Agency Mission and
Evaluation Program Statements
This appendix describes the mission and evaluation program for each agency and office in the Department of Health and Human Services that conducts evaluations. For those that have a dedicated evaluation web site, this is provided below. These resources supplement what is available from the Policy Information Center database at http://aspe.hhs.gov/pic/performance/.
Every agency and office seeks to maximize effectiveness and efficiency, consistent with the provisions of the Government Performance Results Act (GPRA), and the Program Assessment Rating Tool (PART). During the year covered by this report, a new component was added to this effort, Executive Order 13450, Improving Government Program Performance. The executive order established a Performance Improvement Council and directed each Department to appoint a Performance Improvement Officer to represent it on the Council and to promote effective and efficient work of the agencies. Robust evaluation contributes to an evolving effort to assure that programs function well.
Administration for Children and Families
Promote the economic and social well-being of families, children, individuals, and communities.
The Administration for Children and Families (ACF) administers a broad range of formula and discretionary programs, including family self-sufficiency, child support, children and family services (Head Start, Child Welfare, Child Care Subsidies, Family Preservation and Support, and youth programs), and special programs for targeted populations, such as the developmentally disabled, refugees, and Native Americans.
ACF’s evaluation objectives are to: furnish information on designing and operating effective programs; test new service delivery approaches capitalizing on the success of completed demonstrations; apply evaluation data to policy development, budget decisions, program management, and strategic planning and performance measures development; and disseminate findings of completed studies and promote application of results by state and local governments.
ACF stays current on emerging issues affecting its programs and identifying questions for evaluation studies by actively engaging other federal agencies, state and local policy and program officials, national organizations, foundations, professional groups and practitioners, and consumers.
Studies are often funded as joint ventures with the Office of the Assistant Secretary for Planning and Evaluation (ASPE) and other federal agencies and foundations. Such collaboration permits large-scale efforts that are better informed and more representative of varying perspectives. Multidisciplinary experts review proposals. Evaluation study designs are carefully developed in collaboration with project partners and technical experts in order to address specific research questions. Work groups of various kinds are used to monitor the progress of projects and to provide advice about design refinements and the presentation of findings.
Evaluation Web Site: http://www.acf.hhs.gov/programs/opre/index.html
Administration on Aging
Foster development of services to help older persons maintain their independence.
The Administration on Aging (AoA) is the federal focal point and advocate agency for the concerns of older persons. The agency administers key federal programs mandated under various titles of the Older Americans Act. These programs help vulnerable older persons remain in their own homes by providing supportive services. Other programs offer opportunities for older Americans to enhance their health and to be active contributors to their families, communities, and the nation through employment and volunteer programs. AoA works closely with its nationwide network of regional offices and state and area agencies on aging to plan, coordinate, and develop communitylevel systems of services that meet the unique needs of individual older persons and their caregivers. AoA collaborates with other federal agencies, national organizations, and representatives of business to ensure that, whenever possible, their programs and resources are targeted to the elderly and coordinated with those of the network on aging. As the responsibilities of this nationwide network of state and area agencies on aging continue to grow, it is essential that they have the necessary information to meet these responsibilities.
The overall evaluation priorities of the AoA are to support studies that provide information on: successful program implementation in meeting the goals of the Older Americans Act; design and operation of effective programs; and, issues relevant to policy development, and program management.
Web Site: http://www.aoa.gov/
Agency for Healthcare Research and Quality
Improve the quality, safety, efficiency and effectiveness of health care for all Americans.
The Agency for Healthcare Research and Quality (AHRQ) provides executive management, program officers and audiences external to the Agency with evaluative findings concerning the Agency’s effectiveness and efficiency in order to meet its performance goals. The work is conducted by external, independent evaluators. Evaluation components are built into virtually all major AHRQ programmatic or portfolio activities beginning at the design phase. Among evaluation mechanisms used by the Agency are targeted evaluation studies undertaken through contracts, using a variety of quantitative and qualitative methods, and that tend increasingly to provide more real-time monitoring feedback. Evaluation activities also include satisfaction feedback from AHRQ customers regarding the usefulness of its research findings and dissemination products. Evaluation Web Site: http://www.ahrq.gov/research/
Agency for Toxic Substances and Disease Registry
Serve the public by using the best science, taking responsible public health actions, and providing trusted health information to prevent harmful exposures and disease related to toxic substances.
The Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), more commonly known as Superfund, created the Agency for Toxic Substances and Disease Registry (ATSDR) as a federal agency. ATSDR was created to carry out the healthrelated sections of CERCLA and other laws that protect the public from hazardous waste and environmental spills of hazardous substances. The ATSDR evaluation program is coordinated with the HHS-wide strategic planning process. ATSDR’s strategic goals and its annual performance plan are the result of an interactive process that reflects a longterm commitment by Agency staff to develop stronger relationships among external clients and stakeholders, to assess products and services using relevant data, and to improve our processes and systems for more efficient accomplishment of its mission.
ATSDR Data Resources Web Site: http://www.atsdr.cdc.gov/2p-data-resources.html
Centers for Disease Control and Prevention
Promote health and quality of life by preventing and controlling disease, injury, and disability.
The Centers for Disease Control and Prevention (CDC) conducts evaluation studies designed to provide essential information about its programs, goals, and priorities. These projects support the assessment of CDC’s strategies, which are to protect the health and safety of Americans, provide credible information to enhance health decisions, and promote health through strong partnerships.
CDC emphasizes evaluations that advance its health protection goals and answer policy, program and strategic planning questions related to the goals and objectives of Healthy People 2010. Performance improvement studies, such as those focusing on the development of key performance indicators are of particular interest and import to the Agency. CDC supports a variety of activities to enhance the quality, use, and understanding of evaluations.
Evaluation Web Site: http://www.cdc.gov/eval/index.htm
Centers for Medicare & Medicaid Services
Assure health care security for beneficiaries.
The research arm of the Centers for Medicare & Medicaid Services (CMS), the Office of Research, Development, and Information (ORDI), performs and supports research and evaluations of demonstrations (through intramural studies, contracts and grants) to develop and carry out new health care financing policies and provide information on the impact of CMS’ programs. ORDI’s activities embrace all areas of health care: costs, access, quality, service delivery models, and financing. ORDI’s responsibilities include evaluating ongoing Medicare and Medicaid programs and demonstration projects that test new health care financing and delivery approaches.
Examples of research themes include state program flexibility, the future of Medicare, provider payment and delivery, and vulnerable populations and dual-eligibles.
Evaluation Web Site: http://www.cms.hhs.gov/Reports/Reports/list.asp#TopOfPage
Food and Drug Administration
The FDA is responsible for protecting the public health by assuring the safety, efficacy, and security of human and veterinary drugs, biological products, medical devices, our nation’s food supply, cosmetics, and products that emit radiation. The FDA is also responsible for advancing public health by helping to speed innovations that make medicines and foods more effective, safer, and more affordable; and helping the public get the accurate, science-based information they need to use medicines and foods to improve their health.
Evaluation plays an integral role in carrying out the FDA mission. Assessing various aspects of Agency program performance allows staff to identify means of improving that performance. The evaluation function has three goals: 1) provide information and analyses that helps Agency officials, the Department, and members of Congress make decisions related to programs, policies, budgets, and strategic planning; 2) help FDA managers improve program operations and performance; and 3) disseminate evaluation results and methodological tools useful to FDA program managers and, in some cases, to the larger public health community.
FDA evaluation activities serve one or more of the following purposes:
Performs program and policy evaluations and analytical studies of significantly broad Agency issues;
Recommends alternative courses of action to increase effectiveness of agency allocation of resources and to improve program and project performance;
Monitors program evaluation activities in Agency components and collaborates with DHHS in the development of the annual DHHS evaluation plan;
Applies quantitative and qualitative techniques to assess systems, processes, and operations to help Agency officials discover optimal courses of action; and
Assists and consults with Agency components to design, develop and complete FDA User Fee performance reports for Congress.
Evaluation Web Site: http://www.fda.gov/ope/org.html
Health Resources and Services Administration
Provide national leadership, program resources and services needed to improve access to culturally competent, quality health care.
The Health Resources and Services Administration (HRSA) supports a wide array of very different programs and activities that promote access to needed health care for underserved populations, including primary health care centers, the National Health Service Corps, HIV/AIDS programs, maternal and child health activities, health professions training, rural health programs, organ donation and transplantation initiatives, and telehealth activities. To provide underpinning for these efforts, HRSA’s evaluation program is designed to enhance strategic planning, strengthen budget and legislative development, and improve program performance.
Evaluation Web Site: http://www.hrsa.gov
Indian Health Service
To raise the physical, mental, social, and spiritual health of American Indians and Alaska Natives to the highest level.
The goal of the Indian Health Service (IHS) is to assure that comprehensive, culturally acceptable, personal and public health services are available and accessible to American Indian and Alaska Native people. The importance of evaluation in supporting this goal has increased significantly in recent years and includes American Indians and Alaska Natives as the primary stakeholders in defining the purpose, design, and execution of evaluations. The stakeholders use the end product of the evaluations, and are the population or groups most likely to be affected by the findings. The IHS has formally adopted the principle of a responsive evaluation practice to address the needs and concerns of Native Americans and Alaska Natives.
The evaluation needs of the IHS service components are coordinated using two major types of shortterm studies: policy assessments and program evaluations. Policy assessments contribute to decision making about budget and program modifications including information to support the Agency’s initiatives. Evaluations are focused at the program level, or Area Offices, and focus on specific needs.
The evaluation program of the IHS is managed by the Office of Public Health Support, Division of Planning, Evaluation, and Research, which provides national leadership and consultation for IHS and Area Offices on strategic and tactical planning, program evaluation and assessment, public health and medical services, research grants for Native Centers for Healthcare Research, and special public health initiatives for the Agency.
Planning and Evaluation Web Site:
Research Web Site
National Institutes of Health
Uncover new knowledge that will lead to better health for everyone.
The National Institutes of Health (NIH) pursue new knowledge about the prevention, detection, diagnosis, and treatment of disease and disability. To that end, NIH has a wide range of programs to support health-related research and training and professional development. Evaluating these numerous and diverse programs is one important tool that NIH administrators use to determine the extent to which these programs are operating efficiently and achieving their intended outcomes.
NIH Institutes and Centers and components within the Office of the Director, use program evaluations and evaluation-related activities to improve decision-making and, ultimately, enhance program performance. Many NIH activities are crosscutting in nature and require program evaluations that involve more than one Institute, Center, or Office of the Director office to be examined effectively. Program evaluations are professional systematic investigations or studies that evaluate the merit of particular programs, or contribute to making such an evaluation possible. In most cases, the purpose of program evaluations is to help NIH administrators improve a program or make other programmatic decisions (e.g., how to allocate resources). A program is broadly defined as any set of activities funded by the NIH to achieve one or more predefined goals.
NIH recognizes that results-based management is a basic requirement for the sound and productive operation of government agencies and their programs. With additional efforts to increase public sector accountability, such as passage of the Chief Financial Officers Act and the Government Management Reform Act, interest in evaluation has increased steadily among program administrators.
A distinguishing feature of the NIH Evaluation Program is its position within a larger institutional framework of several evaluation strategies including the use of national advisory councils, boards of scientific counselors, consensus development conferences, and ad hoc committees. This framework helps to chart scientific directions and select the most promising research to support.
Evaluation Web Site: http://opasi.nih.gov/desa/eb/intranet/setaside/fundedstudies.asp
Substance Abuse and Mental Health Services Administration
Build resilience and facilitate recovery for people with, or at risk for, substance abuse and mental illness.
The Substance Abuse and Mental Health Services Administration (SAMHSA) conducts evaluations to ensure accountability for federal funds and to measure results toward its programmatic and policy objectives. SAMHSA is improving performance management and results by identifying annual, long-term and cost-efficiency performance measures to manage its programs.
SAMHSA has a strategic planning process through which it identifies priorities that drive the development of grant programs and evaluations. The formulation of programmatic and evaluation priorities includes consultation with SAMHSA Center Advisory Councils, with other HHS agencies, and with experts in the fields of evaluation and service delivery. Early and continuous coordination of program planning and evaluation activities results in the articulation of program objectives that may be evaluated. Evaluations measure achievement of grant programs overall objectives, and these results are used for program and policy development. The strategic planning and policy development processes then use these results to refine SAMHSA’s priorities and performance objectives.
The specific type of evaluation required depends on the type and purpose of the particular grant program. To the greatest extent possible, SAMHSA encourages the use of comparable data elements and instruments across its programs. Efforts to improve evaluation are continuing and SAMHSA is committed to using systematic approaches in using data to accomplish its mission.
Evaluation Web Site: http://ncadistore.samhsa.gov/catalog/results.aspx?h=drugs&topic=48
OFFICE OF THE SECRETARY
Office of the Assistant Secretary for Planning and Evaluation
Provide the Secretary analyses and advice for policy development, and help the development and coordination of department-wide program planning and evaluations.
The Office of the Assistant Secretary for Planning and Evaluation (ASPE) independently funds or conducts necessary policy and evaluation research; in partnership with others, especially HHS agencies, plans and carries out evaluations; and as required, provides oversight and advice to the Secretary regarding evaluation across the Department. To support its role as a principal advisor to the Secretary on policy development, ASPE conducts a variety of health and human services evaluation and policy research studies on issues of national importance. In its evaluation coordination role, ASPE provides annual guidance to all HHS agencies and staff offices regarding evaluation priorities, procedures, and review requirements and prepare planning and summary reports on evaluation activities as required by Congress; identifies crosscutting health and human services program or policy issues of particular concern to the Secretary and specific program and policy areas not covered by the HHS Agency evaluation plans; and conducts collaborative exploration of ways to strengthen evaluation activities across the Department.
ASPE supports and promotes the development and improvement of databases that HHS agencies and ASPE use to evaluate health care programs and health trends. ASPE co-chairs and provides support to the HHS Data Council, which is charged with integrating key national surveys, such as linking health status indicators with indicators of well being. ASPE uses evaluation funds to study and promote effective use of evaluation-generated information in program management and policymaking. The Office accomplishes this through disseminating evaluation findings and other activities, such as providing technical assistance to agencies developing performance measures. Working with ASFR, ASPE staff prepares the annual Evaluation Set-Aside Report that must be submitted to Congress before funds authorized by Section 241(a) of the Public Health Service Act are expended. ASPE also is responsible for coordinating and providing to the Secretary for transmittal to Congress, this annual Performance Improvement Report summarizing the findings of evaluations carried out by the Department.
Evaluation Web Site: http://aspe.hhs.gov/pic/performance/
Office of the Assistant Secretary for Financial Resources
The Office of the Assistant Secretary for Financial Resources (ASFR) provides advice and guidance to the Secretary on budget, financial management, and information technology, and grants management and provides direction and coordination of these activities throughout the Department.
ASFR systematically evaluates the effectiveness of HHS programs and strategies, including examination of program purpose and design, strategic planning systems, program management, and program results. ASFR oversees the development of the HHS annual performance plans and reports pursuant to the requirements of the Government Performance Results Act. The position of HHS Performance Improvement Officer, established by the Presidential Executive Order, Improving Government Program Performance, is housed in ASFR. In conjunction with ASPE, to prepare the annual Evaluation Set-Aside Report; ASFR staff generates the budget allocation tables for this report.
Office Web Site: http://www.hhs.gov/asrt/
Office of the Assistant Secretary for Preparedness and Response
The Office of the Assistant Secretary for Preparedness and Response (ASPR) is responsible for policy formulation, analysis, coordination, and evaluation for preparedness, response, and recovery planning and implementation.
In coordination with other Departmental offices, ASPR analyzes proposed policies, Presidential directives, and regulations, discharging those action items that fall within its authority. ASPR undertakes studies of preparedness, response, and recovery issues, identifying gaps in policy and initiating policy, research agendas, evaluation, planning and formulation of enterprises to fill these gaps. ASPR takes the lead on special projects, initiatives, and policy analysis and evaluation directly related to its areas of responsibility.
Office Web Site: http://www.hhs.gov/aspr/
Office of Inspector General, Office of Evaluation and Inspections
To protect the integrity of HHS programs, as well as the health and welfare of beneficiaries, by conducting evaluations that provide timely, useful, and reliable information and recommendations to decision makers and the public.
OEI develops evaluation techniques and coordinates projects with other Office of Inspector General and HHS components. It provides programmatic expertise and information on new programs, procedures, regulations and statutes. It maintains liaison with other components in HHS, follows up on implementation of corrective action recommendations, evaluates the actions taken to resolve problems and vulnerabilities identified, and provides additional data or corrective action options, where appropriate.
Evaluation Web Site: http://www.oig.hhs.gov/oei/oeisearch.html
Office of the National Coordinator for Health Information Technology
The Office of the National Coordinator for Health Information Technology (ONC) provides counsel to the Secretary and Departmental leadership of HHS for the development and nationwide implementation of an interoperable health information technology infrastructure. Use of this infrastructure will improve the quality, safety and efficiency of health care and the ability of consumers to manage their health information and health care.
The Office of the National Coordinator for Health Information Technology is engaged in funding research and programs to foster the development of interoperable nation-wide health information exchange. Initiatives are being funded to: harmonize standards for interoperability; certify electronic health record systems; evaluate the variation of organization-level business practices, policies, and state law that relate to privacy and security; and develop best practices and consensus-based policies for health information exchange.
Office Web Site: http://www.hhs.gov/healthit/
Office of Public Health and Science
Provide advice to the Secretary on public health and science, provide executive direction to program offices within the Office of Public Health and Science (OPHS), and, at the Secretary’s direction, coordinate crosscutting public health and science initiatives in the Department. The Assistant Secretary for Health heads OPHS and is responsible for oversight of and policy development for the Public Health Service Commissioned Corps. The Surgeon General implements Corps policy and manages Corps operations.
OPHS Evaluation Program
The Office of Public Health and Science, provides advice, policy and program coordination, and leadership in the implementation, management, and development of activities related to public health and science, as directed by the Secretary. OPHS helps HHS conduct broadbased public health assessments to better address and solve public health problems. It assists other components of HHS anticipate future public health issues and helps ensure that HHS designs and carries out appropriate approaches, interventions, and evaluations that will maintain, sustain, and improve the health of the Nation. OPHS provides leadership and policy recommendations on populationbased public health and science and, at the Secretary’s direction, leads or coordinates initiatives that cut across agencies and operating divisions. The Office communicates and interacts, on behalf of the Secretary, with professional and constituency organizations on matters of public health and science. It links important HHS programs or fill gaps in areas needing better policy formulation and coordination.
OPHS’ evaluation strategy focuses on public health and science issues that cut across multiple interests of the operating divisions and require a coordinated approach to achieve effective results. OPHS evaluations support the Assistant Secretary for Health as the Secretary’s senior advisor for public health and science. OPHS conducts evaluations specific to the needs of the programs operated from the offices located within OPHS, such as women’s health, minority health, disease prevention and health promotion, and research integrity. Some evaluation funds are also made available to the ten HHS Regional Health Administrators.
Evaluation Web Site: http://www.hhs.gov/ophs/index.html