, although it was
unclear what the difference between
maintenance (assessed in five studies) and
follow-up (assessed in 10 studies) was. The
reported follow-up times of these studies was
predominantly less than six weeks, with a range
of two days to one year. Of the five studies that
assessed maintenance, the maintenance
condition was less than six weeks in duration.
Additionally, they reported on “changes in
collateral behaviors that occurred as a result of
the programmed contingencies” (p. 83) and
found that only two studies reported such
effects. The authors stated that the lack of
assessment of changes in nontargeted behaviors
was a “serious omission” due to the primary aim
of the studies to enhance social skills of
seriously emotionally disturbed students. Singh
et al. did not utilize the generalization-promoting
categories or principles of either Stokes and
Baer (1977) or Stokes and Osnes (1989), but did
cite Stokes and Osnes (1986) as having
supported the need for generalization,
maintenance and follow-up in social skills
training programs.
Chandler, Lubeck, and Fowler (1992)
provided an extensive review of generalization
and maintenance of preschool children’s social
skills. They reviewed 51 studies from 22
journals in behavior analysis and education that
spanned the years 1976 to 1990. They analyzed
the articles according to four categories:
generalization dimension, generalization
assessment design, behavior-change strategies,
and generalization-promotion strategies.
Additionally, they addressed most (N=14
studies) and least successful generalization (N=8
studies) produced. They described the studies
within the generalization-promoting strategies of
Stokes and Baer (1977), and stated a continued
need for researchers to explore the conditions
controlling appropriate generalization to obtain
information concerning functional variables that
account for generalization, as suggested by
Stokes and Osnes (1989). They found that four
generalization-promoting strategies were
combined most frequently: addressing
functional target behaviors (exploiting current
functional contingencies), specifying a fluency
criterion (incorporating functional mediators),
using indiscriminable contingencies (training
diversely), and using mediation techniques
(incorporating functional mediators). They
conclude by stating a need to focus on questions
of generalization in the next decade of preschool
social skills research, a decade that is now at its
end. At the end of that decade, Chandler and
Dahlquist (2002) used predominantly the
generalization-promoting strategies of Stokes
and Baer to present a chapter on “Prevention
Strategies and Strategies to Promote
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Generalization and Maintenance of Behavior” in
their book on functional assessment in school
settings. This represents a deliberate and
laudatory effort to guide practitioners toward the
active programming of generalization.
Landrum and Lloyd (1992) reviewed
social behavior research with students with
emotional or behavioral disorders and examined
specifically the extent to which generalization
across time, settings, responses, and individuals
was addressed explicitly in the studies.
Reviewing journals in psychology and special
education, 12 studies met their criteria for
inclusion. They used the generalization
promoting strategies of Stokes and Baer (1977)
to guide their analyses of the 12 articles, and
discussed their results in terms of the
reformulation of the categories suggested by
Stokes and Osnes (1989). They found that the
studies were relatively evenly divided across
four strategies: four studies used train and hope;
three studies each used each teaching relevant
behaviors and sequential modification (exploit
current functional contingencies); and two
studies used train sufficient exemplars (train
diversely). Maintenance was assessed in seven
of the 12 articles, and transfer across responses
and across individuals was assessed in only two
and five studies, respectively. Furthermore, they
reported that these assessments appeared only
incidentally or anecdotally. Of final interest
here, only one of the 12 studies assessed all four
forms of generalization, while six studies
assessed two forms of generalization. As a
result of their review, the authors recommend
that generalization become a dependent variable
in more research, as has been suggested since
Baer et al. (1968).
Fox and McEvoy (1993) reviewed the
assessment and enhancement of generalization
and social validity of social-skills interventions
with children and adolescents. They state the
conclusion early in their article that it is
necessary not only to assess but to enhance the
generality of interventions for children and
adolescents with deficits in social interaction.
Issues surrounding the frequently
interchangeable use of the terms
“generalization” and “generality” were cited as
problematic. The topographical definition of
generalization used by Stokes and Baer (1977)
causes concern due to the implication that the
occurrence of generality of social behavior
change may be sufficient instead of requiring an
empirical demonstration that generalization
occurred. They cite an additional problem with
the interchangeable use of the terms “follow-up”
and “maintenance” (an observation made by the
authors of this article, as well). The confusion
caused by the interchangeable use of these terms
(among other terms in use, including durability
and resistance to extinction) results in an
inability to determine what the necessary
conditions are that result in generalization.
Accordingly, the authors recommend that “only
through an intensive analysis of generalization
and other environmental changes” may
questions about the promotion of more general,
durable behavior change be answered (p. 343).
They proceed to discuss the selected articles that
were reviewed along selected dimensions
suggested by Stokes and Baer, while noting that
other typologies exist (including Stokes &
Osnes, 1989). The Stokes and Baer typology
was chosen because “it is well-known,
frequently referenced, and reasonably efficient
in organizing specific generality programming
procedures and their results” (p 346). Their
results were both encouraging and discouraging.
While they noted an increase in social skills
training research that included generality
procedures, an increase in the diversity of tactics
used, and some behavior change across settings,
responses, people, or time, failures to replicate
effects across studies were apparent.
Additionally, they reported that few studies used
experimental designs that could determine
empirically the relationship between the
resultant generality and any particular
programming procedure.
Tillman (2000) discussed generalization
programming in the context of behavioral
consultation and used selected generalization-
promoting tactics from both Stokes and Baer
(1977) and Stokes and Osnes (1989) to frame
the discussion. While reporting early optimism
that generalization of problem-solving and
intervention skills resulted from consultation,
reality showed that only a handful of studies
actively examined generalization.
Unfortunately, none of these few studies showed
that generalization resulted from school based
consultation. The discussion continued to
suggest explanations for this dismal finding
from the conceptualizations offered by Stokes
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and Baer and Stokes and Osnes (1989).
Therefore, while concluding that no
generalization appears to exist for school-based
consultation activities as evidenced by the few
studies that provided such investigations, there is
a suggestion that the generalization frameworks
proffered by Stokes and Baer (1977) and Stokes
and Osnes (1989) can provide assistance in the
creation of a consultation generalization
program. He discusses this possibility in detail
in the remainder of his article.
Research Articles
Eighty-eight research articles
were identified that met the criteria for review.
Several articles addressed both maintenance and
generalization, and/or used both maintenance
and follow-up terminology. To summarize, 38
articles used the word “generalization” or
“maintenance” in the title or in the descriptor
words and/or contained a statement in the
abstract that generalization and/or maintenance
was a goal of the research; 11 articles included a
condition to assess maintenance; 29 articles did
not discuss maintenance but included follow-up
assessment of post-treatment effects; 16 articles
specifically addressed generalization and
included generalization probes in their design;
and 13 articles used reversal designs that
allowed for assessment of durability of effects
post-treatment but did not discuss maintenance
per se.
Articles that Used “Generalization” or
“Maintenance” in Titles, Descriptors, or Abstracts
Forty-three percent of the articles
(N=38) used the terms “generalization” or
“maintenance” explicitly in their titles,
descriptors, and/or abstracts. Of these, 30
addressed generalization, and eight addressed
maintenance. Approximately 47% of the
generalization research (N=14 articles)
addressed communication or verbal behavior
(i.e., Drasgow, Halle, & Ostrosky, 1998;
Hughes, Harmer, Killian, & Niarhos, 1995;
Krantz & McClannahan, 1998; Serna,
Schumaker, Sherman, & Sheldon, 1991;
Stewart, Van Houten, & Van Houten, 1992).
Fifty-three percent (N=16 articles) addressed
nonverbal behavior (i.e., self-injurious behavior
[Lalli, Mace, Livezey, & Kates, 1998];
appropriate play by preschoolers [Ward & Stare,
1990]; self-assessment and recruitment of
teacher praise by preschoolers [Connell, Carta,
& Baer, 1993]).
The bulk of the generalization research
provided some overt generalization
programming in its procedures. Craft, Alber,
and Heward (1998) manipulated the
reinforcement schedule by training initially
using continuous reinforcement and then fading
to intermittent reinforcement in the latter half of
their generalization programming condition
(exploit current functional contingencies). By
introducing generalization programming in
multiple baseline fashion, they were able to
conclude that the generalization programming
condition was responsible for improvements in
students’ use of methods to recruit teacher
praise. Following cessation of all programming,
use of the recruiting strategies maintained for
five sessions for all four participants who were
developmentally disabled. Halle and Holt
(1991) controlled for generalization by using a
multielement probe design to systematically
manipulate the introduction of various stimuli
into the training setting with four young adults
with moderate mental retardation (train
diversely). Their results clearly show that
paired-stimulus probing vs. single-stimulus
probing resulted in the exhibition of the target
behavior, saying “please.”
Several studies involved peers in
training with individuals who exhibited low
levels of social responses, therefore
incorporating functional mediators in the design
of their studies. For example, Pierce and
Schreibman (1997) used this approach to
increase the social behaviors of two children
with autism. They introduced the peers in
multiple baseline fashion thereby demonstrating
that the presence of the peer was responsible for
increases in the appropriate responding by the
target children. Following training, the target
children exhibited increased social behaviors in
nontraining settings with novel peers. The
authors propose that the use of pivotal response
training (PRT) constituted the use of “loose
training”, and may have been responsible for the
improvements. Thiemann and Goldstein (2001)
also utilized peers in a study to investigate the
effects of written text and pictorial cuing with
video feedback on the social behaviors of five
students with autism. Their use of a multiple
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baseline design demonstrated that the treatment
package was responsible for improvements in
four behaviors for each participant.
Unfortunately, it was not possible to distinguish
the role of the peers from that of the other
training variables (i.e., pictorial cuing, video
feedback) because all variables were introduced
as a package.
Several studies that focused on
improving various nonverbal behaviors were
designed to control for generalization-promoting
variables. Shore, Iwata, Lerman, and Shirley
(1994) used diverse training and systematically
varied three stimulus parameters (therapist,
setting, and demands) to result in varying levels
of generalization on novel probes with three
participants who exhibited self-injurious
behaviors. Unfortunately, the idiosyncratic
nature of the generalized responding was
troublesome, and precluded drawing firm
conclusions about the effectiveness of the use of
the systematic varying of the stimulus
parameters. However, the investigation provides
an example of a study that was designed to
control for generalization-promoting variables.
Connell et al. (1993) also reported variable
levels of generalization in their well-designed
study to program generalization of students’
transition skills in classroom settings. The use
of a multiple baseline design to explore the
effects of self-assessment and self-assessment
plus recruitment of teacher praise (exploiting
current functional contingencies and
incorporating functional mediators) allowed for
clear examination of generalized effects from
the training setting to the classroom.
Ducharme and Holborn (1997) included
generalization-promoting procedures in the
design of their study that examined social skills
of young children with hearing impairments.
Following an intervention condition that
included multiple training components, they
implemented a second intervention condition
that overlaid additional teachers, peers, and
materials (sufficient stimulus exemplars) and
fading of teacher praise (contacting natural
consequences) in a dissimilar room. By using a
multiple baseline design to introduce the three
conditions (ABC), they were able to conclude
that the generalization-promoting strategies
resulted in large increases in social interactions
in the generalization setting. However, a
limitation of the study is the presence of training
in one setting while generalization assessment is
occurring in the novel setting. Unfortunately,
this resulted in an inability to determine “pure
generalization” (generalization with no training
procedures in effect in any setting) to the novel
setting. Neef, Lensbower, Hockersmith,
DePalma, and Gray (1990) provided a clear
investigation of the generalization-promoting
functions of multiple training exemplars in their
study that taught appropriate use of appliances
(washers and dryers) to four adults with mental
retardation. By using a counterbalanced design
that included two types of instruction and probes
with untrained appliances, they were able to
clearly determine that more generalization errors
were present when a broad range of training
exemplars was used and not when simulated
versus natural training stimuli were used.
Other studies that focused on nonverbal
behaviors were not designed to control for
generalization-promoting variables but included
generalization programming in their procedures,
showing that researchers are cognizant of the
need to address generalization actively. For
example, Donnelly and Olczak (1990)
investigated the effect of differential
reinforcement of incompatible behaviors (DRI)
(exploiting current functional contingencies) to
reduce cigarette pica in two adults with
intellectual disabilities. A reversal design was
used to show experimental control, and results
show clearly that pica behavior decreased when
the DRI schedule was in effect and increased
when no DRI schedule was present. They
included a generalization condition in which
other staff members used the DRI schedule with
the participants, and reduced levels of cigarette
pica maintained while the DRI was in effect.
Koegel and Koegel (1990) faded the trainer
away from the four students with autism after
training them to criterion on self-management
procedures (exploiting current functional
contingencies and incorporating functional
mediators). The participants’ stereotypic
behaviors maintained at reduced levels when the
trainer was faded after they had been trained to
use the self-management procedures.
Articles that Addressed Maintenance or Follow-up
Research that addressed maintenance is
classified into three categories: research that
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explicitly investigated variables that resulted in
maintenance of intervention effects; research
that assessed presence or absence of
maintenance post-intervention; research that
included follow-up conditions to assess
durability of intervention effects; and
intervention research that did not address
maintenance but utilized reversal designs that
allowed for examination of durability of
intervention effects. As Fox and McEvoy
(1993) pointed out, the use of both
“maintenance” and “follow-up” is distracting
because it is not possible to discern the
difference between the two conditions.
Regardless of which term is used, it appears that
the authors use both terms to mean that
intervention effects are present after the
intervention is withdrawn. Therefore, both
categories will be grouped together for the
purposes of this discussion.
Only eight articles (9%) explicitly
addressed the term “maintenance” in their titles.
Of these, five addressed nonverbal behavior
(i.e., sorting by children with autism [Dozier et
al., 2001]; performance on a reading task [Daly,
Martens, Kilmer, & Massie, 1996], and the
remaining three addressed functional
communication training (FCT) [Durand & Carr,
1992; Shirley, Iwata, Kahng, Mazaleski, &
Lerman, 1997; Derby et al., 1997]).
Additionally, four articles included maintenance
assessments in their designs, but did not describe
these in their titles or abstracts (increasing
employment productivity by adults with mental
retardation [Christian & Poling, 1997];
decreasing sleep disorders among young
children [Durand & Mindell, 1990]; using
spousal feedback with parents of children with
autism [Harris, Peterson, Filliben, Glassberg, &
Favell, 1998]; increasing teacher use of
interventions [Witt, Noell, LaFleur, &
Mortenson, 1997]).
The bulk of the research that addressed
maintenance and follow-up provided
assessments of intervention effects after
intervention withdrawal instead of designing the
investigations to enhance maintenance. Only
four investigations actively programmed for
maintenance, and all used the strategy of
exploiting current functional contingencies.
Altus, Welsh, and Miller (1991) provided an
excellent example of an investigation designed
for maintenance. By transferring responsibility
for provision of positive feedback to members of
a student housing cooperative from the
researchers to members of the cooperative
(exploit current functional contingencies), they
demonstrated long-term maintenance of
completion of tasks by cooperative members.
The investigation began in 1985 and was active
through 1986, with follow-up in 1987 and again
in 1991. All follow-up assessments showed that
task completion remained high, with some
decrease noted in the 1991 data. Dozier et al.
(2001) utilized fixed-time schedules of
reinforcement to maintain the performance of
two young children with autism on manipulative
tasks (exploit current functional contingencies).
Variable-ratio and three fixed-time schedules
were introduced using multielement and reversal
designs. Results suggested that previously
acquired responses were maintained using thin,
dense, and yoked FT schedules, although there
was variability across participants so results
should be interpreted with caution. Similarly,
Lerman, Iwata, and Shore (1996) demonstrated
maintenance of reduced levels of SIB during
extinction conditions when intermittent
reinforcement was available prior to extinction
with adults with mental retardation. Finally, the
participants in the investigation of Bennett and
Cavanaugh (1998) used self-correction
procedures on multiplication tasks to assist in
the maintenance of improved responding
(incorporate functional mediators). Their
findings indicated that immediate self-correction
was more effective than delayed or no self-
correction procedures in producing appropriate
performance and in maintaining performance
following instruction.
Encouragingly, 60% of the articles
(N=53) that addressed generalization and
maintenance contained follow-up conditions.
This suggests that behavior analysts have begun
to address seriously the need to assess durability
of treatment effects. The length of these
conditions was highly variable, ranging from
one session at the shortest to one year at the
longest. A notable exception is the study of
Altus et al. (1991), described previously. This
range was noted among the research that
addressed verbal behavior issues. Among the
research that was implemented in school
settings, follow-up was conducted from two
sessions to six months. A wide variety of
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research was conducted in varying settings with
various target behaviors, including community,
home, hospital, playground, and laboratory
settings. The follow-up conditions ranged from
10 days [teaching playground safety skills to
elementary school children (Heck, Collins, &
Peterson, 2001)] to 10 months [teaching
independent living skills to children and young
men with visual impairments (Taras, Matson, &
Felps, 1993)] in these studies.
The final group of articles reviewed
used reversal designs to demonstrate
experimental control of intervention procedures.
Inherent in the use of reversal designs for this
purpose is the problem that, while from a
scientific standpoint, the reversal design shows
experimental control, from a practitioner’s
standpoint, it is deleterious for intervention
effects to reverse (Miltenberger, 2001). For the
purposes of the present discussion, the use of the
reversal design allowed examination of the
durability of intervention effects after its
withdrawal. 15% of the articles (N=13) used
reversal designs to demonstrate experimental
control in their intervention research, and all
were effective in doing so. Therefore, 100% of
the intervention research that utilized reversal
designs showed experimental control and failed
to show durability of intervention effects when
intervention was withdrawn. This may suggest
that behavior analytic researchers who
investigate interventions are caught in a
dilemma – if they use the reversal design to
demonstrate experimental control and are
successful, the research is successful from a
scientific standpoint. However, from an applied
perspective, the reversal of intervention effects
following the withdrawal of the intervention is a
disappointment. The intervention areas targeted
in these studies included maladaptive behaviors
of youth with attention deficit with hyperactivity
disorder (Reitman, Hupp, O’Callaghan, Gulley,
& Northup, 2001), eye poking (Smith, Russo, &
Le, 1999), inappropriate verbal behavior of
heroin addicts (Petry et al., 1998), wandering by
persons with dementia (Heard & Watson, 1999),
automobile safety belt use when leaving the
supermarkets (Engerman, Austin, & Bailey,
1997), sleep problems with a toddler (Ashbaugh
& Peck, 1998), rapid eating by a young woman
with developmental disabilities (Wright &
Vollmer, 2002), and food selectivity (Dixon,
Benedict, & Larson, 2001). Inspection of these
studies reveals that all investigations
manipulated highly discriminable interventions,
i.e., presence/absence of a token economy,
presence/absence of stickers, presence/absence
of prompts, access or lack of access to leisure
activities, presence/absence of DRL or DRA
procedures. In other words, it was readily
discriminable to the studies’ participants when
interventions were active and when they were
not. While demonstrating the effectiveness of
the interventions, these studies may have
inadvertently demonstrated that the withdrawal
of highly discriminable interventions results in a
loss of intervention effects. Consistent with the
generalization-promoting strategy of Stokes and
Osnes (1989), it is plausible that further
investigations that manipulate the
discriminability of interventions of these types
should attempt to demonstrate a generalization-
promotion function in addition to demonstrating
the effectiveness of the interventions in the
immediate time frame.
CONCLUSIONS AND RECOMMENDATIONS
This paper embarked on an effort to
provide at least a partial answer to the question
posed earlier: Have we progressed past the
Train and Hope stage of development as a field
and advanced the science of human behavior by
developing methods that empirically
demonstrate a generalization-promoting
function? The answer appears to be mixed. On
the encouraging side, researchers who are
investigating interventions are more often than
not including assessments of maintenance in
their investigations. Unfortunately, on the
discouraging side, researchers are continuing to
investigate highly discriminable interventions
that fail to demonstrate durability after their
withdrawal while demonstrating excellent
experimental control and satisfying the scientific
process. By carrying their research another step
further and including an additional condition to
decrease the discriminability of the intervention
in an effort to promote maintenance, both the
practitioner and the scientific audiences could be
satisfied. The current status of generalization
research, whether designed to control for
generalization-enhancing variables or to
establish the durability of the procedures,
suggests that generalization continues to be an
elusive entity. When obtained, it appears to
require much effort. For researchers to
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demonstrate a functional relationship between
procedures and generalization, much effort is
required in the design and implementation of the
research. For practitioners to design
interventions that result in generalization, more
effort is required than to simply demonstrate the
immediate effectiveness of the procedures. Such
required effort may discourage both researchers
and practitioners from delving deeply into the
somewhat gray area of generalization-
promotion. However, it is precisely this
increased effort that is necessary in order for
behavior analysis to show the generality of the
outcomes of its labors. If such generality fails to
be demonstrated, it may be necessary for
behavior analysis to “throw in the towel” and
acknowledge that our procedures are very
effective at producing behavior change but need
to be utilized ad infinitum because longlasting
and widespread behavior change is a highly
obscure commodity.
Conversely, on the encouraging side,
there are at least a dozen examples of research
presented here that were designed solely to
demonstrate the functional relationship between
training variables and generalization. It is
important to remember, also, that the literature
reviewed here is from only a few journals.
Undoubtedly, it is safe to assume that a broader
literature review would yield even more reason
for optimism. Each investigation that controls
for generalization variables can and should be
considered a model for other investigators to
use. A systemic method for accessing and
utilizing the extant data base on generalization-
promotion may be helpful in increasing the
frequency of research in the area. If you will,
imagine behavior analysts being able to access
the currently imaginary Journal of
Generalization-Promotion, which would serve
as a central receiving point for research and
interventions that focus on this critical area.
Another optimistic result of the present
review was the extent to which the authors of the
research utilized proficiently their discussions of
Stokes and Baer (1977) and Stokes and Osnes
(1989). It appears obvious that the categories
provided by Stokes and Baer have demonstrated
maintenance, and that, in and of itself,
constitutes one level of effective intervention.
Acknowledging the need for generalization
promotion is now a well-entrenched part of
behavior analysis that has resulted in a growing
data base across diverse areas of the field.
Investigators are describing their efforts in terms
of the generalization-promoting categories and
the categories appear to be driving
generalization research. In short, it appears that
the categories are becoming increasingly more
functional, an outcome that hopefully would
please Baer et al. (1968). In that respect, it
could be concluded that they are becoming more
explicit than implicit, with Train and Hope more
an historical artifact than a present day albatross.
However, lest we become too confident
that we are making adequate strides in the area
of generalization promotion, let us remember
that the conceptualization continues to be
stronger than the empirical base that supports it.
To continue to advance our efforts in this critical
area, each behavior analyst should assume
responsibility to “raise the bar” and plan no
empirical investigations and interventions
without generalization promotion as part of the
research and intervention plan. Accomplishing
the most generalized effects in the least intrusive
manner while subjecting the endeavor to a
rigorous scientific process may best ensure that
our efforts remain true to the field’s tenets of
empiricism and parsimony. In this manner, an
explicit technology of generalization may have
the best opportunity to continue along its current
healthy, albeit slow, course of development.
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1977, 10, 349-367
AN IMPLICIT TECHNOLOGY OF GENERALIZATION’
TREVOR F. STOKES AND DONALD M. BAER
THE UNIVERSITY OF MANITOBA AND THE UNIVERSITY OF KANSAS
Traditionally, discrimination has been understood as an active process, and a technology
of its procedures has been developed and practiced extensively. Generalization, by con-
trast, has been considered the natural result of failing to practice a discrimination
technology adequately, and thus has remained a passive concept almost devoid of a
technology. But, generalization is equally deserving of an active conceptualization and
technology. This review summarizes the structure of the generalization literature and
its implicit embryonic technology, categorizing studies designed to assess or program
generalization according to nine general headings: Train and Hope; Sequential Modifi-
cation; Introduce to Natural Maintaining Contingencies; Train Sufficient Exemplars;
Train Loosely; Use Indiscriminable Contingencies; Program Common Stimuli; Mediate
Generalization; and Train “To Generalize”.
DESCRIPTORS: generalization, treatment-gain durability, followup measures, main-
tenance, postcheck methodology
Traditionally, many theorists have considered
generalization to be a passive phenomenon. Gen-
eralization was not seen as an operant response
that could be programmed, but as a description
of a “natural” outcome of any behavior-change
process. That is, a teaching operation repeated
over time and trials inevitably involves varying
samples of stimuli, rather than the same set
every time; in the same way, it inevitably evokes
and reinforces varying samples of behavior,
rather than the same set every time. As a conse-
quence, it is predictable that newly taught re-
sponses would be controlled not only by the
stimuli of the teaching program, but by others
somewhat resembling those stimuli (Skinner,
1953, p. 107ff.). Similarly, responses resembling
those established directly, yet not themselves ac-
tually touched by the teaching procedures, would
appear as a result of the teaching (Keller and
‘Preparation of this paper was supported in part by
PHS Training Grant 00183, Program Project Grant
HD 00870, and Research Grant MH 11739. Reprints
may be obtained either from T. F. Stokes, Department
of Psychology, University of Manitoba, Winnipeg,
Manitoba, Canada R3T 2N2, or D. M. Baer, Depart-
ment of Human Development, University of Kansas,
Lawrence, Kansas 66045.
Schoenfeld, 1950, p. 168ff.). Thus, generaliza-
tion was something that happened, not some-
thing produced by procedures specific to it.
If generalization seemed absent or insignifi-
cant, it was simply to be assumed that the teach-
ing process had managed to maintain unusually
tight control of the stimuli and responses in-
volved, allowing little sampling of their varie-
ties. This assumption was strongly supported by
the well-known techniques of discrimination: by
differential reinforcement (in general, by any
differential teaching) of certain stimuli relative
to others, and/or certain responses relative to
others, generalization could be programmatically
restricted and diminished to a very small range.
Thus, it was discrimination that was understood
as an active process, and a technology of its pro-
cedures was developed and practiced extensively.
But generalization was considered the natural
result of failing to practice discrimination’s tech-
nology adequately, and thus remained a passive
concept almost devoid of a technology. Never-
theless, in educational practice, and in the devel-
opment of theories aimed at serving both practice
and a better understanding of human function-
ing, generalization is equally as important as dis-
349
NUMBER 2 (SUMMER) 1977JOURNAL OF APPLIED BEHAVIOR ANALYSIS
TREVOR F. STOKES and DONALD M. BAER
crimination, and equally deserving of an active
conceptualization.
Generalization has been and doubtless will
remain a fundamental concern of applied behav-
ior analysis. A therapeutic behavioral change,
to be effective, often (not always) must occur
over time, persons, and settings, and the effects
of the change sometimes should spread to a
variety of related behaviors. Even though the
literature shows many instances of generaliza-
tion, it is still frequently observed that when a
change in behavior has been accomplished
through experimental contingencies, then that
change is manifest where and when those contin-
gencies operate, and is often seen in only transi-
tory forms in other places and at other times.
The frequent need for generalization of thera-
peutic behavior change is widely accepted, but it
is not always realized that generalization does
not automatically occur simply because a behav-
ior change is accomplished. Thus, the need ac-
tively to program generalization, rather than
passively to expect it as an outcome of certain
training procedures, is a point requiring both
emphasis and effective techniques (Baer, Wolf,
and Risley, 1968). That such exhortations have
often been made has not always ensured that
researchers in the field have taken serious note
of and, therefore, proceeded to analyze ade-
quately the generalization issues of vital concern
to their programs. The emphasis, refinement, and
elaboration of the principles and procedures that
are meant to explain and produce generalization
when it does not occur “naturally” is an impor-
tant area of unfinished business for applied be-
havior analysis.
The notion of generalization developed here
is an essentially pragmatic one; it does not
closely follow the traditional conceptualizations
(Keller and Schoenfeld, 1950; Skinner, 1953).
In many ways, this discussion will sidestep much
of the controversy concerning terminology. Gen-
eralization will be considered to be the occur-
rence of relevant behavior under different, non-
training conditions (i.e., across subjects, settings,
people, behaviors, and/or time) without the
scheduling of the same events in those conditions
as had been scheduled in the training conditions.
Thus, generalization may be claimed when no
extratraining manipulations are needed for extra-
training changes; or may be claimed when some
extra manipulations are necessary, but their cost
or extent is clearly less than that of the direct
intervention. Generalization will not be claimed
when similar events are necessary for similar ef-
fects across conditions.
A technology of generalization programming
is almost a reality, despite the fact that until re-
cently, it had hardly been recognized as a prob-
lem in its own right. Within common teaching
practice, there is an informal germ of a technol-
ogy for generalization. Furthermore, within the
practice of applied behavior analysis (especially
within the past 5 yr or so), there has appeared
a budding area of “generalization-promotion”
techniques. The purpose of this review is to sum-
marize the structure of that generalization litera-
ture and its implicit embryonic technology. Some
270 applied behavior analysis studies relevant to
generalization in that discipline were reviewed.2
A central core of that literature, consisting of
some 120 studies, contributes directly to a tech-
nology of generalization. In general, techniques
designed to assess or to program generalization
can be loosely categorized according to nine
general headings:
1. Train and Hope
2. Sequential Modification
3. Introduce to Natural Maintaining Contin-
gencies
4. Train Sufficient Exemplars
5. Train Loosely
6. Use Indiscriminable Contingencies
7. Program Common Stimuli
2Ninety per cent of the literature reviewed was
from five journals: Behaviour Research and Therapy;
Behavior Therapy; Journal of Applied Behavior Anal-
ysis; Journal of Behavior Therapy and Experimental
Psychiatry; and Journal of Experimental Child Psy-
chology. Seventy-seven per cent of the literature re-
viewed has been published since 1970.
350
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
8. Mediate Generalization
9. Train “To Generalize”.
This review characterizes each category, and
describes some examples of research that illus-
trate the generalization analyses or program-
ming involved in each category. Obviously, all
the relevant references cannot be discussed in this
review.3 The nine categories listed above were
induced from the literature; they are not a priori
categories. Consequently, studies do not always
fit neatly into these categories. It should also be
noted that not all studies reviewed were thorough
experimental analyses of generalization. Often
inferences were necessary to categorize the re-
search. However, the following discussion still
may provide a useful organization and concep-
tualization of generalization and its program-
ming.
1. Train and Hope
In applied behavior analysis research, the most
frequent method of examining generalization, so
far, may be labelled Train and Hope. After a
behavior change is effected through manipula-
tion of some response consequences, any existent
generalization across responses, settings, experi-
menters, and time, is concurrently and/or sub-
sequently documented or noted, but not actively
pursued. It is usually hoped that some generali-
zation may occur, which will be welcomed yet
not explicitly programmed. These hopeful probes
for stimulus and response generalization char-
acterize almost half of the applied literature on
generalization. The studies have considerable
importance, for they begin to document the ex-
tent and limits of generalization of particular
operant intervention techniques. While not being
3Complete reference lists and detailed tables de-
scribing subjects, procedures, and generalization of
all studies reviewed are deposited with the National
Auxiliary Publications Service (NAPS). For copies,
order NAPS Document #02873. Order from ASIS/
NAPS Co., C/O Microfiche Publications, 305 East
46th Street, New York, New York 10017. Remit
with order for each copy $3.00 for microfiche or
$19.50 for photocopies. Make checks payable to
Microfiche Publications.
examples of the programming of generalization,
they are a sound first step in any serious analysis
of generalization. When generalization is desired,
but is shown to be absent or deficient, program-
ming procedures can then be instituted.
For example, useful generalization across set-
tings was documented by Kifer, Lewis, Green,
and Phillips (1974). In an experimental class-
room setting, parent-child pairs were taught to
negotiate in conflict situations. During simulated
role-playing, instructions, practice, and feedback
were used to teach the negotiation behaviors of
fully stating one’s position, identifying the issues
of conflict, and suggesting options to resolve the
conflict. The data showed increased use of nego-
tiation behaviors and the reaching of agreements
in actual parent-child conflict situations at home.
An assessment of generalization across experi-
menters was described by Redd and Birnbrauer
(1969), who demonstrated that control over the
cooperative play of retarded children did not
generalize from an adult who dispensed contin-
gent edible reinforcement to five other adults
who had not participated in training.
Studies that are examples of Train and Hope
across time are those in which there was a change
from the intervention procedures, either to a less
intensive but procedurally different program, or
to no program or no specifically defined pro-
gram. Data or anecdotal observations were re-
ported concerning the maintenance of the origi-
nal behavior change over the specified time
intervening between the termination of the
formal program and the postchecks. An example
of a followup evaluation was the study by Azrin,
Sneed, and Foxx (1973). An intensive training
program involving reinforcement of correct toi-
leting and positive practice procedures promptly
decreased bedwetting by 12 retarded persons.
The reduced rate of accidents was maintained
during a three-month followup assessment.
Perhaps there are many more studies in the
Train and Hope category than would have been
expected (about 135, of which 65 % are across
Time). However, despite its obvious value, this
research is frequently characterized by a lack of
351
TREVOR F. STOKES and DONALD M. BAER
comprehensiveness and depth of the generaliza-
tion analysis. Even though generalized behavior
change was frequently reported, extensive, wide-
ranging, and practical generalization was not
often noted or even sought. The continued de-
velopment of behavior analysis almost surely
will demand more extensive collection of gener-
alization data than is presently the fashion. The
extent and limits of applied behavioral interven-
tions may be well documented and understood if
measurement is extended over longer periods of
time, over more than one circumscribed part of
the day, with more than one related response,
and with more than a restricted part of the social
and physical environment. It is as important for
the field to formalize the conditions of the non-
occurrence of generalization as it is to document
the conditions associated with the display of un-
programmed generalization.
Most of the Train-and-Hope research described
successful generalization-approximately 90%
of Train-and-Hope studies. By definition, there
was no further need to program generalization
in those studies where generalization had been
exhibited within the Train-and-Hope para-
digm-presuming, of course, that the generali-
zation exhibited was considered sufficient to meet
the therapeutic goals of the various modification
programs (not necessarily a valid presumption
in the Train-and-Hope research). This prepon-
derance of positive data may simply reflect the
tendency of some researchers not to report their
generalization data if measurement procedures
were instituted to probe for any generalized be-
havior changes, but generalization was shown to
be absent. Some researchers may view nongen-
eralization as reflecting a deficiency or ineffective-
ness of their procedures to develop a desirable
generalized performance. Behavior analysts,
nevertheless, should encourage their fellow re-
searchers to document and to analyze experimen-
tally their apparent failures, rather than allowing
them to slide into oblivion. A detailed and sys-
tematic understanding of generalization and its
programming could result. Alternatively, re-
searchers might view their generalization base-
lines as being essentially independent of the mod-
ified baseline; thus, to report nongeneralization
would serve no useful purpose, for its nonoccur-
rence would be expected. Again, any such docu-
mentation contributes to our understanding of
the extent and limits of generalization, as well as
serving as an indication of the frequent necessity
of generalization-programming techniques.
There is another reason for the predominance
of positive results in this section: if nongeneral-
ization was clearly evident, and the modification
of this state was important, then a form of lim-
ited programming was frequently instituted. Ex-
amples of this research will be discussed in the
next category, “Sequential Modification”.
2. Sequential Modification
These studies exemplify a more systematic
approach to generalization than the Train-and-
Hope research. Again, a particular behavior
change is effected, and generalization is assessed.
But then, if generalization is absent or deficient,
procedures are initiated to accomplish the desired
changes by systematic sequential modification in
every nongeneralized condition, i.e., across re-
sponses, subjects, settings, or experimenters. The
possibility of unprogrammed generalization typi-
cally was not examined in these sequential modi-
fication studies, because after the initial demon-
stration of nongeneralization, all other baselines
were exhausted. That is, after changes had been
produced directly in all baselines, generalization
to nonrecorded responses, subjects, settings, and
experimenters may have occurred, but could not
be examined.
For example, Meichenbaum, Bowers, and Ross
(1968) reported an absence of generalization of
behavior changes from an afternoon intervention
period to the morning period in a classroom for
institutionalized female adolescent offenders.
Money dispensed contingent on on-task behav-
iors effected desired behavior changes during the
afternoon, but generalization to the morning
period required that the same manipulations be
applied there as well (sequential modification
across settings). Similarly, generalization across
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AN IMPLICIT TECHNOLOGY OF GENERALIZATION
settings of the disruptive and oppositional behav-
ior of two children was investigated by Wahler
(1969). He demonstrated control of these behav-
iors in the home by using differential attention
and timeout operations. When generalization to
the children’s school behavior was not evidenced,
similar contingency operations were employed to
accomplish changes in that setting as well.
The category of Sequential Modification char-
acterizes much of the actual practice of many
behavior analysts. Sequential modification is
merely a systematized experimental procedure
that formalizes and allows evaluation of these
typical therapeutic endeavors. The tactic of
scheduling behavior-change programs in every
condition to which generalization is desired is
frequently employed. The rationale for these
procedures is as follows. If a desired generaliza-
tion is not likely to be exhibited after changing a
behavior in a particular condition, or a number
of conditions, e.g., settings, then the researcher or
practitioner works to effect changes across con-
ditions as a matter of course, rather than as an
outcome of the display or nondisplay of general-
ization. Thus, a behavior analyst is likely to ad-
vise the scheduling of consequences in every
relevant condition in preference to the dispens-
ing of consequences in only one or a few condi-
tions, while hoping for generalization, but likely
not seeing it.
3. Introduce to Natural Maintaining
Contingencies
Perhaps the most dependable of all general-
ization programming mechanisms is one that
hardly deserves the name: the transfer of behav-
ioral control from the teacher-experimenter to
stable, natural contingencies that can be trusted
to operate in the environment to which the sub-
ject will return, or already occupies. To a con-
siderable extent, this goal is accomplished by
choosing behaviors to teach that normally will
meet maintaining reinforcement after the teach-
ing (Ayllon and Azrin, 1968).
Baer and Wolf (1970) reported a study by
Ingram that illustrated the mechanism of “trap-
ping”, where a preschool child was taught an
entry response that exposed the child to the
natural contingencies of peers in the preschool
environment. Preschool teachers modified the
low rate of skillful interaction of the child by
priming others to interact with the subject and
reinforcing appropriate interactions. The data
showed that over time the teachers lost control
of the interaction behavior, which remained
high; it was assumed that the group’s natural
consequences for interaction had taken control
of the subject’s behavior. Thus, to program gen-
eralization, the child perhaps needed only to be
introduced adequately to the natural reinforcers
inherent in active preschool play and interaction.
Some early analyses of preschool children’s be-
havior have stressed that if the child can be so
introduced (through the operation of differential
attention from teachers) to a reinforcing pre-
school natural environment, then the behaviors
eventually do not need to be maintained by con-
tinued contrived modification of the environ-
ment. For example, Hall and Broden (1967)
modified the manipulative play, climbing, and
social interaction of three subjects through social
reinforcement operations. Behavior changes were
shown to be durable and successful followup
data at three months were described.
Buell, Stoddard, Harris, and Baer (1968) dem-
onstrated the collateral development of appro-
priate social behavior (e.g., touching, verbalizing,
and playing with other children) accompanying
the reinforcement of increased use of outdoor
play equipment by a 3-yr-old girl. This entry re-
sponse to the natural reinforcement community
was tactically sound because the child’s motor
behavior was modified in a setting where the
resulting behavior would tend automatically to
increase social contact with other children, and
this natural social environment could maintain
the child’s new skills, but indeed may also be
expected to sharpen and refine them, and add
entirely new ones as well.
Most of the research concerning natural main-
taining contingencies has involved children, per-
haps because such techniques seem particularly
353
TREVOR F. STOKES and DONALD M. BAER
suitable, especially to their social behavior. Re-
search would profit by determining what natural
reinforcement communities exist for various be-
haviors and subjects, and what economical means
may be employed to ensure entry to these behav-
ioral traps.
Unfortunately, in some instances there may be
no natural reinforcement operating to develop
and maintain skills. For example, in the case of
retarded and institutionalized persons whose de-
pendency has become a stable fact in the lives of
their caretakers, some re-arrangement of the
natural environment may be necessary. A few
studies have introduced subjects to semicontrived
or redesigned “natural” reinforcement communi-
ties. A simple but meaningful example was pro-
vided by Horner (1971), who taught a 5-yr-old
institutionalized retarded boy to walk on crutches
in an experimental setting. The child was then
prompted to generalize the new walking skill
to other settings and activities to which he previ-
ously had been taken in a wheelchair by solici-
tous caretakers, by enlisting those caretakers to
refrain from offering this help. Within 15 days
after treatment was concluded, the child walked
on crutches to all those activities and settings,
eventually extending his ambulation skills to any
part of his world. Stolz and Wolf (1969) trained
a 16-yr-old, “blind” retarded male to discriminate
visual stimuli. Then, the environment was so
structured that assistance was not given in situa-
tions where it had previously been given as a
matter of course. When the boy was required to
use visual cues to help himself in a cafeteria line,
he soon emitted the necessary behaviors. How-
ever, these studies did not establish the function-
ality of their procedures in the maintenance of
behavior changes.
Another significant example was provided by
Seymour and Stokes (1976). In their study, insti-
tutionalized delinquent girls were taught to so-
licit reinforcement (cf. Graubard, Rosenberg,
and Miller, 1971) from their natural community,
the staff of their residential institution. In their
case, the staff had rarely displayed any systematic
attempts at reinforcing desirable behavior shown
by the girls, perhaps on the presumption that the
girls were “bad” and not reinforcible in any case.
However, the experimenters were able to teach
the girls that when their work was objectively
good, and when staff persons were nearby, a
simple skill of calling these adults’ attention to
their good work would result in fairly consistent
reinforcement. Thus, this was a case in which
experimental reinforcement was used to develop
a response in the subjects that would tap and
cultivate the available but dormant natural com-
munity. In theory, this new skill should have
obviated the need for further experimental re-
inforcement, for the praise evoked should have
functioned to maintain both the girls’ work and
cueing, and the cueing, in turn, should have func-
tioned to maintain staff praise. The Seymour and
Stokes’ study could not be continued long enough
to establish whether this would happen, and so
it remains a logically appealing but still unex-
plored method of enhancing generalization:
teaching the subject a means of recruiting a nat-
ural community of reinforcement to maintain
that generalization. Perhaps an even greater ad-
vantage of such procedures is a change in the
locus of control: the subjects can become more
prominent agents of their own behavior change,
rather than being hapless pawns of more-or-less
random environmental contingencies.
Restructuring the environment thus becomes a
target of research aimed at extending the gener-
alization of newly taught skills; even though, at
a technical level, this operation may not be con-
sidered generalization, but rather transfer of
control from one reinforcement contingency to
another. In any event, it is a much neglected
topic of experimental research, although widely
recognized as a desirable, and even essential
characteristic of any rehabilitative effort.
Some natural contingencies are inevitably at
work contributing to the maintenance of inap-
propriate behavior. For example, peer-group
control of inappropriate behavior has often been
suspected and sometimes documented (Buehler,
Patterson, and Furniss, 1966; Gelfand, Gelfand,
and Dobson, 1967; Solomon and Wahler, 1973).
354
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
It would seem reasonable, then, that if the pat-
tern of reinforcement of inappropriate behavior
is modified, the observed outcome may errone-
ously, but happily be attributed to generalization.
For example, Bolstad and Johnson (1972) pre-
sented data that showed that both experimental
and control subjects in the same classroom were
all affected (although not to the same extent) by
experimental manipulation of the reinforcement
contingency for the experimental subjects,
whereas control subjects in a different classroom
were not so affected. The authors presented data
that may account for these differences. The con-
trol subjects in the experimental classroom, who
were also disruptive students, had fewer disrup-
tive interactions with the experimental subjects
during the treatment phases than during base-
line. This possible generalization effect may be
due to the disruption of the natural contingencies
operating in that environment. That is, other
disruptive students previously supported some of
the disruptive behavior of the control subjects,
but during treatment these experimental subjects
did not support the disruptive behavior of their
peers and, thus, a “generalized” decrease in dis-
ruptive behavior by the control subjects resulted.
4. Train Sufficient Exemplars
If the result of teaching one exemplar of a
generalizable lesson is merely the mastery of the
exemplar taught, with no generalization beyond
it, then the obvious route to generalization is to
teach another exemplar of the same generaliza-
tion lesson, and then another, and then another,
and so on until the induction is formed (i.e., until
generalization occurs sufficiently to satisfy the
problem posed). Examples of such programming
techniques will be described in this category of
training sufficient exemplars, perhaps one of the
most valuable areas of programming. Certainly
it is the generalization-programming area most
prominent and extensive in the present literature.
In the research discussed previously under
the categories of Train and Hope and Sequen-
tial Modification, the typical analysis of gener-
alization concerned the measurement of gener-
alization to only a few (and often only one)
extraexperimental responses, subjects, settings,
experimenters, or times. When the absence of
generalization was noted, sometimes it was ac-
complished by further direct intervention in
every nongeneralized condition (i.e., Sequential
Modification). Having completed such modifica-
tions, the possibility of more extensive general-
ized effects (i.e., beyond the two or three modified
baselines) was not examined. In the training of
sufficient exemplars, generalization to untrained
stimulus conditions and to untrained responses
is programmed by the training of sufficient ex-
emplars (rather than all) of these stimulus con-
ditions or responses.
A systematic demonstration of programmed
generalization and measurement of generalized
effects beyond intervention conditions was re-
ported by Stokes, Baer, and Jackson (1974). They
established that training and maintenance of re-
tarded childrens’ greeting responses by one ex-
perimenter was not usually sufficient for the
generalization of the response across experi-
menters. However, high levels of generalization
to over 20 members of the institution staff (and
newcomers as well) who had not participated
in the training of the response were recorded,
after a second experimenter trained and main-
tained the response in conjunction with the first
experimenter. Thus, when generalization did not
prevail after the training of one stimulus exem-
plar, it was programmed by training a greater
diversity of stimulus (trainer) conditions. Simi-
larly, Garcia (1974) taught a conversational
speech form to two retarded children, and, upon
discovering a lack of stable generalization across
experimenters after one training input, pro-
grammed generalization across experimenters by
having a second experimenter teach the same
responses.
A sufficient-stimulus-exemplars demonstration
of programmed generalization across settings has
been described by Allen (1973). Allen modified
the bizarre verbalizations of an 8-yr-old boy by
differential attention procedures. Ignoring bi-
zarre verbalizations and praise for appropriate
355
TREVOR F. STOKES and DONALD M. BAER
interaction reduced bizarre verbalizations during
evening camp activities. However, there was no
generalization to three other camp settings. After
additional training in a second setting, some
generalization to the unmanipulated settings was
noted. This generalization was further enhanced
by intervention in the third setting. Unfortu-
nately, the experimental procedures did not allow
sufficient time to document the full extent of
generalization after training in two settings, but
generalization after training in two settings was
clearly evident. Griffiths and Craighead (1972)
similarly programmed generalization across set-
tings. A 30-yr-old retarded woman received
praise and tokens for correct articulation in
speech therapy. Generalization to a residential
cottage was not observed until the same proce-
dures were instituted there. Following training
in these two stimulus exemplars, generalization
to a third nontraining setting (a classroom) was
observed.
Very little research concerned with generaliza-
tion programming has dealt with the training of
sufficient stimulus exemplars. The infrequent
research that has been published is characterized
largely by programming across experimenters.
This work has been promising, for after a modest
number of training inputs, generalization appar-
ently will occur with persons not involved in
training-unquestionably a valuable and inex-
pensive outcome. However, the present implica-
tion of these studies is limited because of the
restricted nature of the type of subjects and
responses analyzed. Further work is also needed
to give direction to the optimal conditions
whereby the most extensive generalization will
be achieved with a minimal training expendi-
ture. Nevertheless, it is optimistic to note how
frequently a sufficient number of exemplars is
a small number of exemplars. Frequently, it is
no more than two. In particular, there may well
be reason to suspect that the use of two trainers
will yield excellent results in terms of generaliza-
tion. This possibility, obviously an economical
one, certainly merits systematic study of its po-
tential and limits.
Although very little research has been re-
ported, the analysis of generalization program-
ming by training in a number of settings is a
virtually untapped area of far-reaching value.
However, consistent optimism should follow ex-
amination of the studies showing generalization
after training in only a few settings. Unfortu-
nately, behavior analysts seem too often satisfied
with the modification of a single, well-defined
behavior in one setting, e.g., a laboratory pre-
school. Discriminated programs are often accept-
able, and sometimes even desirable. When gener-
alization is a valid concern, but researchers and
practitioners do not act as if this were so, the
discriminated behavior of researchers is most
probably inhibitory to the development of an
effective generalization technology.
Over the past 10 yr, there has developed an
extensive literature discussing the programmed
generalization of responses through the training
of sufficient response exemplars. A response class
has been operationally defined to describe the
fact that some responses are organized such that
operations applied to a subset of responses in the
class affect the other members of that class in the
same manner. For example, Baer, Peterson, and
Sherman (1967) reinforced various motor imita-
tions by retarded children. They found that as
long as reinforcement followed some imitative
responses, other imitations continued to be per-
formed without training or reinforcement.
A topographical analysis of generalized imita-
tion has been made by Garcia, Baer, and Fire-
stone ( 1971). Four retarded children were trained
to imitate three different topographical types of
response: small motor, large motor, and short
vocal. These subjects were also probed for their
imitation of other unreinforced responses: short
motor, long motor, short vocal, and long vocal.
Generalized imitation was observed with each
subject, but this generalization reflected the par-
ticular dimensions of the topographical response
currently being trained or having previously re-
ceived training. Thus, generalization may occur
within well-defined classes and may not gener-
alize to other classes unless some special training
356
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
(generalization programming) occurs within that
class as well. These data depict one possible limi-
tation of the generality of generalized imitation,
as well as pointing to the need to train response
exemplars that will adequately reflect the di-
versity of the generalization being programmed.
Children’s grammatical development has been
another prominent area of research dealing with
generalized behavior. The concept of response
class is again pivotal in these studies, which
conceptualize the rules of morphological gram-
mar as equivalent to response class phenomena.
For example, Guess, Sailor, Rutherford, and
Baer (1968) developed the generative correct
use of plurals by a retarded girl. After teaching
a number of exemplars of the correct plural
response, the girl appropriately labelled new
objects in the singular or plural without further
direct training relevant to those objects. Plural
usage had become a generalized response class;
the morphological rule had been established.
Schumaker and Sherman (1970) rewarded three
retarded children for the correct production of
past- and present-tense forms of verbs. As past-
and present-tense forms of verbs within an in-
flectional class were modified, there occurred a
generalized usage of untrained verbs to similar
tense forms.
There has been considerable research to estab-
lish the importance of the training of sufficient
response exemplars. A survey of these (approxi-
mately 60) studies shows that the number of
exemplars found to be “sufficient” for a desirable
level and durability of generalization varies
widely, probably determined primarily by the
nature of the task and the subject’s prior skills
relevant to it. Most of this research was con-
cerned with the development of motor and vocal
imitations, and the beginning development of
grammar and syntax. The development of ques-
tion-asking and instruction-following is also well
represented.
In conclusion, examination of the sufficient
exemplar research points to a significant (and
long-familiar) generalization-programming pro-
cedure: a number of stimulus and/or response
exemplars should undergo training. That is, to
program the generalized performance of certain
responses across various setting conditions or
persons, training should occur across a (suffi-
cient) number of setting conditions and/or with
various persons. In a similar manner, generaliza-
tion across responses can be programmed reliably
by the training of a number of responses. Diver-
sity of exemplars seems to be the rule to follow
in pursuit of the maximum generalization. Suffi-
cient diversity to reflect the dimensions of the
desired generalization is a useful tactic. However,
diversity may also be our greatest enemy: too
much diversity of exemplars and not enough
(sufficient) exemplars of similar responses may
make potential gains disproportional to the in-
vestment of training effort. The optimal combi-
nation of sufficient exemplars and sufficient di-
versity to yield the most valuable generalization
is critically in need of analysis. Is the best pro-
cedure to train many exemplars with little diver-
sity at the outset, and then expand the diversity
to include dimensions of the desired generaliza-
tion? Or is it a more productive endeavor to
train fewer exemplars that represent a greater
diversity, and persist in the training until gen-
eralization emerges’?
5. Train Loosely
One relatively simple technique can be con-
ceptualized as merely the negation of discrimi-
nation technique. That is, teaching is conducted
with relatively little control over the stimuli
presented and the correct responses allowed, so
as to maximize sampling of relevant dimensions
for transfer to other situations and other forms
of the behavior. A formal example of this most
often informal technique was provided by
Schroeder and Baer (1972), who taught vocal
imitation skills to retarded children in both of
two ways, one emphasizing tight restriction of
the vocal skills being learned at the moment
(serial training of vocal imitations), and the
other allowing much greater range of stimuli
within the current problem (concurrent training
357
TREVOR F. STOKES and DONALD M. BAER
of imitations). The latter method was charac-
terized repeatedly by greater generalization to
as-yet-untaught vocal imitation problems, thus
affirming “loose” teaching techniques as a con-
tributor to wider generalization.
It will be appreciated that the literature of the
field contains very few examples of this type.
Researchers always have attempted to maintain
thorough control and careful restriction and
standardization of their teaching procedures,
primarily to allow easy subsequent interpretation
of the nature of their (successful) teaching tech-
niques. Yet the import of this technique is that
careful management of teaching techniques to a
precisely repetitive handful of stimuli or formats
may, in fact, correspondingly restrict generaliza-
tion of the lessons being learned. The ultimate
force of this recommendation remains to be seen.
What seems required is programmatic research
aimed at assessing the generalization character-
istics of lessons taught under careful, restricted
conditions, relative to similar lessons taught
under looser, more variable conditions.
6. Use Indiscriminable Contingencies
Intermittent schedules of reinforcement have
been shown repeatedly to be particularly resistant
to extinction, relative to continuous schedules
(Ferster and Skinner, 1957). Resistance to extinc-
tion may be regarded as a form of generaliza-
tion-generalization across time subsequent to
learning. The essential feature of intermittent
schedules may be their unpredictability-the
impossibility of discriminating reinforcement oc-
casions from nonreinforcement occasions until
after the fact. Thus, if contingencies of reinforce-
ment or punishment, or the setting events that
mark the presence or absence of those contingen-
cies, are made indiscriminable, then generaliza-
tion may well be observed.
In generalization, behavior occurs in settings in
which it will not be reinforced, just as it does in
settings in which it will be reinforced. Then, the
analogue to an intermittent schedule, extended
to settings, is a condition in which the subject
cannot discriminate in which settings a response
will be reinforced or not reinforced. A potential
approximation to such a condition was presented
in a study by Schwarz and Hawkins (1970).
In that experiment, the behavior of a sixth-grade
child was videotaped during math and spelling
classes. Later, after each school day had ended,
the child was shown the tape of the math class
and awarded reinforcers according to how often
good posture, absence of face-touching, and ap-
propriate voice-loudness were evident on that
tape. Although reinforcers were awarded only
on the basis of behaviors displayed during the
math class, desirable improvements were ob-
served during the spelling class as well. In that
reinforcement was delayed, this technique must
have made it difficult for the child to discriminate
in which class the behaviors were critical for
earning reinforcement. In other words, the gen-
eralized success of the study may well be at-
tributable to the partly indiscriminable nature
of the reinforcement contingency.
In general, it may be suspected that delayed
reinforcement often will have the advantage of
making the times and places in which the con-
tingency actually operates indiscriminable to the
subject. However, this advantage is an advantage,
by hypothesis, primarily for the goal of general-
ization. Otherwise, delayed reinforcement would
often be considered an inefficient technique, most
especially so for the initial development of a new
skill. Indeed, it may be exactly in the realm of
disadvantaged persons such as retarded children
that the usual inefficiency of delayed reinforce-
ment may seem the most severe handicap to its
use. However, its potential for fostering general-
ization suggests strongly that further research be
invested in this procedure (and any others that
make reinforcement contingencies properly in-
discriminable), to develop methods of applying
it perhaps only after the initial development of a
new skill, in the interests of promoting gen-
eralization.
Less than a dozen studies of generalization
interpretable as cases of indiscriminable rein-
forcement contingencies can be found in the
358
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
literature. Kazdin (1973), for example, showed
that teacher attention to one retarded child was
responded to by another child as if it were rein-
forcement for on-task behavior. Indeed, the
onlooker reacted with increased on-task behavior,
even when the teacher attended to the target
child’s off-task behavior. Possibly, prior experi-
ence with reinforcement contingent on the peers’
on-task behavior was sufficient to make all future
praise (contingent or not) discriminative for on-
task behavior. In other words, with sufficient
prior experience, the onlooker may have stopped
observing the contingency in which the rein-
forcement operated and responded only to the
reinforcing stimulus’ presence, making the con-
tingency functionally indiscriminable.
Generalization across subjects has similarly
been reported by Broden, Bruce, Mitchell, Carter,
and Hall (1970) in a classroom of culturally
disadvantaged children. When positive teacher
attention was given for one child’s attention to
academic work, the attending of a peer also in-
creased. This generalization was also a probable
function of the cueing properties of teacher rein-
forcement. However, the generalization observed
may also have been due to the manipulation of
natural social consequences received by the non-
target child through peer attention, or may have
been caused by a slight increase in the amount
of teacher attention to the nontarget child. These
effects deserve further systematic evaluation be-
cause of their relevance to the classroom prac-
tices of many teachers who strive to instruct
effectively but are unable to devote extensive
time to individual children.
Pendergrass (1972) showed that timeout could
be employed to decrease the destructive behavior
of two retarded children. With one subject, de-
creased rates were also observed with another
response (self-biting) which was sometimes
chained to the destructive behavior, but not
itself subjected to contingent timeout. However,
with the second subject, generalization to a sec-
ond response (autistic jerking movement) was
not observed. Analysis of the data revealed that
the two behaviors occurred simultaneously more
frequently with the subject with whom general-
ization was evidenced. Thus, with this subject,
punishment of the generalization response oc-
curred more frequently when destructive behav-
ior was punished. Unfortunately, it was not
determined how often the self-biting occurred
at times not simultaneous with the destructive
behavior. Therefore, the schedule of punishment
for self-biting was not established, i.e., whether
biting occurred only when destructive behavior
occurred and, therefore, always met the timeout
contingency. In this example (which was not
intended to be a careful analysis of the indis-
criminable reinforcement concept), not only was
the reinforcement contingency somewhat diffi-
cult to discriminate, but the two behaviors (de-
structive and self-destructive responses) also may
well have been only somewhat differentiated by
the subject.
Thus, preventing the ready discrimination of
contingencies is a generalization-programming
technique worthy of application and research.
Perhaps a random or haphazard delivery of re-
inforcement will (if luck or good judgement
prevails) function to modify targetted behavior
as well as behavior occurring in proximal time
or space. Even noncontingent reinforcement,
delivered at the outset of an intervention pro-
gram, may retard initial effects, but may work
to later advantage in generalization outcomes.
Finally, Kazdin and Polster (1973) showed
once again the usefulness of intermittent sched-
ules to delay subsequent extinction, relative to
continuous schedules of reinforcement. Social
interaction by two retardates was reinforced with
tokens. After establishing social interaction, one
subject received continuous reinforcement and
the other, intermittent reinforcement. During
extinction, only the subject who received inter-
mittent reinforcement continued to interact so-
cially with peers. However, these results may
simply reflect different extinction rates by two
subjects. The research was essentially a group
study where N 1. Adequate single-subject ex-
perimental control was lacking. Therefore, repli-
cation of these procedures would be desirable.
359
TREVOR F. STOKES and DONALD M. BAER
7. Program Common Stimuli
The passive approach to generalization de-
scribed earlier need not be a completely imprac-
tical one. If it is supposed that generalization
will occur, if only there are sufficient stimulus
components occurring in common in both the
training and generalization settings, then a rea-
sonably practical technique is to guarantee that
common and salient stimuli will be present in
both. One predictor of the salience of a stimulus
to be chosen for this role is its already established
function for other important behaviors of the
subject.
Children’s peers may represent peculiarly
suitable candidates for a stimulus common to
both training and generalization settings. An
example has been provided by Stokes and Baer
(1976). In their study, two children exhibiting
serious learning disabilities were recruited to
learn several word-recognition skills. One child
was taught these skills and concurrently shown
how to teach them to the other child, thus acting
as a peer-tutor. It was found that both children
reliably learned the skills, but that neither gen-
eralized them reliably or stably to somewhat dif-
ferent settings in which the other child usually
was absent. However, when the peer-tutor was
brought into those settings, then each child simi-
larly showed greatly increased and stabilized
generalization, even though there were never
any consequences for generalization. Similar
demonstrations have been provided by Johnston
and Johnston (1972) for the skill of speech
articulation. In that study, peers were rewarded
for correct monitoring of the subjects’ articula-
tion. Generalization of correct articulation oc-
curred only when the “monitoring” peer was
present. Unfortunately, it was not determined
clearly whether generalization was evidenced be-
cause of the discriminative properties of the
peers’ presence in both settings, or whether the
peers actively continued their monitoring in the
generalization setting.
Rincover and Koegel (1975) have also incor-
porated functional training stimuli into the gen-
eralization setting. Autistic children were re-
warded for imitation and instruction-following
in a training setting. Four of their 10 subjects
then did not exhibit generalization to a different
setting. Therefore, to program for this general-
ization, various aspects of the training procedures
(e.g., hand movement by therapist) or physical
training environment (e.g., table and chairs)
were systematically introduced to the generaliza-
tion setting to control generalization. Making
the experimental setting more closely resemble
the regular classroom (generalization setting)
was the programming procedure employed by
Koegel and Rincover (1974). They decreased
the teacher-to-student ratio in the experimental
setting from 1-to-i to 1-to-8. After these special
programming conditions were instituted, there
was increased performance on previously learned
and new behaviors learned in the classroom.
Walker and Buckley (1972) programmed gener-
alization of the effects of remedial training of
social and academic classroom behavior by estab-
lishing common stimuli between the experimen-
tal remedial classroom and the childrens’ regular
classroom by using the same academic materials
in both classrooms.
The literature of this field shows only a hand-
ful of studies deliberately making use of a com-
mon stimulus in both training and generalization
settings. Obviously, this is a technological dimen-
sion urgently in need of thorough development.
The use of peers as the common stimulus has
much to recommend it as a practical and natural
technique. To what extent peers need to partici-
pate in the training setting has not yet been
determined, although the absence of generaliza-
tion sometimes shown when peers are present
in nontraining settings, suggests that peers not
involved in a training setting will not likely
acquire sufficient discriminative function to con-
trol generalized responding. The use of common
physical stimuli is in even greater need of sys-
tematic research. A common stimulus approach
to generalization would encourage the incorpora-
tion into training settings of (naturally occur-
ring) physical stimuli that are frequently promi-
360
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
nent or functional in nontraining environments.
If these stimuli are well chosen, and can be made
functional and salient in the training procedures,
then generalization may thereby be programmed.
8. Mediate Generalization
Mediated generalization is well known as a
theoretical mechanism explaining generalization
of highly symbolic learnings (Cofer and Foley,
1942). In essence, it requires establishing a re-
sponse as part of the new learning that is likely
to be utilized in other problems as well, and will
constitute sufficient commonality between the
original learning and the new problem to result
in generalization. The most commonly used
mediator is language, apparently. However, the
deliberate application of language to accomplish
generalization is rare in the literature reviewed,
and correspondingly little is known about what
aspects of a language response make for best
mediation.
A sophisticated analysis of mediated general-
ization was conducted by Risley and Hart ( 1968),
who taught preschool children to report at the
end of play on their play-material choices. Men-
tion of a given choice was reinforced with snacks,
which produced increased mentioning of that
choice, but no change in the children’s actual
use of that play-material. When reinforcement
was restricted to true reports of play-material
choices, however, the children then changed their
play behavior (the next day) so that when
queried about that play, they could truthfully
report on their use of the specified play material
and earn reinforcement. Control over any choice
of play materials proved possible with this tech-
nique, which placed teaching contingencies not
on the play, but on a potential mediator (verbal
report) of that play behavior. That the reports
were only potential mediators was apparent in
the early stages of the study, when the children
readily reported (untruly) their use of play ma-
terials with no corresponding actual behavior
with those materials; at that stage, they earned
reinforcement even so. When the reinforcement
was restricted to true reports, the reports then
became mediators of play behavior. The lesson
generalized, such that after several sequential
experiences with these procedures, the children
then used reports about play as mediators, even
without reinforcement being restricted to only
true reports. Israel and O’Leary (1973) used
essentially the same paradigm to compare the
effects of having children report first what they
would play with later, in contrast to having them
report after play what they had done (the Risley
and Hart method); they found that reinforcing
postreports (when they were true) produced more
actual behavior (the next day) than reinforcing
the actual behavior when it agreed with the
earlier promise to perform it. This technique has
been extended subsequently to the case of social
skills, specifically sharing and praising between
young children (Rogers-Warren and Baer, 1976).
In that case, modelling was added, such that the
young children would have a thorough chance
to learn the nature of the relatively complex
responses at issue.
Obviously, verbal mediation can easily fail,
most especially in those situations in which the
verbal mediators have little meaning (i.e., tightly
restricted discriminative value) for the subjects.
It is commonplace to find children agreeing to a
query (e.g., about whether they praised or shared)
without any knowledge of what that must entail
in actual behavior. In the case of retarded chil-
dren, it might be particularly true that the ability
to use verbal responses as mediators would lag
behind that of normal children using the same
language responses. It may be reasonable to
suggest that in the development of language-
training programs, systematic attention be given
to the training of language skills sufficiently well
elaborated to function as mediators of nonverbal
behavior. Language is a response, of course; it is
also, equally obviously, a stimulus to the speaker
as well as to the listener. Thus, it meets perfectly
the logic of a salient common stimulus, to be
carried from any training setting to any general-
ization setting that the child may ever enter.
It also perfectly exemplifies the essence of the
361
TREVOR F. STOKES and DONALD M. BAER
active generalization approach recommended
earlier.
The mediation of generalization is also exem-
plified in the behavior analysis research of self-
control and self-management procedures. That
is, self-control procedures such as self-recording,
taught as part of an intervention program, may
function to promote generalization: such tech-
niques are easy to transport and may be em-
ployed readily to facilitate responding under
generalization conditions. Some research that has
employed any or all of the various tactics of self-
assessment, self-recording, self-determination of
reinforcement, and/or self-administration of re-
inforcement (Glynn, Thomas, and Shee, 1973),
has also displayed maintenance and generaliza-
tion of behavior change; however, the correla-
tion is not perfect.
Broden, Hall, and Mitts (1971) reported that
after an eighth-grade girl experienced self-
recording of study behavior and teacher praise
for improved study, her study behavior main-
tained at a high level for a recorded three weeks.
Although the individual effects of the self-record-
ing and praise were not determined, it is possible
that the self-recording procedures contributed
significantly to this generalization.
Drabman, Spitalnik, and O’Leary (1973)
taught disruptive children to match their teach-
er’s evaluations of their appropriate classroom
behavior. Tokens were dispensed for appropriate
classroom behavior and accurate matching. Dis-
ruptive classroom behavior decreased and was
maintained at low levels during a 12-day phase
when tokens were not dispensed for self-record-
ing accuracy. Generalized behavior improvement
was also evident during a 15-min no-token
period within the experimental hour. These
changes were possibly a function of the close
temporal proximity of the token periods, which
frequently immediately preceded or followed
the generalization period.
The role of self-control procedures in medi-
ating generalization has often been proposed.
Research would do well to examine the contri-
bution of self-control tactics in generalization
and maintenance, especially when formal inter-
vention manipulations have ceased to operate.
The effects of accompanying procedures should
be experimentally separated from self-control
effects, and the role of each of the various self-
control tactics (Glynn et al., 1973) should be
individually analyzed. The potential of self-
mediated generalization is apparent, but its im-
plications and practical utility still remain to be
assessed.
9. Train “To Generalize”
If generalization is considered as a response
itself, then a reinforcement contingency may be
placed on it, the same as with any other operant.
Informally, teachers often do this when they urge
a student who has been taught one example of
a general principle to “see” another example
as “the same thing”. (In principle, they are also
attempting to make use of language as a medi-
ator of generalization, relying on the supposed
characteristics of words like “same” to accom-
plish the generalization.) Common observation
suggests that the method often fails, and that
when it does succeed, little extrinsic reinforce-
ment is offered as a consequence. A more formal
example of the technique was seen in a study
by Goetz and Baer (1973), in which three pre-
school children were taught to generalize the
response of making block forms (in blockbuild-
ing play). Descriptive social reinforcement was
offered only for every different form the child
made, i.e., contingent on every first appearance
of any blockbuilding form within a session, but
not for any subsequent appearances of that form.
Thus, the child was rewarded for moving along
the generalization gradient underlying block-
form inventions, and never for staying at any
one point. In general, the technique succeeded, in
that the children steadily invented new block
forms while this contingency was in use. Thus,
there exists the possibility of programming rein-
forcement specifically, perhaps only, for move-
ment along the generalization gradient desired.
In largely unspecified ways, perhaps two other
studies exemplify this logic. Herbert and Baer
362
AN IMPLICIT TECHNOLOGY OF GENERALIZATION
(1972), for example, taught two mothers of
deviant children to give social reinforcement
only to their children’s appropriate behaviors,
but taught the mothers from the outset to judge
all behavior according to criteria they helped
to develop, rather than attack only a few speci-
fied child responses. These mothers learned a
generalized skill because they applied correct
social contingencies to categories that included
virtually all appropriate child behavior likely to
occur. Behavior changes were maintained at 20
and 24 weeks after completion of formal train-
ing. Similarly, Parsonson, Baer, and Baer (1974)
taught two teachers of retarded children to apply
generalized correct social contingencies to all
likely appropriate and inappropriate behaviors
of preschool retarded children. These effects were
also durable over several months. Apparently
generalized changes were produced in these stud-
ies by Herbert and Baer and Parsonson et al.,
but the extent and quality of that generalization
was not quantified as such.
Very few studies of this type are found in the
literature of applied behavior analysis, probably
because of the preference of behaviorists to con-
sider generalization as an outcome of behavioral
change, rather than as a behavior itself. Ulti-
mately, this behavioristic stance may well prove
durable and consistent. Meanwhile, it is worth
hypothesizing that “to generalize” may be treated
as if it were an operant response, and reinforced
as such, simply to see what useful results occur.
Consequently, one other technique deserves
discussion: the systematic use of instructions to
facilitate generalization. Thus, if a behavior is
taught and generalization is not displayed, the
least expensive of all techniques is to tell the
subject about the possibility of generalization
and then ask for it. If that generalization then
occurs, it may well be referred to as “instructed
generalization”. If the effects of that instruction
are themselves to become generalized (yielding
a “generalized generalizer”?), then reinforcement
of the generalized behavior, on a suitable sched-
ule, might well be prudent, at least at first. Per-
haps it is simply a very elaborate version of this
technique that is being practiced when a client
is taught to relax in a somewhat anxiety-arousing
situation, and reinforced (socially) for doing so;
and then is instructed to relax in a somewhat
more powerful anxiety-arousing situation, etc.
That is, systematic desensitization to a heirarchy
of stimuli may be analyzed as reinforcing not just
relaxation, but also generalization along an al-
ready constructed generalization gradient (cf.
Yates, 1970, p. 64ff.).
CONCLUSION
The structure of the generalization literature
and its implicit embryonic technology has been
summarized. The most frequent treatments of
generalization are also the least analytical-those
described as Train and Hope and Sequential
Modification. Included in the category of Train
and Hope were those studies where the potential
for generalization had been recognized, its pres-
ence or absence noted, but no particular effort
was expended to accomplish generalization. By
contrast, some limited programming was imple-
mented in the Sequential Modification research.
In these studies, given an absence of reliable
generalization, procedures to effect changes were
instituted directly in every nongeneralized condi-
tion. Although contributing significantly to our
understanding of the generalization of behavior-
change programs, these studies are not examples
of the programming of generalization.
Seven categories were discussed that directly
relate to a technology of generalization. First,
the potential role of Natural Maintaining Con-
tingencies was discussed. According to this tactic,
generalization may be programmed by suitable
trapping manipulations, where responses are in-
troduced to natural reinforcement communities
that refine and maintain those skills without
further therapeutic intervention. The Training
of Sufficient Exemplars is numerically the most
extensive area of programming: generalization
to untrained stimulus conditions and to un-
trained responses is programmed by the training
of sufficient exemplars of those stimulus condi-
363
TREVOR F. STOKES and DONALD M. BAER
tions or responses. Train Loosely is a program-
ming technique in which training is conducted
with relatively little control over the stimuli and
responses involved, and generalization is thereby
enhanced. To invoke the tactic of Indiscrimi-
nable Contingencies, the contingencies of re-
inforcement or punishment, or the setting events
marking the presence or absence of those con-
tingencies, are deliberately made less predictable,
so that it becomes difficult to discriminate rein-
forcement occasions from nonreinforcement oc-
casions. Common Stimuli may be employed in
generalization programming by incorporating
into training settings social and physical stimuli
that are salient in generalization settings, and
that can be made to assume functional or obvious
roles in the training setting. Mediated General-
ization requires establishing a response as part
of new learning that is likely to be utilized in
other problems as well, and thus result in gener-
alization. The final technique, Train “To Gener-
alize”, involves reinforcing generalization itself
as if it were an explicit behavior. These program-
ming techniques should be researched further
and usefully applied in programs in which gen-
eralization is relevant.
This list of generalized tactics conceals within
itself a much smaller list of specific tactics. These
specific tactics can be presented as a small pic-
ture of the generalization technology in its pres-
ent most pragmatic form, not only to offer a set
of what-to-do possibilities, but also to emphasize
how very small the current technology is and
how much development it requires:
1. Look for a response that enters a natural
community; in particular, teach subjects to
cue their potential natural communities to
reinforce their desirable behaviors.
2. Keep training more exemplars; in particu-
lar, diversify them.
3. Loosen experimental control over the stim-
uli and responses involved in training; in
particular, train different examples concur-
rently, and vary instructions, SDs, social
reinforcers, and backup reinforcers.
4. Make unclear the limits of training contin-
gencies; in particular, conceal, when pos-
sible, the point at which those contingen-
cies stop operating, possibly by delayed
reinforcement.
5. Use stimuli that are likely to be found in
generalization settings in training settings
as well; in particular, use peers as tutors.
6. Reinforce accurate self-reports of desirable
behavior; apply self-recording and self-
reinforcement techniques whenever possi-
ble.
7. When generalizations occur, reinforce at
least some of them at least sometimes, as
if “to generalize” were an operant response
class.
There are many examples of generalization
and nongeneralization of behavior changes. The
fact that apparently unprogrammed generaliza-
tion has been demonstrated (particularly across
time) is valuable. It heralds a practicality de-
sirable in any technology of behavior: that every
one of a subjects’ responses, in every setting,
with every experimenter, and at every conceiv-
able time does not need to meet specific treat-
ment consequences for that program to accom-
plish and maintain important behavior changes.
Alternatively, the fact that generalization is not
always observed and durability is not inevitable
means that there is hope for behavior modifica-
tion: behavior can always be modified and
changes are not necessarily irreversible. That is,
once behavior has been modified, there is still
the possibility of reconditioning if changes are
undesirable or inappropriate, or if new inappro-
priate behaviors develop. If both appropriate
and inappropriate behavior changes were to per-
sist and prove irreversible, it would presage the
demise of any technology of behavioral inter-
vention. This occurrence of nongeneralization
also underlines the need to develop a technology
of generalization, so that programming will be
a fundamental component of any procedures
when durability and generalization of behavior
changes are desirable.
364
AN IMPLICIT TECHNOLOGY OF GENERALIZATION 365
A most important question is prompted by an
examination of the previous research: does gen-
eralization ever occur without programming?
In the above research, generalization was not al-
ways evident. In fact, the highly discriminated
effects of some operant programs were some-
times documented. We have seen that the behav-
ior analysis literature describes various programs
that have shown that generalization may be pro-
moted or programmed by particular intervention
techniques. It seems reasonable to suggest, then,
that many of the successful Train-and-Hope
examples cited above may be undiagnosed in-
stances of informal or inadvertent programming
techniques, rather than an absence of program-
ming techniques. It cannot be discounted, and is
indeed possible, that these generalization exam-
ples may simply depict successful programmed
generalization, and neither the authors of those
papers, nor the present authors have recognized
or hypothesized the programming technique.
Perhaps the most pragmatic orientation for
behavior analysts is to assume that generalization
does not occur except through some form of pro-
gramming. Thus, the best course of action seems
to be that of systematic measurement and analy-
sis of variables that may have been functional in
any apparently unprogrammed generalization.
These analyses should be included as part of all
research where “unprogrammed” generalized be-
havior changes are evidenced, for discriminated
behavior changes may well be the rule if gen-
eralization is not specifically programmed. Such
analyses, if successful, will contribute to a tech-
nology of generalization by further developing
the understanding of critical variables that func-
tion to produce generalization, and would further
emphasize the need always to be concerned not
only with generalization issues, but with the vari-
ous techniques that accomplish generalization.
In other words, behavioral research and prac-
tice should act as if there were no such animal
as “free” generalization-as if generalization
never occurs “naturally”, but always requires
programming. Then, “programmed generaliza-
tion” is essentially a redundant term, and snould
be descriptive only of the active regard of re-
searchers and practitioners.
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