TheRESULTS-BASEDACCOUNTABILITY™ GUIDE

Results Leadership GroupThe Results-Based Accountability™ Guide uses and is based upon concepts and materials
developed by Mark Friedman, author of Trying Hard is Not Good Enough(Trafford 2005) and founder and director of the Fiscal Policy Studies Institute.

TABLE OF CONTENTS
I. Introduction ............................................................................................1
What is Results-Based Accountability™? ..................................1
How does RBA Work? ..................................................................1
Why use RBA? ..............................................................................1
What is the RBA Guide? ..............................................................1
II.The RBA “Turn-the-Curve”Template ........................................................2
III. Step-by-Step RBA Turn-the-Curve Process..............................................3
1. What is the end?......................................................................3
2. How are we doing? ................................................................3
3. What is the story behind the curve? ......................................4
4. Who are partners who have a role toplay in turning the curve? ......................................................4
5. What works to turn the curve? ................................................4
6. What do we propose to do to turn the curve? ......................5
IV. An Accountability Tool ..........................................................................6
Appendix A ................................................................................................7
Introduction ................................................................................7
What are Performance Measures? ............................................7
Sorting Performance Measures: The Data Quadrant................7
Step 1 How much did we do? ....................................................8
Step 2 How well did we do it? ....................................................9
Step 3 Is anyone better off? ........................................................9
Selecting Headline Performance Measures ............................10

Results-Based Accountabiity Guide - 2010

Results Leadership Group, LLC©

I. INTRODUCTION
What is Results-BasedAccountability™?

Why use RBA?
RBA improves the lives of children, families,
and communities and the performance ofprograms because RBA:

Results-Based Accountability™ (“RBA”) is a disciplined way of thinking and taking action usedby communities to improve the lives of children,
families and the community as a whole. RBA is
also used by agencies to improve the performance of their programs.

• gets from talk to action quickly;• is a simple, common sense process that everyone can understand;• helps groups to surface and challenge assumptions that can be barriers to innovation;

How does RBA work?
RBA starts with ends and works backward, step bystep, towards means. For communities, the ends
are conditions of well-being for children, families and the community as a whole. For example: “Residents with good jobs,” “Children readyfor school,” or “A safe and clean neighborhood”
or even more specific conditions such as “Public
spaces without graffiti,” or “A place where
neighbors know each other.” For programs, theends are how customers are better off when the
program works the way it should. For example:
The percentage of people in the job training
program who get and keep good paying jobs.

Results-Based Accountabiity Guide - 2010

• builds collaboration and consensus; and• uses data and transparency to ensure accountability for both the well being of children, families and communities and the performance ofprograms.

What is the RBA Guide?
The RBA Guide is a tool for leading or facilitating a group in the use of RBA in decision making. The RBA Guide is designed to be used as aroadmap with which to navigate the complete
RBA decision-making process, step-by-step.

1

Results Leadership Group, LLC©

II. THE RBA “TURN-THE-CURVE” TEMPLATE
This template is an overview of the step-by-step RBA “turn-the-curve” decision-making process.

1

What is the “end”?

2

How are we doing?

3

What is the story behind the curve of the baseline?

4

Who are partners who have a role to play in turning the curve?

5
6

Choose either a result and indicator or a performance measure.

Graph the historic baseline and forecast for the indicator or performance measure.

Briefly explain the story behind the baseline: the factors (positive and negative, internal andexternal) that are most strongly influencing the curve of the baseline.

Identify partners who might have a role to play in turning the curve of the baseline.
What works to turn the curve?
Determine what would work to turn the curve of the baseline.
Include no-cost/low-cost strategies.
What do we propose to do to turn the curve?
Determine what you and your partners propose to do to turn the curve of the baseline.

Results-Based Accountabiity Guide - 2010

2

Results Leadership Group, LLC©

III. STEP-BY-STEP RBA TURN-THE-CURVE PROCESSI Proxy Power: Does this indicator say
something of central importance about the result? Is this indicator a good proxy for otherindicators? Data tend to run in a “herd” - in thesame direction. Pick an indicator that will tend
to run with the herd of all of the other indicators that could be used (so it is possible to use
only 1 to 3 indicators).

The following is a step-by-step guide for conducting an RBA decision-making process to getfrom talk to action.

1. What is the end?
The starting point in “turn-the-curve” decision
making is to identify the desired “end.” Is it toimprove the quality of life for a population(population accountability) or does it concern
how well a program, agency or service system isperforming (performance accountability)?1

I Data Power: Is there quality data for thisindicator on a timely basis? To be credible, thedata must be consistent and reliable. And timeliness is necessary to track progress.2

If the focus is Population Accountability:• Begin by identifying a population (e.g., allchildren in a county).

If you are focused on Performance Accountability:• Begin by identifying the program, agency, orservice system.

• Next ask what quality of life or condition isdesired for that population (e.g., enteringschool fully ready) - which is called a “result.”• Next select a performance measure. There arethree kinds of performance measures:• Then ask how will the extent to which that
result is being achieved be gauged (e.g., adevelopmental assessment of kindergartners),
which is called an “indicator.”- How much are we doing?
- How well are we doing it?
- Is anyone better off?

To select an indicator (2 or 3 at the most) for a
result, use the following criteria:

Appendix A describes the process for developing
and selecting performance measures.

I Communication Power: Does this indicator communicate to a broad range of audiences? Would those who pay attention to yourwork (e.g., voters, legislators, agency program
officers) understand what this measure means?

2. How are we doing?
After you have selected your indicator or performance measure, present the corresponding
data on a graph with:

1 This distinction between population and performance accountability allows two different assessments: first, what efforts andprograms should be undertaken to achieve a desired quality of life or “result” and, second, how well are those efforts and programs
performing. This distinction also recognizes that a single program, agency or service system cannot take sole responsibility (orcredit) for achieving a desired result.
2 Note: If an indicator is strong on the first two criteria but data is not available, consider putting that indicator onto a “datadevelopment agenda.”

Results-Based Accountabiity Guide - 2010

3

Results Leadership Group, LLC©

(a) an historic baseline (at least 5 years of data, if
available) andwill identify the underlying or more systemic
factors (i.e., the “root causes”). It is also important to conduct additional research where necessary and feasible.

(b) a forecast assuming no change in your current
level of effort (for 3 - 5 years, if possible).

Once the root causes have been identified,prioritize those root causes according to whichhave the greatest influence on progress and,
therefore, are the most critical to address toimprove progress.

To provide the forecast, you will need tocomplete step 3, the “Story Behind the Curve.”
Turn-the-curve decision making is systematically determining the best actions to take toimprove on the forecasted trend for the baseline- to “turn the curve.”

The best format is a “bullet” for each root causewith a brief header that is underlined and a brief
description of the root cause.

3. What is the story behindthe curve?

4. Who are partners who
have a role to play inturning the curve?

In this section, list the key factors underlying
the historic baseline and forecast for the indicator or performance measure. Identify: (1) contributing factors that are supporting progressand (2) restricting factors that are hindering
progress. Progress is defined as turning the curveof the baseline (or accelerating the curve if it isalready headed in the right direction).

Identify potential partners who may have a roleto play in improving progress. The identification of root causes impacting progress will often
point the way to the types of partners whoshould be engaged.

This “force field analysis,” below, illustrates how
factors may be viewed according to their contributing and restricting influences on the curveof the baseline.

5. What works to turn the curve?
Before selecting a strategy to undertake to turnthe curve of the baseline, it is necessary to determine whether what would work to turn the
curve is known. And it is important to be sure
to explore the full range of options for strategies.
A strategy may, of course, involve the discontinuation of existing activities as well as the implementation of new ones. And a strategy should
be multi-year and integrated. The following are
criteria to consider in developing options:

Force Field Analysis
Restricting Factors

Baseline• Does the option address one or more of the root
causes you have identified?

Contributing Factors

The alignment of a proposed option with a root
cause provides the rationale for selecting thatparticular option: it is the link between the“end” (as measured by the indicator or performance measure and the “means” (the strategy).

It is important to identify not just the mostimmediate and easily observed factors impacting
the baseline (i.e., the “proximate causes”), but
to engage in the kind of rigorous analysis that
Results-Based Accountabiity Guide - 2010

4

Results Leadership Group, LLC©

• Is the proposed option evidence-based?

the most important root causes identified
and, therefore, be geared to having the greatest potential impact on the trend for the corresponding baseline. This concept issometimes referred to as “leverage.”

What research or other evidence is available todemonstrate that the strategy has a reasonablechance of turning the curve of the baseline?
There may, of course, be times that data arelimited and you must move forward with thebest judgment of experienced professionals;
however, in most cases a strategy should be
supported by research or evidence.

I Feasibility (or reach). Is the proposed
strategy feasible?
Can it be done? This question is the necessary
counterpart to the question of leverage. Questions of feasibility should be handled so as not
to limit innovation. Sometimes the consideration of an apparently infeasible option will be
the catalyst in the thinking process that leads
to a highly creative and feasible option. Onceways to improve feasibility have been adequately explored, however, then leverage andfeasibility must be weighed and balanced inchoosing the strategy. A strategy that has highleverage and high feasibility will, of course, bea prime candidate for action. The choiceamong other options, however, will likely involve trade-offs between leverage and feasibility and will need to be weighed accordingly.

• Have “no-cost/low-cost” options been developed?
Funding is often a critical need and careful
thought must be given to ways to increase
funding where needed. However, it is equallyimportant to explore “no-cost/low-cost” options (i.e., options that may be pursued withexisting resources). This line of inquiry, inturn, can help to surface outdated assumptions
that stand in the way of innovation.
• Is additional research necessary to determine
what would work or to identify other options?

6. What do we propose to do toturn the curve?

I Specificity. Is the strategy specific enough to
be implemented?

Selecting the proposed strategy involves applying four criteria to each of the options: leverage,
feasibility (or reach), specificity, and values.

Is there a timeline with deliverables thatanswers the questions: Who? What? When?
Where? How? There should be budget detailfor the strategy, including implications for
future budgets.

I Leverage: How strongly will the proposed
strategy impact progress as measured by the baselines?
Given that resources are finite, decisions withrespect to the dedication of resources to a
proposed strategy must be based on the expected impact of those resources on progress.
One way to gauge impact is to assess the importance of the underlying root cause(s) an
option is designed to address. In other words,
the strategy that is proposed should address

Results-Based Accountabiity Guide - 2010

I Values. Is the strategy consistent with thevalues of the community and/or agency?
Once the proposed strategies are selected, list
them in order of priority. The best format is a“bullet” for each strategy which provides abrief header that is underlined and a brief
description of the strategy.

5

Results Leadership Group, LLC©

IV. AN ACCOUNTABILITY TOOL
The “Turn-the-Curve” template is not meant to be used to produce a static document; rather, it isintended to be used as a tool. On an ongoing basis, in consultation with key partners, stakeholders
should use the data to assess progress and systematically adjust strategies where necessary to improve
progress. The following schematic, a succinct RBA reporting format, demonstrates the nature of thisongoing process.

Results-Based Accountability™
Result and Indicator or Performance Measure
Data presented as a graph, with both an historic baseline and a forecast.
100%

Time units (e.g., months or years)

Story behind the curve
Key factors (positive and negative, internal and external)
impacting progress (i.e., impacting the curve of the baseline).

What we propose to do to improve progressFeasible, high-impact actions/strategies with specific timelines and deliverables.
Partners with roles to play in improving progress.
Monitor both implementation and the baseline for improvement and,as new data are obtained, repeat the process.

Results-Based Accountabiity Guide - 2010

6

Results Leadership Group, LLC©

APPENDIX A

Sorting Performance Measures:
The Data Quadrant

Performance Measures

All performance measures fit into one of four
categories. The categories, the four quadrants,
are derived from the intersection of quantity andquality and effort and effect.

Introduction
The selection of performance measures isthe first and most essential step in the performance planning process for each elementof the Population Accountability strategy.
The following directions will assist you inchoosing your headline performance measEffort
ures.

Quantity

Quality

What are Performance
Measures?
Your agency/division/program provides
services that improve, in some way, thequality of life of its customers/clients. Per- Effectformance measures simply give you themeans to know how well the agency/division/program is doing at providing thoseservices and improving those lives.
A good performance measure gives you
and your staff the ability to make changes
Figure 1
and see whether those changes improve theagency/division/program’s performance,
The rows separate measures about effort (what isthat is, its ability to improvedone and how well) from measures about effectcustomers/clients’ quality of life.
(the change or impact that resulted), the columns
separate measures about quantity (of the effort or
Importantly, performance measures are data effect) from measures about quality (of the effort
they quantitatively measure the agency/divior effect).
sion/program’s performance.
The following Data Quadrant, Figure 1, isa useful tool for sorting and categorizing
performance measures.

Results-Based Accountabiity Guide - 20107

Results Leadership Group, LLC©

Figure 2 shows how these combinations lead to three universal performance measures: How much did
we do? How well did we do it? Is anyone better off? The most important performance measures arethose that tell us whether our clients or customers are better off as a consequence of receiving theservices (“client results,” the lower left and right quadrants). The second most important measures
are those that tell us whether the service or activity is done well (upper right quadrant). The least important measures are those that tell us what and how much we do. To answer the two most important questions, that is, to identify candidate for the most important performance measures, follow
the following steps, using the Data Quadrant.

Step 1: How much did we do?
Upper Left Quadrant

EFFORTFirst, list the number of clients served. Distinguish different sets of clients as appropriate. Next, list
the activities or services the department/division/program performs for its clients. Each activity orservice should be listed as a measure. For example, “child welfare casework” becomes “# of child welfare cases” or “# of FTEs conducting child welfare case work.” “Road maintenance” becomes “# ofmiles of road maintained.” “Stream monitoring” becomes “# of stream sites monitored.” “Provide
health care” become “number of patients treated.”
QUANTITYQUALITY

How Much We Do

How Well We Do It

How much service did we deliver?

How well did we do it?

# Customers served% Services/activities performed well

# Services/Activities

Is Anyone Better Off?
EFFECT

What quantity/quality of change for the better did we produce?
#/% with improvement in:
SkillsAttitudes
Behavior
Circumstances

Figure 2

Results-Based Accountabiity Guide - 20108

Results Leadership Group, LLC©

Step 2: How well did we do it?
Upper Right Quadrant

cases, select from the list of candidate measures
3 to 5 “headline measures” (in total, from boththe upper right and lower right quadrants). To
select these headline measures, rate each candidate measure using the following three criteria(similar to the criteria for selecting indicators):

This quadrant is where most traditional performance measures are found. For each service
or activity listed in the upper left quadrant,choose those measures that will tell you if that
activity was performed well (or poorly). The
measures should be specific. For example, ratioof workers to child abuse/neglect cases; percent
of maintenance conducted on time; average
number of sites monitored per month; percent
of invoices paid in 30 days; percent of patientstreated in less than an hour; percent of training
staff with training certification.

Communication Power: Does this measure communicate to a broad range of audiences?
Would those who pay attention to your work
(e.g., voters, legislators, agency program officers)
understand what this measure means?
Proxy Power: Does this measure say something of central importance about your department/division/program? Is this measure a goodproxy for other measures? For example, readingon grade level might be considered a proxy forother measures such as attendance, quality of
the curriculum, quality of the teachers, etc.

Step 3: Is anyone better off?
Lower Left and Lower
Right Quadrants
Ask “In what ways are your clients better off asa result of getting the service in question? How
would we know, in measurable terms, if they
were better off?” Create pairs of measures (#and %) for each answer. Four categories covermost of this territory: skills/knowledge, attitude,
behavior, and circumstances (e.g., a child succeeding in first grade or a parent fully employed). Consider all of these categories indeveloping measures of whether clients are better off. Examples are: #/% of child abuse/neglect
cases that have repeat child abuse/neglect; #/%of road miles in top-rated condition; #/% ofcited water quality offenders who fully comply;#/% of repeat audit findings;

Data Power: Do you have quality data forthis measure on a timely basis? To be credible,
the data must be consistent and reliable. And
timeliness is necessary to track progress.
Rate each candidate measure “high,” “medium,”or “low” for each criterion. Use a chart, like theone shown below, “Selecting Headline Performance Measures.” The candidate measures thathave high ratings for all three criteria are good
choices for headline measures.
For those measures that are rated high for communication and proxy power, but medium or
low for data power, start a data development
agenda. These are measures for which you mightwant to invest resources to develop quality datathat would be available on a timely basis.

Selecting Headline
Performance Measures
Key to ensuring the usefulness of performancemeasures is to limit the number used. In mostResults-Based Accountabiity Guide - 20109

Results Leadership Group, LLC©

Selecting Headline Performance Measures
Directions: List candidate performance measures and rate each as High, Medium, or Low on eachcriterion: Communication Power, Proxy Power, and Data Power.

Who pay attention to your work?
Who watches what you do?
Would they understandwhat this measure means?

Candidate
Measures

Does this say
something of central
importance about
your department/
division/program?

Do you havequality data ona timely basis?

Communication
Power

Proxy
Power

Data
Power

H

H

H

H

H

L

Headline Performance Measure

Data Development Agenda

Results-Based Accountabiity Guide - 201010

Results Leadership Group, LLC©

The Nation’s Leading Results Accountability Resource

www.resultsleadership.org
301-907-7541