Root Cause Analysis

1. A Strategy to Determine Source of
Noncompliance Issues and Improve
Services
Trainer: Marilyn Johnson, PhD
March 17, 2011
Improvement of Student
Performance
Using Root Cause Analysis
Adapted from Presentation by Data
Accountability Center.

2. 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.

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
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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
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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?
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7. 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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8. Step 1 Organize Team
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Team Members Duties
Principal
Special Education Teacher(s)
Education Line Officer
Regular Education Teacher (s)
Support and Related Services Staff
Data Person
Identify Problem or Challenge (does
it interfere with Special Education
Service Delivery?)
Review Data
Analyze Data (generate questions).
Determine baseline levels
Determine assessment of progress

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.
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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
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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?
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12. 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:&Itemi
d=49

13. 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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Why
• The pace of reading instruction is too fast.
Why
• No other reading group available at his
instructional need level.
Why
• No other teaching staff available.
Why
• The number of reading groups needed
requires all teaching staff.
Why
• (insert response)

14. 5 Whys:
Define the Problem – Why is it happening?
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Why
• PLAAFP (present level of academic achievement
and functional performance) statement – is
inadequate.
Why
• Limited awareness of information that would
constitute key info. in a PLAAFP statement.
Why
• 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.

15. 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?

16. Problem Solving Approach
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• What are the facts (current data)?
• What worked well? What can be improved?
Where are we
now?
• What do we want to achieve (goal)?
• What is the expected outcome?
Where are we
going?
• What steps must we take to ensure we reach the
outcome?
• Who are the key members of team (teachers, staff,
administrators)?
How will we get
there?
• Is there support for improvement planning and
implementation?
• What roadblocks must we overcome in order to reach
the expected outcome?
What is holding
us back?

17. Problem Solving Approach
(practice)
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• 18 of 20 IEPs for HS Students w
Disabilities lack Postsecondary Goals
Where are we
now?
• Postsecondary Goal Statements must
reflect goals after leaving HS.
Where are we
going?
• Involve the Student. Career Interest
Inventory. Student interests. . . .
How will we get
there?
• Making time for student to explore options
after leaving HS.
What is holding
us back?

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.
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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.
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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.
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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&i
d=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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22. 5 Whys:
Define the Problem – Why is it happening?
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Why
Why
Why
Why
Why