Improvement of Student Performance Using Root Cause Analysis

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.

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.

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.

5. 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

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?

7. Root Cause Analysis - Process

8. Step 1 Organize Team

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.

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

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?

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: http://www.isixsigma.com/index.php?option=com_k2&view=item&id=1308:&Itemid=49

13. 5 Whys: Define the Problem–Why is it happening? Problem: Trevor is not making sufficient progress in reading to reach expected goal.

14. 5 Whys:Define the Problem – Why is it happening?

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?

16. Problem Solving Approach

17. Problem Solving Approach (practice)

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.

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.

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.

21. 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.

22. 5 Whys:Define the Problem – Why is it happening?