1. NEEDS ASSESSMENT Facilitation Notes:
Transition slide for next step in the process.

2. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
The purpose of the needs assessment is to determine “why” gaps based on data exist by conducting a root cause analysis.
Facilitator Talking Points:
Often times when a problem is discovered, an action or intervention is immediately applied to the problem in an attempt to resolve it.
The danger in action planning before drilling down to the root cause may only allow for the treatment of the symptoms of a bigger problem.
Recall that the data analysis process is an attempt to identify WHAT the problem is. The jump from WHAT the problem is to HOW it can be fixed overlooks the most important step, which is determining WHY the problem exists.
In order to align actions with areas of need, the root cause must be identified.
Facilitation Notes:
Remind participants that this section moves into the needs assessment (green quadrant) of the continuous improvement process

3. taisresources.net http://www.taisresources.net/needs-assessment/
Facilitator Talking Points:
As you watch Dr. Heritage, consider the process your campus/district currently uses to narrow the focus in order to achieve desired results.
Listen for the key points Dr. Heritage outlines that are important to consider as we transition from data analysis to needs assessment.
Play video
Coming back from video:
How can data support the needs assessment process?
Data corroborates our hunches and helps to narrow the focus and dig deeper by conducting a root cause analysis.
Facilitation Notes:
Go to select continuous improvement process and click on needs assessment

4. Steps for Needs Assessment Work
Conduct a root cause analysis
Review additional data sources
Select the root cause(s)
Facilitator Talking Points:
The following is a list of high level steps that can be taken when navigating the needs assessment process.
As we go through this section, keep in mind the ways your campus/district may already practice examining the WHY of this work.
These steps will be modeled in a way to be replicated with your teams to continue the work.
1. Once problem statements have been developed and prioritized, the next step is to determine WHY the problem(s) exists by conducting a root cause analysis. This is a three-step process that we will review later in this section.
2. As teams move through each step of the process, additional data may need to be gathered and/or reviewed to help corroborate/substantiate suggested reasons why a problem exists.
Lastly, teams will narrow down possible causes to each problem statement and arrive at a consensus on possible root cause(s).
Facilitation Notes:
Remind groups that this is a suggested list of high level steps.
As we go through this section, have teams think about the ways campuses/districts may already practice examining the WHY of this work.
Share that these steps will be modeled in a way for teams to be able to replicate the work with their teams.

5. WHY? Facilitator Talking Points:
The purpose of the root cause analysis is to identify possible reasons WHY the problem is occurring. Digging beneath the surface of the common assumptions that are often made when attempting to fix the problems we see. Understanding the root cause will lead to a more effective plan that addresses the real issues and is not based on assumptions.
Once we have analyzed the data and gained a clear understanding of what the data says through the development of problem statements, we can effectively begin to drill into WHY these problems exist. The needs assessment, or root cause analysis, will help us understand WHY the problems, or gaps in data, exist.
The root cause is significant because it helps answer WHY the problem (or gap based on data) exists. Determining a reason WHY a gap exists, especially one that isn’t an obvious reason why, gives us insight as to HOW best to address the problem in the planning phase of the process.
The root cause is a hypothesis for the problem statement. This hypothesis sets the context for us to treat the deeper issues, below the surface of the problem statement. This hypothesis is a data grounded, proposed reason why this problem is occurring. However, there are no absolutes when it comes to determining whether or not the “right” root cause has been identified.
The root cause analysis process allows one to drill deep below the surface reasons why. Drilling deep enough helps better identify the root cause, thus allowing us to select the best possible strategy later in the process.
Facilitator Note:
Acknowledge those who may already work with a root cause analysis process.

6. WHY PROBLEM STATEMENT ROOT CAUSE
ELLs have a 50% pass rate in reading due to a lack of parental involvement
Lack of teacher understanding for the instructional strategies needed to meet linguistic needs of ELLs
WHY
Facilitator Talking Points:
If the problem statement we identified was “ELLs have a 50% pass rate in reading” once we conducted our root cause analysis process, we determined a possible reason why the ELL passing rate is this low.
In this example, after a root cause analysis was conducted it was determined that the ELL passing rate is 50% because of a “Lack of teacher understanding for instructional strategies needed to meet linguistic needs of ELLs”
Notice there is no call to action, proposed solutions, interventions or data listed within this reason. In this case, once a closer look was taken into why, it was revealed that it’s possibly due to a lack of knowledge and skills.
Now, let’s talk through how we got there.

7. Steps for Needs Assessment Work
Conduct a root cause analysis
Facilitator Talking Points:
The first step of the needs assessment process is to conduct a root cause analysis.

8. Steps for Needs Assessment Work
Conduct a root cause analysis
ACTION 1.1: Conduct the 10, 5, 5 process
ACTION 1.2: Use the TWO CIRCLES process
ACTION 1.3: Conduct the 5 WHYS process
Facilitator Talking Points:
There are 3 actions teams can take to address the first step. We’ll go through each action and allow time to practice.
By the end of this section, a root cause will be identified and recorded on team posters.

9. ROOT CAUSE ANALYSIS PROCESS
PROBLEM STATEMENT
ACTION 1:
10, 5, 5
ACTION 2:
2 Circles
ACTION 3:
5 Why
ROOT CAUSE
Facilitator Talking Points:
The root cause analysis process is designed to explore the reason why the problem(s) exists.
Therefore, starting with the problem statement, our first ACTION uses the 10, 5, 5 process to generate a possible list of reasons WHY the problem exists. As we brainstorm this list we must use the data that we collected to validate whether this possible list is simply unsubstantiated claims or potential root causes.
Our second ACTION is to use the 2 circle process to narrow our list to a set of potential root causes that are within our realm of control.
Finally we use the 5 WHY process to dig as deeply as possible to identify the root cause that the team feels most certain is creating the problem on our campus.
For those of you who aren’t familiar with a root cause analysis, we have a suggested process and associated protocol to share with you. Beginning with the problem statement, the following root cause analysis can be utilized to help drill down into why the gaps in data are occurring.
As we discuss each phase of the process, time will be dedicated for you to practice the protocol starting with the problem statement you developed previously.
Refer to the Root Cause Analysis handout. Inside the packets are the materials you can use to work through this process.
Facilitation Notes:
When PSPs aren’t present or able to be there, consider having teams available to facilitate this process during the training.
Make note to participants that this is a suggested root cause analysis process
Handout: 10_Root Cause Analysis

10. Facilitator Talking Points:
Before we practice this process, it important to understand that this process is designed to be a funnel.
We start with a broad understanding of the problem based on the comprehensive data analysis and we gradually and intentionally narrow the focus of our conversation to a previously undiscovered underlying issue that is contributing to the problem identified.

11. ROOT CAUSE ANALYSIS PROCESS
PROBLEM STATEMENT
ACTION 1:
10, 5, 5
ACTION 2:
2 Circles
ACTION 3:
5 Why
ROOT CAUSE
Facilitator Talking Points:
The first phase of this analysis is called the 10, 5, 5
10, 5, 5---This is a group brainstorming process meant to begin conversations around the possible reasons WHY the problems or gaps exist.
This process establishes multiple hypothesis to a given problem statement.
The purpose of this activity is to stretch brainstorming beyond the surface level or common reasons “why.”
In a minute, starting with the drafted problem statement written on your poster, you’re going to be given time individually to come up with a list of reasons why the problem is occurring AND THEN YOU WILL BE GIVEN TIME TO WORK WHOLE GROUP TO COMBINE YOUR POSSIBLE REASONS WHY THE GAP EXISTS.
There are no wrong answers so record whatever possible reasons come to mind that problem is occurring. However, it’s important to note that data will need to be referenced in order to avoid subjectivity and opinion based reasons moving forward.
Handout 8: Root Cause Analysis activity

12. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Facilitator Talking Points:
You have a handout in the root cause analysis process packet that looks like this.
Please do not work ahead of the group. It’s imperative to following the protocol as facilitated in order to get the most out of the process.

13. 10 5 5 REASONS WHY MORE MORE Facilitator Talking Points:
Explain and follow activity steps below.
Activity Steps:
Step 1: Allow teams 5-7 minutes to come up with 10 reasons why the problem exists individually (don’t advance the slides until it’s time for the next step).
Let teams know when time is up and if they haven’t gotten to 10 reasons it’s ok. If they feel compelled to write more than 10 reasons, that’s ok too.
Step 2: Click to next step when time is up. Now come up with 5 more reasons why the problem exists.
Mention to them that it may be a little more difficult to come up with 5 more reasons. Encourage them to stretch their thinking and try to come with 5 more. 3-5 minutes
Step 3: Click to next step. Now come up with 5 more reasons why the problem exists. This may be getting more difficult which is the intention. Allow 3 more minutes for this part.
Acknowledge with teams that this may be hard to do after coming up with 15 reasons. The intention is to  move past the obvious reasons and possible “finger pointing”  that takes place when we think about why something isn’t working.  Encourage them to do their best, there isn’t a right or wrong.
Now, allowing teams to work whole group, have them share their reasons with one another and record the reasons on one piece of paper.
Step 4: Ask the participants to take note of the reasons for which they currently have data to support their belief and which one’s need additional data. Facilitation Notes:
Explain and follow activity steps
Emphasize the importance of following the timing within the protocol

14. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Facilitator Talking Points:
Your handout is probably starting to look something like this
Next, we need to narrow down the list. In order to do so we will get into the next phase called “2 Circles.”
Facilitation Notes:
Ask teams if it became more challenging to come up with responses as time lapsed.
Encourage them and let them know this is supposed to get more difficult. The idea is to dig deep.

15. ROOT CAUSE ANALYSIS PROCESS
PROBLEM STATEMENT
ACTION 1:
10, 5, 5
ACTION 2:
2 Circles
ACTION 3:
5 Why
ROOT CAUSE
Facilitator Talking Points:
Often times we expend energy in solving issues that are beyond our direct control but perhaps we still have influence over.
In order to make urgent changes that have a strong impact, we want to focus our attention on what we can directly control.
So, in this next phase, you will sort through the list of 20 reasons and begin to decide which of those ideas can we control and which might we only have an influence over.

16. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Facilitator Talking Points: Instructions for 2 Circles
For this activity, assign a scribe to record responses.
Have each team member share one response and move to the next team member while the scribe records responses (click for animation).
The scribe will place check marks next to repeated responses (click for animation).
The team needs to swiftly decide which column or circle the reason belongs in: Control or Influence.
To reiterate, “control” is defined by how directly a campus can act based on that reason.
For example, if transportation schedule was a reason, in most cases, a campus is unable to make a change to the bus schedule without having to make some calls or have a meeting with district level team members.
However, in some cases, campuses do have a direct impact on making that kinds of change without having to schedule meetings with outside team members. These decisions can take place within the walls of the campus.
Either graphic organizer will work. It’s up to you/team to decide.
You may also use one of the 10, 5, 5, lists recorded from a team member and place an “I” or “C” next to each.
BEFORE MOVING ON Ask the participants to take note of the reasons for which they currently have data to support their belief and which one’s need additional data.
Facilitator Note:
Take minutes for this phase. Check in to see if more time can be allotted. Get as far as you can in this activity.

17. TEAM CONSENSUS Facilitator Talking Points:
Now that we have narrowed the list by determining what you think is in “control” vs “influence,” the next step is to select 1 reason listed in your circle of control.
To do this, the team will need to come to a consensus as to which reason they would like to take through the next phase of the needs assessment process (5 Whys, which we’ll discuss in a minute).
Possible practice is to utilize “hot dots” which is a voting protocol that can be easily and quickly used when faced with coming to a consensus. Have each team member use a sticker, post it, marker etc...and mark their top 2-3 possible reasons why the problem exists.
The one with the most “dots” or indicators will represent the team consensus.
An important point to make here is that while it most likely isn’t available to you today, it’s important to verify these reasons with data. This will help in deciding which reason to go with.
Consider which of those reasons listed in the circle of control would have a high impact if you tried to resolve it.
Also consider if there is data backing up this reason why or if this is just a stated opinion or feeling.
Please know that the time provided today isn’t enough time to thoroughly conduct this analysis, however the intention is to begin to model the process so that you can take this back to your team when you have the right stakeholders, time, and data with you.
Take 3-5 minutes and vote as a team on which reason listed within your control you’d like to move on with.
Write that consensus at the bottom of your handout.

18. ROOT CAUSE ANALYSIS PROCESS
PROBLEM STATEMENT
ACTION 1:
10, 5, 5
ACTION 2:
2 Circles
ACTION 3:
5 Whys
ROOT CAUSE
Facilitator Talking Points:
The last phase to this process is called 5 Whys.
Once a consensus has been reached, the 5 Whys will provide an opportunity for teams to dig deeper into why the problem is occurring.
The last answer to the last question becomes the possible root cause.
Know that 5 is not a magic number, it’s possible your team may want to explore up to 7 “whys” and in other cases, only 3.
Let’s revisit our example...

19. Problem Statement: ELLs have a 50% pass rate in reading
Team Consensus: school is boring to the students
Why are the students bored at school?
Because the students aren’t engage
Why aren’t the students engaged?
Because the aren’t connecting with the material
Why aren’t the students connecting with the material?
Facilitator Talking Points:
In the example, the problem statement started with “ELLs have a 50% pass rate in reading.”
The consensus was to look at “School is boring.” (Click)
To begin the 5 Whys process, take the possible reason the team had a consensus on and turn it into the first question, “Why is school boring?”
In the handout provided, the scribe can record responses. (Click)
Once an answer is settled upon, write it down on the handout and turn the response into question 2. (Click)
Each answer to “Why” becomes the next question until the team feels like they have landed on a root cause that
Is still within the team’s control
Has some sort of data to verify it’s a cause, again the purpose is to avoid opinions and subjectivity
Is not stated in a way that takes action or describes how to solve the problem.
It’s also important to avoid finger-pointing and blaming. It’s important to stay in the circle of control.
Facilitation Notes:
This slide is to model the first questions of this process

20. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Facilitator Talking Points:
This process is lengthy and should generate a lot of discussion.
We’ll start with giving teams minutes to conduct the 5 Whys and check in along the way.
If your team gets stuck, determine if you have moved your way out of the “circle of control.”
It’s possible that your final root cause may appear vastly different than where your team started. This is ok. This is a result of digging deeper and going beyond the obvious reason of why the gap exists.
Record the root cause on the poster at your table.

21. Steps for Needs Assessment Work
Conduct a root cause analysis
Review additional data sources
ACTION 2.1: corroborate possible root causes with data
ACTION 2.2: Eliminate hypotheses not supported by data and revisit brainstormed list
Facilitator Talking Points:
The actions around step two (which should be considered throughout the needs assessment process) are to review additional data.
Once a root cause has been selected through the root cause process, determine if there are data to support any evidence of the hypothesis.
Data will help reduce generalizations and personal opinions when hypothesizing WHY. Therefore if any possible reasons WHY aren’t supported by data, it would be beneficial for the team to revisit the brainstormed list of possible reasons WHY with data in mind.
Possible example:
1. Why are the students bored at school?
--because classes are boring for the students.
Data to corroborate this answer: when conducting walkthroughs, data was collected indicating a high number of disengaged students. When interviewing a focus group of students regarding disengagement, students shared that they felt bored in class.
2. Why are students bored with their classes?
--because students aren't connecting with the material.
Data to corroborate this answer: When discussing the issue of student disengagement, many teachers felt that students were not connecting with the materials being taught.

22. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Facilitator Talking Points:
Remember the many data sources available as you ensure the root cause being considered is supported by data.
The CSF data sources document was introduced during the data analysis section of the training.
Use the completed CSF data sources document to ensure all data sources that may support the proposed root cause are considered.

23. Implementation & Monitoring
Data Analysis
Needs Assessment
Improvement Planning
Implementation & Monitoring
Critical Success Factors
CSF 1:
Academic Performance
CSF 2:
Use of Quality Data to Dive Instruction
CSF 3: Leadership Effectiveness
CSF 4: Increase Learning Time
CSF 5: Family and Community Engagement
CSF 6:
School Climate
CSF 7: Teacher Quality
List all data sources used for each CSF
NOTES
Facilitator Talking Points:
Provided to you in a handout form is a blank tool for your team to talk through what kind of data you already collect and analyze around the CSFs.
Consider, does any of this data provide information or insight into the root cause identified?
Not only does this data help with the root cause identification, but it will become important during the improvement planning development. Specifically, when it comes to determining the data that will be used to track quarterly interventions.
(Time permitting, otherwise, it’s a tool to take back to their campuses and walk through with their PSPs)
Facilitation Notes:
Optional handout: 12_CSF Placemat

24. Steps for Needs Assessment Work
Conduct a root cause analysis
Review additional data sources
Select the root cause(s)
ACTION 3.1: Review data if necessary
ACTION 3.2: Come to consensus on the root cause
Facilitator Talking Points:
Step three will lead to the selection of the root cause for each problem statement.
It’s important to remember that there are no absolutes in identifying the root cause, but a hypothesis should be supported with data.

25. Problem Statement: ELLs have a 50% pass rate in reading
Potential Root Cause: Teachers lack of understanding of instructional strategies needed to meet the linguistic needs of ELLs.
Supporting Data: Classroom walkthrough data and teacher interviews reveal an absence of instructional strategies to support ELLs.
Facilitator Talking Points:
Before finalizing the root cause, ensure it is supported by data. In this example, the root cause is supported by classroom walkthrough data and teacher interviews.

26. NEEDS ASSESSMENT QUALITY CHECK
The root cause(s) identified:
WHY the problem(s) is/are occurring
Is/are validated by data
Do(es) not contain solutions or suggested actions
Is/are focused on what the team can control
Facilitator Talking Points:
Remember that to keep the following list in mind when arriving at the root cause.
This quality check list can be used to determine as a team if the root cause “passes”

27. TARGETED IMPROVEMENT TEMPLATE
Average parent attendance/participation at
our quarterly parent night is 25%
ELLs have a 50% pass rate in reading
Teachers lack of understanding the instructional strategies needed to meet the linguistic needs of ELLs
There is a lack of a streamlined communication process and protocol with our external providers
Facilitator Talking Points:
Another quality check that is built into the template is located on the Needs Assessment tab of the template.
Problem statements carry over from the data tab. Once the root cause is entered, be sure to read aloud the problem statement and root cause all at once.
When read together, the way the root cause is written should sound like it’s answering why the problem exists, such as this example here.
Read aloud to the group, specifically using the “because of” language connecting the problem statement and root cause.
Facilitation Notes:

28. TARGETED IMPROVEMENT TEMPLATE
Facilitator Talking Points:
Access the targeted improvement plan template.
Familiarize yourselves with the flow of the tool and if the root cause is ready to be entered, do so.
It is possible, the team will need to revise the root causes developed today so placing it in the tool is not required at this moment.

29. NEEDS ASSESSMENT NEXT STEPS
Identify necessary stakeholders to be a part of the needs assessment process
Through the process, determine what data is needed for corroboration/validation of the root cause
Revisit for resources on the needs assessment process
Facilitator Talking Points:
Review next steps.
Optional Activity: If there is time, allow for teams to take a closer look at the root cause analysis protocol.
Review the data for one student outcome that interests the team. What conditions in the school or district environment might be influencing this outcome?
Develop some hypotheses regarding possible causation. What data could you collect to test these hypotheses?
Create a brief action plan to collect that data and come back together to determine if you have appropriately identified the root cause(s) and narrowed the focus of improvement efforts.
Facilitation Notes:
Review the tips with the group and provide time for questions.

30. BREAK
Facilitation Notes:
10 min break