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

2. BIE Compliance Monitoring – shift from Compliance to Performance Outcomes
Shift from Compliance to Performance Outcomes (IDEA 2004).
OSEP Memo 09-02
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.
IDEA 2004 requires that correction of noncompliance findings must be coupled with sustaining improved practices. It is not enough to simply make the 1 time correction of noncompliance findings. Once corrections are made, we must sustain the practices, so that the noncompliance findings do not recur.
OSEP issued a memo specific to these issues - Memo The memo reiterates the steps a State must take to report correction of all noncompliance issues. Further, the state must demonstrate that systemic corrections of noncompliance have been made, thereby demonstrating that sustained practices are being implemented.
Going forward, there will be no further recurrence of noncompliance issues, thereby achieving 100% compliance.
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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.
The BIE will continue to conduct Compliance Monitoring, and will also review the extent of improved student performance outcomes.
Rather than using the same strategies and practices and getting the same results, it is time that we dig deeper to review and analyze the effectiveness of our efforts. I believe that most of you have the knowledge and skills to achieve the expected outcomes, but perhaps application may not be optimal.
One approach that has been used in industry and is recommended by OSEP is – determining the root cause.
By getting to the root cause of a problem or challenge, we can better determine if our best efforts are actually going to help us achieve the expected outcome.
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4. 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.
Before we proceed further, let’s review some definitions.
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5. Why Use Root Cause Analysis (RCA)?
Helps identify the problem or challenge
Helps resolve the Problem
Eliminates Patching
Conserves Resources
Facilitates Discussion (leading to solutions)
Provides Rationale for Strategy Selection
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6. 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?
The process of determining root cause was used most notably in the business sector – Toyota, in particular used the system in their production system. The process is being used in other sectors as well.
We are providing two strategies for determining root cause. You may also use other approaches (see reference at end of presentation).
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7. Root Cause Analysis - Process
Step 1 Organize Team
Step 2 Define Problem or Issue
Step 3 Conduct Data Analysis
Step 4 Determine Root Cause(s)
Step 5 Improvement Planning
Step 6 Evaluate Progress
These 6 steps are fundamental to the process of Root Cause Analysis. If you look up other resources, you may find some models with a few additional steps.
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8. Step 1 Organize Team Team Members Duties 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
The team is comprised of a variety of people focused on a range of tasks
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9. Step 2 Define 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.
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10. Step 3 Conduct 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
In the current situation, most of the issues or concerns have surfaced from the review of IEP files. Some items lack consistency in services to students with disabilities.
For example:
absence of a behavior intervention plan (BIP) esp. when a student may exhibit behaviors that interfere with learning or present safety concerns.
limited information in the PLAAFP (present levels of academic achievement and functional performance).
absence of relevant postsecondary goals. Goal may reflect one that should be conducted while still in high school rather than one that reflects a goals after leaving high school.
If one is using root cause analysis for concerns re: achievement gaps, you will be reviewing assessment data and progress information.
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11. Step 4 Determine 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?
The two approaches are ones that can be readily used and implemented. Select one that best fits your team. If you would like to venture on use of other approaches, you may refer to the reference on Root Cause listed at the end of this presentation.
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12. The Five Whys
Asking the question ‘Why’ 5 times, will lead you to the root cause of the problem.
Steps:
Write down the specific problem. Writing the problem helps team focus on the same problem.
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:
If the final step describes a condition that is not within the control or influence of the school, go back to the prior step.
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13. 5 Whys: Define the Problem–Why is it happening
5 Whys: Define the Problem–Why is it happening? Problem: Trevor is not making sufficient progress in reading to reach expected goal.
Why
The pace of reading instruction is too fast.
No other reading group available at his instructional need level.
No other teaching staff available.
The number of reading groups needed requires all teaching staff.
(insert response)
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14. 5 Whys: Define the Problem – Why is it happening?
PLAAFP (present level of academic achievement and functional performance) statement – is inadequate.
Limited awareness of information that would constitute key info. in a PLAAFP statement.
Few examples of a positive and useful statement.
Sound PLAAFP statement requires review of pertinent sources of info. (evaluation, progress…)
Time constraints. Need administrative support to develop sound statements.
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15. System Planning Process
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?
This process requires more engagement from the team and more discussion.
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16. Problem Solving Approach
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?
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17. Problem Solving Approach (practice)
18 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?
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18. Step 4 Determine 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.
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19. Step 5 Improvement 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.
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20. Step 6 Evaluate 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.
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21. Resources
Determine the Root Cause: 5 Whys. Retrieved on 7/23/10 from 49
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.
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22. 5 Whys: Define the Problem – Why is it happening?
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