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.
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.
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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.
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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.
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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
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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?
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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
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Step 1
Organize Team
Team Members
Principal
Special Education Teacher(s)
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Duties
Identify Problem or Challenge (does it
interfere with Special Education Service
Delivery?)
Education Line Officer
Review Data
Regular Education Teacher (s)
Analyze Data (generate questions).
Support and Related Services Staff
Determine baseline levels
Data Person
Determine assessment of progress
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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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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
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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?
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The Five Whys
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:
http://www.isixsigma.com/index.php?option=com_k2&view=item&id=1308:&Itemid=49
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5 Whys: Define the Problem–Why is it happening?
Problem: Trevor is not making sufficient progress in reading
to reach expected goal.
Why
Why
Why
Why
Why
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• 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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5 Whys:
Define the Problem – Why is it happening?
• PLAAFP (present level of academic achievement and
Why
functional performance) statement – is inadequate.
Why
Why
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• Limited awareness of information that would
constitute key info. in a PLAAFP statement.
• 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.
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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?
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Problem Solving Approach
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Where are we
now?
• What are the facts (current data)?
• What worked well? What can be improved?
Where are we
going?
• What do we want to achieve (goal)?
• What is the expected outcome?
How will we
get there?
• What steps must we take to ensure we reach the outcome?
• Who are the key members of team (teachers, staff,
administrators)?
What is holding
us back?
• Is there support for improvement planning and
implementation?
• What roadblocks must we overcome in order to reach the
expected outcome?
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Problem Solving Approach (practice)
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Where are we
now?
• 18 of 20 IEPs for HS Students w
Disabilities lack Postsecondary Goals
Where are we
going?
• Postsecondary Goal Statements must
reflect goals after leaving HS.
How will we
get there?
• Involve the Student. Career Interest
Inventory. Student interests. . . .
What is holding
us back?
• Making time for student to explore
options after leaving HS.
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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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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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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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Resources
Determine the Root Cause: 5 Whys.
Retrieved on 7/23/10 from
http://www.isixsigma.com/index.php?option=com_k2&view=item&id=1308:&Itemid=
49
OSEP 09-02 Timely Correction Memorandum.
http://spp-apr-calendar.rrfcnetwork.org/explorer/view/id/446/?4
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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5 Whys:
Define the Problem – Why is it happening?
Why
Why
Why
Why
Why
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