1. What is Root Cause Analysis?
Root Cause Analysis (RCA) is tracing a problem to its origin.
RCA arose in the 1950s as a formal study of the limitations in a launch and rocket design by the National Aviation and Space Administration (NASA).
The US Department of Health and Human Services, Patient Safety Network-Root Cause Analysis, states, “RCA is a structured method used to analyze serious adverse events.”
RCA follows a pre-specified protocol that begins with data collection, questioning, and participant interviews, it prevents treating the symptoms rather than the problem.
RCA is now widely used in medicine, space, industry, engineering, science and education. James J. Rooney and Lee N. Vanden Heuvel state, “School improvement efforts are targeted more accurately because RCA is a tool designed to help identify not only the what and how an even occurred, but why it happened. Only when you can identify why a failure occurred, will you be able to specify workable corrective measures that prevent future events of the same type occurring.”

2. Essential Question
Why is root cause analysis a key to effective instructional leadership?

3. Methods for Conducting Root Cause Analysis
The “Drilling Down” Process
The Five Why’s
The Case in Point Protocol
ORID

4. Technical vs. Adaptive Challenges
An adaptive challenge is a particular kind of problem solving—where the gap cannot be closed by the application of current know-how or routine behavior.

5. Technical and Adaptive Work5

6. The Classic Error
Treating adaptive challenges as if they were technical problems

7. WHY? Why are there so many spiders? Why are there so many Gnats?
Why is the Washington Monument disintegrating?
Because of harsh cleaning chemicals.
Why do we use harsh chemicals?
To clean off pigeon poop.
Why are there so many pigeons?
They like to eat spiders and there are a lot of spiders on the monument.
WHY?
Why are there so many spiders?
They like to eat gnats and there are lots of gnats.
Why are there so many Gnats?
They are attracted to the lights turned on at dusk.

8. Solution?
Turn on the lights later!

9. The NSL Problem

10. NSL HSA scores have declined over the past 3 years…

11. Factors Impacting Student Achievement
What are factors that teachers might say impacted student achievement?
Participants will respond in a dedicated text box in the webinar room.

12. Potential Causes Student population has changed Staff turnover
Class size
Students have not mastered the English language
Student attendance
Students are not learning the curriculum
Lack of parental support
Students are not studying enough for the test
Students are not doing homework

13. WHY? Why is the content underemphasized?
Second semester teachers are responsible for the review.
Why are the review materials inadequate?
First semester content is underemphasized.
Why aren’t students studying enough for the test?
Review materials were inadequate.
Why are the test scores declining?
Students aren’t studying enough for the test.
Why is the content underemphasized?
Second semester teachers are responsible for the review.
Why are the review materials inadequate?
First semester content is underemphasized.
Why aren’t students studying enough for the test?
Review materials were inadequate.
Why are the test scores declining?
Students aren’t studying enough for the test.
WHY?

14. Orange Grove Elementary (1)

15. Orange Grove Elementary (2)

16. Audience Participation: What Do These Data Communicate?
What do these data seem to tell us?
What do these data not tell us?
What else would we need to know?
Can a student achievement action plan be devised from just these data?
Participants will respond in a dedicated text box in the webinar room. 16

18. Root Cause
The most basic, underlying, specific reason for the presence of an effect or result.
Root cause analysis is the relentless questioning of the status quo — where staff can seek new teaching methods and test their theories in a culture of respect and safety.
Root Causes do not blame.
They don’t blame the students, staff, home lives, or any other factors.
The causes are important and worth our effort
We can address many, but not all, root causes
Root Cause Analysis and the Drilling Down Process is a collective inquiry and learning. The leader and staff realize that it is the staff that often have the answers to our root cause analysis questions and can help develop instructional solutions.

19. The “Drilling Down” Process
Start with important summative results and identify significant student achievement needs.
Form a team to ask questions about what more you want to know.
Collect data from multiple sources to answer the questions.
Discuss the data to determine findings.
Decide if the findings are root causes.
Create the team’s plan based on the root causes.
Developing questions collaboratively is also a part of the Adaptive Leadership change model. It recognizes the need for stakeholders to find the answers and to dig deeply into the issues.

20. What Questions would staff generate to identify a critical student achievement need at Orange Grove?
Participants will respond in a dedicated text box in the webinar room.

21. Questions Staff Might Ask
Do the students receive their accommodations?
Do they understand the content?
Is their reading ability affecting their ability to succeed in math?
Do their parents help with homework?
What interventions do they receive?
Are students receiving on-grade-level instruction?

22. Why is it important to examine data collaboratively?
Reduces “hunches” and replaces the bandwagon approach with a cause and effect process
Aligns analysis with desired results
Allows many voices to be heard
Can identify root causes
Directs the allocation of resources
Monitors progress
Builds professional learning communities 22

23. So, in a nutshell… These data are insufficient.
These data do not indicate a root cause.
One should not use one single source of data to develop an action plan.
Do not guess at causes.

24. What Is a Root Cause?
The most basic, underlying, specific reason for the presence of an effect or result. 24

25. Cause
Effect 25

26. Cause and Effect Causes determine “effects.”
To change “effects/results,” a change in causes must occur.
Data must be used to discover causes. 26 26

27. The Drilling Down Process
Student
Achievement
Need
Collect
Data
Formulate
Finding(s)
Create
Action Plan
Is the
Finding a
Root Cause?
Develop
Questions
Yes No
The Drilling Down Process 36 27

28. Leading Your Team: Asking Questions
“Think about the identified student achievement need. What do you want to know about it?” Write each question on a separate sticky note. They can then place the sticky on the “Framework for Data Collection.”
Put up four charts (don’t show the titles until after the stickies are written) and have participants post questions on the appropriate charts.

29. Framework for Data Collection (1)
Student Achievement
School Capacity
Instructional Quality
Teachers’ Knowledge, Skills, Dispositions
Principal’s Leadership
Professional Community
Program Coherence
Technical Resources
Curriculum
Instruction
Assessment
School Policies, Programs, and Procedures
Adapted from Newman, King & Youngs, 2000. 29

30. Sample Questions
Student Achievement: What are the concepts/skills in which each individual student is deficient?
Assessment: How is formative assessment used diagnostically for reteaching?
Programs: How effective is the current program for reading intervention? Other programs?
Instruction: What evidence do we have that reteaching is a regular practice?
School Capacity: Is staff knowledge sufficient or do we need staff development to solve the student achievement problem? 30

31. Formulating Findings
Findings are statements of information that are gleaned from discussing the data.
Staff is given time to answer the questions.
Findings describe only the current state.
Findings are not assumptions, they do not jump to conclusions, and they are not interventions. 31 31

32. The Drilling Down Process
Student
Achievement
Need
Formulate
Finding(s)
Develop
Questions
The Drilling Down Process
Collect
Data
Formulate
Finding(s)
Is the
Finding a
Root Cause? No
Yes
Create
Action Plan 32

33. Narrowing the Root Causes
Teams look at the findings
As teams listen discuss their possible root causes, all other teams will cross out the same or similar root causes.
Teams take turns until all the charted root causes are identified.

34. Inter-relationship Diagram
The inter-relationship diagram:
Is used to focus decisions
Determines if one cause has impact on another
Is a forced choice exercise
Identifies “power” among factors
e.g., “tap root” among root causes
Considers all thinking; may reveal “issues” 34 34

35. Interrelationship DiagramB E C D

36. Thank you for your participation!
Teresa will ask attendees to complete the Stakeholder Feedback Survey online and explain how attendees may obtain a copy of the webinar session. The link to the survey will be posted on the webinar screen.