A Strategy to Determine Source of Noncompliance Issues and Improve

ServicesTrainer: Marilyn Johnson, PhD

March 17, 2011

Improvement of Student Performance

Using Root Cause Analysis

Adapted from Presentation by Data Accountability Center.

BIE Compliance Monitoring – shift from Compliance to Performance Outcomes

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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.

DefinitionsRoot 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 challengeHelps resolve the ProblemEliminates PatchingConserves ResourcesFacilitates Discussion (leading to

solutions)Provides Rationale for Strategy

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Determining Root CauseWhat 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

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Step 1 Organize Team

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Team Members Duties

PrincipalSpecial Education Teacher(s)Education Line OfficerRegular Education Teacher (s)Support and Related Services StaffData Person

Identify Problem or Challenge (does it interfere with Special Education Service Delivery?)Review DataAnalyze Data (generate questions). Determine baseline levelsDetermine assessment of progress

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 AnalysisExamine & Discuss DataAssessmentsAchievement dataClassroom observations, record reviews, and

other data

Conduct Data Analysis – View objectivelyPatternsTrendsVariability

Brainstorm - discussion3/17/1110

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

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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

5 Whys: Define the Problem–Why is it happening? Problem: Trevor is not making sufficient progress in reading to reach expected goal.

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5 Whys:Define the Problem – Why is it happening?

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System Planning Process

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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?

Problem Solving Approach

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Problem Solving Approach (practice)

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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 controlIf 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 PlanningImprovement 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 ProgressWhy 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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ResourcesDetermine 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. 3/17/1121

5 Whys:Define the Problem – Why is it happening?

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