Improvement of Student Performance Using Root Cause Analysis

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

BIE Compliance Monitoring – shift from Compliance to Performance Outcomes Ø Shift from Compliance to Performance Outcomes (IDEA 2004). Ø 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. 2 3/17/11

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. 3 3/17/11

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. 4 Symptoms – the noticeable gap between expectations 3/21/11 and reality; the “red flag” that draws attention to the

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 5 3/17/11

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? 6 3/17/11

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 7 3/17/11

Step 1 Organize Team Members Principal Special Education Teacher(s) 8 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 3/17/11

Step 2 Define the Problem State Problem clearly. Example: School did not meet the BIE target for Indicator 5 a (Educational Environment, inside general education 80% or more of the day. 9 3/17/11

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 10 3/17/11

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? 11 3/17/11

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_k 2&view=item&id=1308: &Itemid=49 12 3/17/11

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 13 • 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) 3/17/11

5 Whys: Define the Problem – Why is it happening? • PLAAFP (present level of academic achievement and functional performance) Why statement – is inadequate. • Limited awareness of information that would constitute key info. in a PLAAFP Why statement. • Few examples of a positive and useful Why statement. • Sound PLAAFP statement requires review of pertinent sources of info. Why (evaluation, progress…) • Time constraints. Need administrative Why support to develop sound statements. 14 3/17/11

System Planning Process. Problem solving approach asks 4 questions: v. Where are we now? v. Where are we going? v. How will we get there? v. What is holding us back? 15 3/17/11

Problem Solving Approach 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 is holding us back? 16 • What steps must we take to ensure we reach the outcome? • Who are the key members of team (teachers, staff, administrators)? • Is there support for improvement planning and implementation? • What roadblocks must we overcome in order to reach the expected outcome? 3/17/11

Problem Solving Approach (practice) 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? 17 • Making time for student to explore options after leaving HS. 3/17/11

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. 18 3/17/11

Step 5 19 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 3/17/11 activities.

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. 20 3/17/11

Resources Determine the Root Cause: 5 Whys. Retrieved on 7/23/10 from http: //www. isixsigma. com/index. php? option=com_k 2&view=item&id=1 308: &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. 21 3/17/11

5 Whys: Define the Problem – Why is it happening? Why Why Why 22 3/17/11