Unified Improvement
Planning:
Root Cause Analysis
(School Level)
Hosted by: Colorado Department of Education
Provided by : Center for Transforming Learning and
Teaching
Introductions
Center for Transforming
Learning and Teaching
Julie Oxenford-O’Brian
Mary Beth Romke
Colorado Department of
Education
Christina Larson
Erin Loften
Lisa Medler
Session Purpose
Ensure planning teams are
prepared to identify root causes
of priority performance
challenges as part of unified
improvement planning.
Introductions
Share:
– Name, Job Title, School/District
– Your role in supporting unified improvement
planning within the district
– Your most burning question about root cause
analysis
Write your question on a sticky note.
Materials
The materials used during this session
were developed in partnership with the
Center for Transforming Learning and
Teaching in the School of Education and
Human Development at the University
of Colorado Denver.
Norms
The standards of behavior by
which we agree to operate
while we are engaged in
learning together.
Session Outcomes
Engage in handson learning
activities and
dialogue with
colleagues.
Access additional
resources.
Complete followup activities.
• Evaluate notable trend statements
and priority performance challenges
using the UIP quality criteria.
• Describe how data other than
performance data is used in root
cause analysis.
• Inventory locally available data.
• Identify root cause(s) of at least one
priority performance challenge.
• Plan for completing root cause
analysis.
• Plan for finalizing the data narrative.
Agenda
Role of Root
Cause
Analysis
Priority
Performance
Challenges
Identify Root
Causes
More than
Performance
Data
Finalize the
Data
Narrative
Unified Improvement Planning Processes
Preparing
to Plan
Gather and
Organize
Data
Section III:
Data
Narrative
Review
Performance
Summary
UIP Handbook,
p. 3
Section IV:
Target Setting
Describe
Notable
Trends
Ongoing:
Progress
Monitoring
Section IV:
Action Planning
Prioritize
Performance
Challenges
Identify
Root
Causes
Set
Performance
Targets
Identify Major
Improvement
Strategies
Identify
Interim
Measures
Identify
Implementation
Benchmarks
Colorado Unified Planning Template
Major Sections:
I. Summary Information about the school or
District
II. Improvement Plan Information
III.Narrative on Data Analysis and Root
Cause Identification
IV.Action Plan(s)
Section I
Summary
Information
about the
School/District
Section II Section III
Additional
Information
about the
School/
District
Section IV
Progress Monitoring of
Prior Year’s Targets
School Target Setting Form
 Priority Performance
Challenges
Data Worksheet
 Annual Performance Targets
 Notable Trends
(2 years)
 Priority Performance  Interim Measures
Challenges
 Major Improvement
 Root Causes
Strategies
Improvement
Data Narrative
Plan
Information  Description of
School/District and
Process for Data
Contact
Analysis
Information
 Review Current
Performance
 Trend Analysis
 Priority Performance
Challenges
 Root Causes
Action Planning Form
 Major Improvement
Strategies
 Associated Root Causes
 Accountability Provision
 Action Steps
 Timeline
 Key People
 Resources
 Implementation Benchmarks
 Status of Action Steps
Capturing Notes Today
• Capture notes for the UIP Data Narrative in the
Data Narrative Outline and Data Analysis
Worksheet
– Use your partially completed version
– Blank versions available in the Root Cause Analysis
Toolkit
• Plan for completing the Data Narrative using the
Planning Root Cause Analysis note catcher
(Toolkit, p. 7).
• Select a recorder and facilitator for your group.
Section III, Step Three: Determine
Root Causes
• Read Step Four: Determine Root Causes
(in UIP Handbook, p. 18-20)
• Consider the following questions:
– Why is it important to identify root causes?
– How will you know when you have identified a
root cause?
The Role of Root Cause
Analysis
Root Cause Analysis
Action Plan
Priority
Performance Challenges
Root Causes are. . .
• Statements describing the deepest underlying
cause, or causes, of performance challenges.
• Causes that if dissolved would result in
elimination, or substantial reduction of the
performance challenge(s).
• Why we see our current pattern of performance.
• Things we can change and need to change
• The focus of our major improvement strategies.
• About adult action.
Non-examples of Root Causes
• What is NOT a root cause?
– Student attributes (poverty level)
– Student motivation
• With your table, brainstorm a few ideas of
explanations that might appear to be root
causes but don’t qualify.
Background: Root Cause Analysis
• Why root causes?
• Getting past the “symptoms” to an explanation
that is worth taking action on.
• Read: “Root Cause Basics” (Root Cause
Analysis Tools, p. 11-16)
• With your team, create a 1 sentence description
of “Root Cause” that you will use.
Building Background on Root
Cause Analysis
• Turn to the Planning for Root Cause
Analysis note catcher (Toolkit, p. 7)
• Make notes about how you will build
background knowledge of your team on
root cause analysis.
– Who will help with this?
– When will this occur?
– What materials will you use?
Agenda
Role of Root
Cause
Analysis
Priority
Performance
Challenges
Identify Root
Causes
More than
Performance
Data
Finalize the
Data
Narrative
Root Causes and Priority
Performance Challenges
• Root causes are always focused on at
least one priority performance challenge.
• They explain why we see the patterns of
performance that we see.
• So. . . priority performance challenges
must be clearly identified first.
What are “high quality” Notable Trends
and Priority Performance Challenges
• Work with a partner. Take out UIP Quality
Criteria. Consider:
– Data Narrative Criteria (definition and first seven
bullets) and for Title I schools (last bullet) p. 3
– Trends (definition and all bullets) p. 4
– Priority Performance Challenges (definition and all
bullets) p. 4
• Discuss: What should our Notable Trends and
Priority Performance Challenges include?
Effective Feedback
Clear, descriptive, criterion-based,
and indicate:
√ how their response differed from that reflected
in the UIP quality criteria, and
√ how they can move forward (what they might
do next).
Provide feedback about Priority
Performance Challenges
• Choose a partner table team or individual.
• Exchange trend statements and priority performance
challenges.
• Consider:
– To what degree does the partial draft of their data narrative
(trend statements and priority performance challenges) meet the
relevant quality criteria?
– How could they improve their plan so far?
• Provide feedback to your partner.
Responding to Feedback
• Consider the feedback you received
– How will you respond to the feedback you
received? What will you do next to
incorporate this feedback into your data
narrative?
– How did it go providing feedback about
another district’s plan?
– What did you learn?
• Large-group share out
Agenda
Role of Root
Cause
Analysis
Priority
Performance
Challenges
Identify Root
Causes
More than
Performance
Data
Finalize the
Data
Narrative
If you’re only looking at Student
Learning, you’re missing 65% of
the data.
– Victoria Bernhardt
Multiple measures must be
considered and used to understand
the multifaceted world of learning from
the perspective of everyone involved.
-Victoria Bernhardt
What types of data do we have?
• Demographics
• Perceptions
• Student Learning/ Performance
• School Processes
Demographics
Enrollment, Attendance,
Race/Ethnicity, Gender,
Drop-Out Rate,
Language Proficiency,
Mobility
Victoria Bernhardt
Perceptions
Perceptions of Learning
Environment, Values
and Beliefs, Attitudes,
Observations
Victoria Bernhardt
Student Learning
(performance)
State-Administered
Tests, District Interim
Tests, Common crossclassroom assessment,
End of unit assessment
Victoria Bernhardt
School Processes
Records of School
Programs and
Processes,
Classroom Records,
Classroom
Observations
Victoria Bernhardt
Demographics
School
Processes
Provides information that
allows for the
identification of actions,
processes, programs that
best meet the needs of all
students.
Student Learning
Perceptions
Victoria Bernhardt
Activity: Data Questions
1. Refer to the Data Intersection
Questions worksheet.
2. Consider the questions listed. For
each, identify what different types of
data would be needed.
3. Identify 2 additional questions at your
table. As a group identify what data
would be needed.
Activity: Data Intersections
• Refer to the Data Intersections
Activity worksheet
• Could you use this activity with
your staff to get them thinking
about what data they need for their
root cause analysis work?
Using “other types” of data
• Why is it important to use data other than
student performance data in planning?
• For what step(s) in unified improvement
planning would data other than student
learning/performance data be used?
Unified Improvement
Planning
Types of data (intersections)
needed
Review current performance and prior
performance targets or goals
Analyze data to identify notable trends
Performance data (intersected with
demographic data)
Performance data (intersected with
demographic data)
Performance data (intersected with
demographic data)
Process and perception data
(intersected with demographic data)
Performance data (intersected with
demographic data) and state and local
expectations
Performance data (intersected with
demographic data)
Prioritize performance challenges
Identify root causes of performance
challenges
Establish annual performance targets
Identify measures and monitor the
impact of action steps on student
performance.
Identify implementation benchmarks & Process and perception data
monitor implementation of action steps. (intersected with demographic data)
Consider Other Resources
Available from CDE
• Turn to “Resources Available from CDE to
Support Root Cause Analysis” (Toolkit p. 33)
• Have you used any of these resources in your
district or school?
• Do any of these tools address topics likely to be
important in your district or school?
• Discuss: How could you use these resources to
collect data to support your root cause analysis?
More details on other data
provided by CDE
• Equitable Distribution of Teachers
• TELL Survey Data
• School Site Team Reviews
CDE’s History on Equitable Distribution
of Teachers Analysis
• All districts expected to update
Equitable Distribution of
Teachers analysis through
consolidated application.
Moving to UIP now
• CDE would prepare reports for
districts with higher gaps.
All required data is
now available on
SchoolView.org.
NCLB Teacher Gap Analysis In Colorado
According to NCLB, the state is required to ensure that poor and minority children are not taught by inexperienced,
unqualified, or out-of-field teachers at higher rates than their white or more affluent peers. This report is for informational
purposes and indicates that your district has a teacher gap (as measured by the percent of classrooms taught by a highly
qualified teacher or the average years of teaching experience) in relation to the state average, between low and high
poverty schools and/or low and high minority schools.
District Name
LAMAR RE-2
Gap
Highly Qualified Data
All schools in the state w ere divided into four quartiles- the 1st quartile being the schools w ith the low est percentage of students eligible for free
or reduced lunch, and the 4th being the highest. Districts may not have schools in each of the quartiles depending on the district's size and
demographics.
Percent of teachers HQ
Poverty
State
District
96.98%
100.00%
4 (High Poverty)
97.58%
81.40%
3
97.97%
NA
2
98.02%
1 (Low Poverty) NA
Poverty
Gap between 1 (low) and 4 (high) NA
NA
Gap between 1 (low) and 3
NA
Gap between 2 and 4 (high)
HQ equity gap
State
District
1.05%
0.44%
0.99%
All schools in the state w ere divided into four quartiles- the 1st quartile being the schools w ith the low est percentage of non-w hite students, and
the 4th being the highest. Districts may not have schools in each of the quartiles depending on the district's size and demographics.
Percent of teachers HQ
Minority
State
District
97.11%
100.00%
4 (High Minority)
97.77%
100.00%
3
98.13%
81.40%
2
97.67%
1 (Low Minority) NA
Minority
Gap between 1 (low) and 4 (high) NA
NA
Gap between 1 (low) and 3
Gap between 2 and 4 (high)
HQ equity gap
State
District
0.56%
-0.10%
1.02%
-18.60%
Highlighted fields indicate a gap larger than the state average
Highlighted fields indicates a gap greater than 2%.
Gap
Teacher Experience Data
Teacher experience data reflects the percent of teachers w ho have been teaching for less than 3 years. This is the same data reported in the
School Accountability Reports.
Percent of teachers with less
than 3 years of experience
State
District
29.30%
19.09%
4 (High Poverty)
24.36%
0.00%
3
20.17%
NA
2
19.97%
1 (Low Poverty) NA
Percent of teachers with less
than 3 years of experience
State
District
-9.33%
Gap between 1 (low) and 4 (high) NA
-4.39%
NA
Gap between 1 (low) and 3
-9.13%
NA
Gap between 2 and 4 (high)
Percent of teachers with less
than 3 years of experience
State
District
30.15%
14.29%
4 (High Minority)
22.22%
19.79%
3
19.07%
0.00%
2
21.03%
1 (Low Minority) NA
Percent of teachers with less
than 3 years of experience
State
District
-9.11%
Gap between 1 (low) and 4 (high) NA
-1.19%
NA
Gap between 1 (low) and 3
-11.07%
-14.29%
Gap between 2 and 4 (high)
Poverty
Minority
Poverty
Minority
Highlighted fields indicate a gap larger than the state average
ESEA Definition of Equitable Distribution of
Teachers
ESEA requires that LEAs “ensure…that low-income
students and minority students are not taught at higher
rates than other students by unqualified, out-of-field, or
inexperienced teachers.”
(NCLB, Sec 1112(c)(1)(L))
Colorado’s Approach to EDT
Limitations
Colorado’s Enhancements
Required Metrics
• Highly qualified requirements
• Add SPF overall growth rating
largely attained (no real gaps)
for performance measure
• Biased against novice teachers
• Performance neutral
Ease of Analysis
• Many variables to consider at • Interactive quadrant display in
once. It is confusing.
SchoolView.
• Isolated analysis leads to little • Inclusion in UIP to provide
action.
relevance with improvement
planning.
SchoolView: Understanding the EDT Graph
1
1
5
6
2
The horizontal blue line
represents the state’s mean
percentage of novice
teachers.
3
The red line represents the
average percentage of novice
teachers within your district.
4
The x-axis represents
percentage of free and
reduced lunch students, a
proxy for poverty.
5
The vertical red line
represents the top quartile for
poverty for secondary
schools.
3
2
The y-axis represents
percentage of novice
teachers, those less than
three years of total teaching
experience.
4
6
The dots represent schools.
The colors represent the
overall growth rating on SPF.
Understanding Each Quadrant
Schools within this
quadrant have a
high percentage of
novice teachers
and are serving a
lower percentage
of FRL students.
Schools within this
quadrant have a
low percentage of
novice teachers
and are serving a
lower percentage
of FRL students.
4
1
3
2
Schools within this
quadrant have a
high percentage of
novice teachers
and are serving a
high percentage of
FRL students. The
graph focuses
attention on this
quadrant.
Schools within this
quadrant have a
low percentage of
novice teachers
and are serving a
high percentage of
FRL students.
Equitable Distribution of
Teachers Practice
• Turn to: Interpreting Equitable Distribution of
Teachers Data Practice (Toolkit, p. 23)
• The first two pages are a reminder about how
to interpret this data.
• Work with a partner to complete the Practice
questions.
• The graphic will be on the next slide (in color),
so wait for it 
What about small districts?
Recommendations for Small
Districts
• The EDT analysis is still required, but may not
always be as enlightening as for larger
districts.
• Look at the distribution by school level.
• Compare average years of staff experience to
the state.
What is expected by CDE?
• Update of EDT analysis included in UIP Data
Narrative each year.
• If no problems, just provide a brief summary to
indicate that it was considered.
• If problems are identified, include:
– Detail in data narrative (as part of root cause analysis)
– Provide strategies that will address the issue (e.g., using
Title IIA funds to strengthen induction program) in Action
Plan.
TELL Survey Results
• Annual statewide survey of school-based staff
(teachers and leaders) on teaching and learning
conditions in their school
• Schools and districts that get at least 50%
participation rates can access their own data.
• Completed January/February timeframe.
• See “Accessing TELL Colorado Survey Data”
job aide for more information.
External Reviews
• School-Support Team (SST) reviews based on
eight standards (see SST Rubric Summary,
Root Cause Analysis Tools, p. 31)
• Results should inform root cause analysis.
• Guiding question: How do the findings of the
external review help explain our performance
challenge(s)?
Integrating External Review Results
into Root Cause Analysis
When to consider External Review Results. . .
1. Engage in initial root cause analysis with your
planning team.
2. Check your thinking against the SST Review
findings.
3. Use data collected by the SST to validate root
causes.
What other data do we have? Will we
have? To support Root Cause Analysis
• Consider the “Suggested Data” table in the UIP
Handbook (p. 7).
• Highlight bullets that represent: demographic
data, process data, and perception data that is
currently available in your school or district.
Inventory of “other” data sources
• Consider “Inventory of Data Sources other than
Student Performance Data” (Toolkit, p. 35)
• What elements are included in this inventory?
– Review the “legend”
– Do you have any questions about the elements?
• Identify at least 2 data sources that you would
include in this inventory (complete 2 rows).
• This inventory should be completed in advance
of engaging in root cause analysis.
Accessing and Organizing Other Data
• Turn to the Planning for Root Cause Analysis
note catcher (Toolkit, p. 7)
• Make notes about how you will inventory, access
and use data, other than performance data, as
part of engaging in root cause analysis.
– How will the inventory of “other” data be
completed?
– What data will your team review prior to root
cause analysis?
Agenda
Role of Root
Cause
Analysis
Priority
Performance
Challenges
Identify Root
Causes
More than
Performance
Data
Finalize the
Data
Narrative
UIP Data Narrative Processes
Review
Current
Performance
Describe
Notable
Trends
Prioritize
Performance
Challenges
Identify
Root
Causes
Causal Theories
• Independently read “Identifying Causal
Theories” from Got Data? Now What? (Toolkit,
p. 37)
• With a partner, answer these questions:
– What is a causal theory?
– How does a causal theory relate to root causes?
– How could you categorize “causal theories” ?
How to engage in Root Cause Analysis
• Stay open to multiple possibilities.
• Keep multiple voices in the conversations.
• Generate possible theories of causation
(testable explanations).
• Dig deeper to organize and integrate our
thoughts.
• Identify additional data sources to confirm causal
theories.
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data
Focus of Root Cause Analysis
• Root Cause analysis is always focused on
student performance.
• It answers the question: What adult actions
explain the student performance that we see?
• Root cause analysis can focus on positive or
negative trends.
• In this case the focus is on “performance
challenges”.
Select a Focus for Today
• Review your priority performance
challenges.
• Select one on which to focus as we practice
root causes analysis today.
• Share your priority performance challenge.
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data.
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data
Matching Process & Perception Data to
Priority Performance Challenges
• Use the completed “Inventory of Data Other than
Performance Data”.
• For each priority performance challenge, identify
what other data might be reviewed prior to
and/or used as part of root cause analysis.
• Organize these data and provide reports to your
planning team.
• Today. . . Skip this step.
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data
Brainstorming Rules
1. The more ideas, the better.
2. Build one idea upon another.
3. Wacky ideas are okay.
4. Don’t evaluate ideas.
Jones, M. (1998). “The Thinkers Toolkit: 14 Powerful Techniques for
Problem Solving”. New York: Three Rivers Press.
Two different approaches
• Circle Map
– Brainstorm causes of performance
challenges.
– Group like causes together to form
categories.
• Tree (fish) Diagram
– Start with “typical” categories of root causes of
performance challenges.
– Brainstorm within these categories.
What data did
we consider?
All possible explanations
of performance challenge
go in the outer circle
Possible
Explanation
Performance
Challenge
Possible
Explanation
School Process
Data
What
process(es)
did we use?
Possible
Explanation
Possible
Explanation
Perception Data
Circle map used with permission from Thinking Maps, Inc. Specific training required before implementing Thinking Maps.
For more information, visit www.thinkingmaps.com.
Circle Map, part 1: Brainstorm Causes of Performance
Challenges
Review “Circle Map Directions” (Toolkit, p. 47.)
1. Clarify what will focus your brainstorming (priority
performance challenge)
2. Set up the Circle Map (see diagram p. 45)
3. Create the frame (identify what data you reviewed in
preparation for engaging in root cause analysis)
4. Brainstorm about the possible causes of your priority
performance challenge
–
Individuals capture one idea per sticky note
–
Place sticky notes on the circle map.
Circle Map, Part 2: Categorize your Causes
5. Sort ideas into natural themes by asking: what ideas are
similar?
– Work in silence with each person moving sticky notes around on
the circle map. Keep moving notes until a consensus is reached.
– Discuss the groupings.
– If some ideas don’t fit into any theme, leave as a stand alone idea.
– If some fit more than one, create a copy and put in both groups.
6. Create a short 3-5 word description for each grouping.
Tree Diagram: Brainstorm Causes within
Categories
Review Tree Diagram Directions (Toolkit, p. 43).
1. Clarify the question that will focus the brainstorming.
2. Determine pre-defined root cause categories, consider:
– Levels of Root Causes (Preuss) --Toolkit, p. 49
– Research-Based Factors (Marzano) – Toolkit, p. 51.
– Causal Categories (Wellman and Lipton) – Toolkit, p. 53
– SST Rubric Summary – Toolkit, p. 31.
3. Set up the “Tree Diagram”.
4. Brainstorm within categories (using sticky notes)
5. Summarize within each category.
Practice Brainstorming, Categorizing, and Summarizing
1. Select an approach (Tree Diagram or Circle Map).
2. Recorders, draw a Tree Diagram or Circle Map on a flip
chart page.
3. Use the directions for that approach (Tree Diagram
Directions, Toolkit p. 43 or Circle Map Directions, Toolkit
p. 47).
4. Focused by your “priority performance challenge”,
brainstorm, categorize and summarize your explanations
for why the school/district has that pattern of performance.
5. Capture summary statements on the flip chart.
Learning from Colleagues
• Gallery Walk.
• With your team, view each of the flip chart pages
where other groups have captured their
brainstorming, categorizing and summarizing of
explanations of priority performance challenges.
• Return to your table and consider:
– What did we see in the work of the other groups?
– Is there anything we would refine about our current
explanations?
Completing Root Causes Analysis
• Take out the Planning for Root Cause Analysis (Toolkit,
p. 7).
• Make notes about how you will generate explanations
(brainstorm), and categorize and summarize
explanations for you priority performance challenges.
– What approach will you use (tree/fish, circle map,
other)?
– What is the current status of this work?
– Who will participate? When?
– What materials/Tools will you use?
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize.
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data
Activity: Narrowing the Explanations
1.
Take out “Criteria for Narrowing Explanations” and follow the
directions (Root Cause Analysis Toolkit, p. 55)
2.
Eliminate (cross-out or take sticky notes off) any explanation
which the school cannot influence or control (e.g. student
characteristics).
3.
Eliminate additional explanations which fail to meet the following
criteria:
•
It derives logically from the data
•
It is an explanation, not just an opinion
•
It is plausible, it could be verified or tested
4.
Prioritize your remaining explanations (getting down to at most
two), and circle your priority explanations.
5.
Clarify the language, if needed, for your priority explanations.
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize.
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data
How to deepen thinking. . .
• Two tools to team deepen thinking about
causes.
– The Five Why’s (Root Cause Identification Form)
– Multi-Flow Map (cause effect)
• Both based on getting beyond symptoms to
deeper causes of performance challenges.
Activity: Deepening to Root Causes
(The Five Why’s)
1.
Use The Five Why’s -- Root Cause Identification Form,
(Root Cause Analysis Tools, p. 57)
2.
Choose someone to be the recorder and to write one
priority explanation at the top of the worksheet.
3.
Begin the process of asking “why” and identifying
“because” for your explanation, following the directions
on the form.
4.
Circle your “root cause” explanation(s).
Getting to Root Cause
Because
Why?
Because
Why?
Because
Why?
Priority
Explanation
Priority
Performance
Challenge
Because
Why?
Because
Why?
Because
Why?
Priority
Explanation
Root Cause Analysis Toolkit, p. 59
Multi-flow map used with permission from Thinking Maps, Inc. Specific training required before implementing Thinking
Maps. For more information, visit www.thinkingmaps.com.
Completing Root Causes Analysis
• Take out the Planning for Root Cause Analysis (Toolkit,
p. 7).
• Make notes about how you will:
– Narrow and prioritize explanations and,
– Deepen thinking to get to root causes.
• Consider
– What is the current status of this work?
– Who will participate? When?
– What materials/Tools will you use?
Steps in Root Cause Analysis
1.
Focus on a performance challenge (or closely related
performance challenges).
2.
Consider other types of data
3.
Generate explanations (brainstorm)
4.
Categorize/ classify explanations
5.
Narrow (eliminate explanations over which you have
no control) and prioritize.
6.
Deepen thinking to get to a “root” cause
7.
Validate with other data.
What additional information
do we need to validate our “root
cause” explanations?
Validate Root Causes (example)
Priority Performance Challenge: The %proficient/adv students in reading has
been substantially above state expectations in 3rd grade but substantially below
stable (54%, 56%, 52%) in 4th and 5th for the past three years.
Possible Root
Causes
Questions to
Explore
Data Sources
Validation
K-3 is using new
teaching strategies,
4-5 are not.
What strategies are
primary vs.
intermediate teachers
using ?
Curriculum
materials and
Instructional plans
for each grade.
K-3 strategies
are different from
4-5.
Less time is given
to direct reading
instruction in 4-5
How much time is
devoted to reading in
primary v. intermediate
grades?
Daily schedule in
each grade level.
No evidence that
less time is
devoted to
reading in 4-5.
More ELL students
in grades 4 & 5
Is there a difference
between ELL and other
students scores?
NWEA results
disaggregated by
ELL status.
ELL student
performance in
reading is higher.
Activity: Validating Our Theories
1.
Use the “Validate Root Causes” job aide to identify
additional data needed to verify your possible root
causes (Toolkit, p. 61).
2.
Identify at least two additional data sources that could
help.
3.
On a flip chart page, capture your performance
challenge, possible root cause, questions it raises, and
two additional sources of data you will use to validate
your root cause.
4.
Share your example.
5.
Follow-up: Look at this additional data to see if your
root cause is validated.
Data Wall Chart
Priority Performance Challenge:
Possible Root Cause:
Questions to explore:
Data sources:
Did we get to root causes?
1. Ask the key questions for identifying whether a cause is a
root cause:
– Would the problem have occurred if the cause had not been
present?
– Will the problem reoccur if the cause is corrected or dissolved?
– Will correction of dissolution of the cause lead to similar events?
2. Make any final revisions to your root cause explanation
as needed.
Preuss, P. (2003). Root Cause Analysis: School Leaders Guide to Using Data to
Dissolve Problems, Larchmont, NY: Eye on Education.
Quality Criteria for Unified Improvement
Planning
•
Review: UIP Quality Criteria, Section I, Data
Narrative and Section III, Root Cause
Analysis
•
Consider:
– To what degree does your root cause meet the
quality criteria?
– How could your root cause be improved?
Capture your Work
• Take out your Data Analysis Worksheet (use the
one with your trends and priority performance
challenges completed).
• For the priority performance challenge that was
your focus today, identify a “root cause”.
• Make notes in the Data Narrative Outline about:
– root causes of priority performance challenges,
– how the root cause was identified,
– additional data that will be used to validate the root
cause.
Tools to Support Root Cause Analysis
Steps in Root Cause
Analysis:
Tools to use for different
steps:
1.
Generating explanations
(brainstorm)
1.
Tree Diagram (and directions)
Circle Map (and directions)
2.
Categorize/ classify
explanations
2.
Levels of Root Causes (Preuss)
Causal Categories (Wellman)
Marzano Factors
3.
Narrow (and prioritize)
3.
Narrowing Explanations
4.
Get to root cause
4.
The Five Why’s
Deepening Thinking Multi-flow
5.
Validate with other data
5.
Validate Root Causes
Completing Root Causes Analysis
• Take out the Planning for Root Cause Analysis
(Toolkit, p. 7).
• Make notes about what you have completed so
far (current status).
• Make notes about who will participate, when and
what tools you will use to complete your root
cause analysis with your planning team.
Agenda
Role of Root
Cause
Analysis
Priority
Performance
Challenges
Identify Root
Causes
More than
Performance
Data
Finalize the
Data
Narrative
UIP Data Narrative Processes
Review
Current
Performance
Describe
Notable
Trends
Prioritize
Performance
Challenges
Data Narrative
Identify
Root
Causes
Remember, the Data Narrative
• Tells the story of the school/district’s data.
• Identifies data that was analyzed.
• Provides a Description of processes used to :
– Identify Trends
– Prioritize Performance Challenges
– Identify and Validate Root Causes
• Includes external review results (if applicable).
• Describes the significant trends, priority performance
challenges, and root causes.
• Takes not more than five pages.
Finalizing the Data Narrative
1.
Clarify the critical elements of the data narrative (using the Data
Narrative Outline).
2.
Aggregate and summarize notes about the data analysis
processes.
3.
A small group (or individual) generates a draft of data narrative
(based on notes).
4.
Reach consensus among all planning participants that the
narrative:
5.
–
tells the “data story” for the school.
–
meets state criteria
Revise data narrative as needed.
Quality Criteria for Unified Improvement
Planning

Review: UIP Quality Criteria, Section III, Data
Narrative.

Notice the criteria for the data narrative includes the
criteria for: trends, priority performance challenges
and root cause analysis.

Consider: How will you capture the information you
need to complete the Data Narrative during your
planning processes?
Finalizing the Data Narrative
• Take out the Finalizing the Data Narrative
(Toolkit, p. 9)
• Make notes about:
– What you have completed so far (current status).
– Who will participate and when in completing the data
narrative.
– How you will accomplish each task.
– What tools/materials you will use.
Give us Feedback!!
• Written: Use sticky notes
– + the aspects of this session that you liked or worked
for you.
– The things you will change in your practice or that
you would change about this session.
– ? Question that you still have or things we didn’t get
to today
–
Ideas, ah-has, innovations
• Oral: Share out one ah ha!