Step 2 – Investigate

There are eleven activities in Step 2 of the Compliance and Improvement Monitoring process, ten of the activities are relevant for Local Educational Agencies (LEAs) that have been identified as Significantly Disproportionate (Sig Dis). The ten activities listed below are aligned with the to the activities listed in the Stepwell Instructions.

Please refer to the following materials (all open in a separate tab):

  • Stepwell Instructions – know what will be submitted to the California Department of Education (CDE) through the Stepwell platform.
  • Guidance Document Step 2 – learn about expectations for each of the required activities.
  • Pacing Guide – develop a timeline to ensure that your LEA is able to accomplish the activities prior to the Step 2 due date (October 10, 2024).

Use the tools below to support the root cause analysis for your LEA’s area(s) of significant disproportionality. You will report on your identified root causes and the supporting data in Activities 19-22.

Root Cause Analysis with a Cultural Lens (Fishbone Diagram – Ishikawa Cause and Effect) 

These materials are designed to work with the Ishikawa Cause and Effect Diagram, commonly known as the Fishbone diagram for performing a root cause analysis and should be performed with a trained facilitator. Before starting on the root cause analysis process, it is important to ensure that the team members are using a cultural lens when analyzing the data and when defining the issue and the possible solutions.

Root Cause Analysis with a Cultural Lens (Five Whys)

These materials are designed to work with the “Five Whys” method for performing a root cause analysis (RCA) and should be performed with a trained facilitator. Before starting on the root cause analysis process, it is important to ensure that the team members are using a cultural lens when analyzing the data and when defining the issue and the possible solutions.

Identifying the Root Causes of Disproportionality

Developed by New York University, this workbook functions as a tool to help determine the institutional and personal contributions to racial inequity in schools.

Behavioral Support Root Cause Analysis Workbook

New York University provides this assessment measure to help educators identify discipline outcomes in relationship to positive behavioral support systems.

Success Gaps Priority Setting Tool

For use by LEAs using the Success Gaps Rubric to support the prioritization of root causes of significant disproportionality.

“What is Root Cause Analysis” Training Video

Provides a brief description and example of root cause and the value of analyzing the root cause.

“Launching Your RCA Investigation” Training Video

Refer to your Annual Determination Letter to identify your LEA’s indicator(s) of significant disproportionality.

Refer back to your root cause analysis process (see Activity 17) to respond to this prompt in Stepwell.

Initiative Inventory

The Initiative Inventory provides a structure for identifying initiatives the Local Educational Agency (LEA) currently has in place. It also guides the LEA to examine those initiatives, where they intersect, where there are gaps, and which students are not being served by the current initiatives. LEAs can then build their CIM for Sig Dis Plan for Improvement to provide alignment and to fill in where supports are not being provided to the students who need them to be successful academically and behaviorally in the general education environment.

Target Population Flow Chart (pdf)

The Flow Chart guides users through a process to determine criteria for the students in their LEA who will receive Comprehensive Coordinated Early Intervening Services (CCEIS). The document also contains federal regulations and guidance pertinent to identifying students to receive CCEIS.

CIM for CCEIS Target Population (video)

This recording illustrates the use of the Flow Chart with two examples from previous CCEIS plans. Nuances of clearly defining the target population is also shown using these examples.

Driver Diagram At-A-Glance

Provides information and guidance for developing a theory of action using the driver diagram.

Theory of Action Driver Diagram Template

This is a blank template that LEAs can use to document their theory of action.

Research-Based Strategies for Addressing Disproportionality in Special Education

This brief can assist LEAs in identifying strategies supported by evidence that they may want to consider as they develop their theory of action.

Refer to Stepwell Instructions for this activity.

Contact SPP-TAP

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CDE Information

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Equity in IDEA

Ideas that Work

Funding Information

California Department of Education, Special Education Division's special project, State Performance Plan Technical Assistance Project (SPP-TAP) is funded through a contract with the Napa County Office of Education. SPP-TAP is funded from federal funds, (State Grants #H027A080116) provided from the U.S. Department of Education Part B of the Individuals with Disabilities Education Act (IDEA). Opinions expressed herein are those of the authors and do not necessarily represent the position of the U.S. Department of Education.