A Strategy to Determine Source of Noncompliance Issues and Improve Services Trainer: Marilyn Johnson, PhD March 17, 2011 Improvement of Student Performance Using Root Cause Analysis Adapted from Presentation by Data Accountability Center.

BIE Compliance Monitoring – shift from Compliance to Performance Outcomes 3/17/11 2  Shift from Compliance to Performance Outcomes (IDEA 2004).  OSEP Memo Ensure correction of each individual case of noncompliance. No further recurrence of noncompliance findings from corrections made, and no recurrence in review of updated data (files). 100% compliance.

3/17/11 3 IF you do the same thing over and over, and expect to get different results,... It might be time to try another approach. Let’s get to the Root Cause.

Definitions Root Cause – Deepest underlying cause(s) of positive or negative symptoms within any process that, if resolved, would eliminate or substantially reduce the symptom. Root Cause Analysis (RCA) – a tool used both reactively, to investigate an adverse event that already has occurred, and proactively, to analyze and improve processes and systems before they break down (Preuss, 2003). Data Analysis – the process of gathering, reviewing, and evaluating data. Symptoms – the noticeable gap between expectations and reality; the “red flag” that draws attention to the issue. 3/21/11 4

Why Use Root Cause Analysis (RCA) ? Root Cause Analysis: Helps identify the problem or challenge Helps resolve the Problem Eliminates Patching Conserves Resources Facilitates Discussion (leading to solutions) Provides Rationale for Strategy Selection 3/17/11 5

Determining Root Cause What is the underlying cause(s) of symptoms, that if resolved, would eliminate or reduce the symptom? Examples for Determining Root Cause (select one): The Five Whys. A process to seek root cause by asking “why” five times in succession. System Planning Process. Problem solving approach asks 4 questions: Where are we now? Where are we going? How will we get there? What is holding us back? 3/17/11 6

Root Cause Analysis - Process Step 1Organize TeamStep 2Define Problem or IssueStep 3Conduct Data AnalysisStep 4Determine Root Cause(s)Step 5Improvement PlanningStep 6Evaluate Progress 3/17/11 7

Step 1Organize Team 3/17/11 8 Team MembersDuties Principal Special Education Teacher(s) Education Line Officer Regular Education Teacher (s) Support and Related Services Staff Data Person Identify Problem or Challenge (does it interfere with Special Education Service Delivery?) Review Data Analyze Data (generate questions). Determine baseline levels Determine assessment of progress

Step 2Define the Problem State Problem clearly. Example: School did not meet the BIE target for Indicator 5a (Educational Environment, inside general education 80% or more of the day. 3/17/11 9

Step 3Conduct Data Analysis Examine & Discuss Data Assessments Achievement data Classroom observations, record reviews, and other data Conduct Data Analysis – View objectively Patterns Trends Variability Brainstorm - discussion 3/17/11 10

Step 4Determine Root Cause(s) Strategies for Determining Root Cause: (select one) The Five Whys. A process to seek root cause by asking “why” five times in succession. System Planning Process. Problem solving approach asks 4 questions: Where are we now? Where are we going? How will we get there? What is holding us back? 3/17/11 11

The Five Whys 3/17/11 12 Asking the question ‘Why’ 5 times, will lead you to the root cause of the problem. Steps: 1. Write down the specific problem. Writing the problem helps team focus on the same problem. 2. Ask why the problem happens and write down the answer. Repeat 5 times – 5 ‘Whys’, until team is in agreement that problem is identified. See web resource:

5 Whys: Define the Problem–Why is it happening? Problem: Trevor is not making sufficient progress in reading to reach expected goal. 3/17/11 13 Why The pace of reading instruction is too fast. Why No other reading group available at his instructional need level. Why No other teaching staff available. Why The number of reading groups needed requires all teaching staff. Why (insert response)

5 Whys: Define the Problem – Why is it happening? 3/17/11 14 Why PLAAFP ( present level of academic achievement and functional performance ) statement – is inadequate. Why Limited awareness of information that would constitute key info. in a PLAAFP statement. Why Few examples of a positive and useful statement. Why Sound PLAAFP statement requires review of pertinent sources of info. (evaluation, progress…) Why Time constraints. Need administrative support to develop sound statements.

System Planning Process 3/17/11 15 System Planning Process. Problem solving approach asks 4 questions:  Where are we now?  Where are we going?  How will we get there?  What is holding us back?

Problem Solving Approach 3/17/11 16 What are the facts (current data)? What worked well? What can be improved? Where are we now? What do we want to achieve (goal)? What is the expected outcome? Where are we going? What steps must we take to ensure we reach the outcome? Who are the key members of team (teachers, staff, administrators)? How will we get there? Is there support for improvement planning and implementation? What roadblocks must we overcome in order to reach the expected outcome? What is holding us back?

Problem Solving Approach (practice) 3/17/ of 20 IEPs for HS Students w Disabilities lack Postsecondary Goals Where are we now? Postsecondary Goal Statements must reflect goals after leaving HS. Where are we going? Involve the Student. Career Interest Inventory. Student interests.... How will we get there? Making time for student to explore options after leaving HS. What is holding us back?

Step 4Determine Root Cause(s) Indicators that you have found Root Cause: Agreement on a root cause. Cause is logical, makes sense, and provides clarity to the problem. Cause is something you can influence and control If cause is resolved, there is realistic hope that the problem can be reduced or prevented in the future. 3/17/11 18

Step 5Improvement Planning Improvement plan reflects correction of noncompliance issues and sustained practices. The Improvement Plan should include: Logical link between root cause and improvement activities; Evidence-based practices; Short- and long-term outcomes, timelines and action steps for improvement activities. Personnel (and partners) identified to develop, implement, monitor, and evaluate the improvement activity. Collect Data to evaluate outcomes of improvement activities. 3/17/11 19

Step 6Evaluate Progress Why evaluate progress? Gives school a process for gathering, analyzing and using data. Allows school to determine whether it is effectively carrying out planned activities and the extent to which it is achieving its short-term and long-term outcomes. 3/17/11 20

Resources Determine the Root Cause: 5 Whys. Retrieved on 7/23/10 from OSEP Timely Correction Memorandum. Preuss, P. G. (2003). Root Cause Analysis: School Leader’s Guide to Using Data to Dissolve Problems. Larchmont, NY: Eye on Education. 3/17/11 21

5 Whys: Define the Problem – Why is it happening? 3/17/11 22 Why