In our 2013 survey of a stratified random sample of federal managers, we  found that most federal managers reported lacking recent evaluations of  their programs. The act changed agency performance  management roles, planning and review processes, and reporting to  ensure that agencies use performance information in decision making  and are held accountable for achieving results and improving government  performance. We estimate that 40  percent of federal managers reported having access to recent evaluations  of their programs, while another 39 percent reported that they did not  know if an evaluation had been conducted. Managers Report Access to Evaluation Unchanged Since 2013

In 2017, an estimated 40 percent of federal managers reported that an  evaluation had been completed within the past 5 years for any of the  programs, operations, or projects they were involved in—statistically  unchanged from the 2013 survey (37 percent). For the  40 percent of managers who reported having evaluations, the results are  very similar to the results of our 2013 survey: federal managers with  evaluations credited them with contributing to a great or very great extent  to assessing program effectiveness or implementing changes to improve  program management or performance (48 and 54 percent, respectively),  with no statistically significant changes since 2013. For the estimated 40 percent of managers who reported having  evaluations, the factor that they most often reported hindering the use of  program evaluations to a great or very great extent was a lack of  resources to implement evaluation findings (29 percent), which was also  the most commonly reported factor in 2013 (33 percent, difference not  statistically significant). About a third of the full sample of  federal managers reported that they had no basis to judge whether lack of  congressional support for using performance information hindered its use. In 2017, federal managers who reported having evaluations most  frequently reported that agency leadership support for evaluation, staff  involvement, and evaluation relevance to decision makers facilitated  evaluation use. In the 2017  survey, managers with evaluations rated consultation with stakeholders  on the agency’s evaluation agenda high for facilitating evaluation use (28  percent to a great or very great extent), although 22 percent responded  they had no basis to judge. However, 23 percent reported that such requests facilitated use  to a great or very great extent. Because the majority of agency managers who reported  having evaluations also reported that they contributed to improving  program performance (54 percent), this lack of evaluation capacity  constitutes a lost opportunity to improve the efficiency and effectiveness  of limited government resources. The survey results reinforce lessons from our previous reports: involving  agency staff and executives in planning and conducting evaluations helps  ensure that those evaluations are relevant, credible, and used in agency  decision making. GAO, as well as OMB, AEA, and the Commission on Evidence-Based  Policymaking, has noted that it is important to develop an evaluation plan  or agenda to ensure that even an agency’s scarce research and  evaluation resources are targeted to its most important issues and can  shape budget and policy priorities and management practices. Although  only some agencies have developed agency-wide evaluation agendas,  evaluators who have them have found that consulting with stakeholders  on their evaluation agendas helps ensure evaluation credibility and  relevance, and facilitates the use of evaluation results. Congressional consultation on agency  evaluation plans could increase the studies’ credibility and relevance for  those audiences. OMB’s guidance envisions strategic reviews as a more  comprehensive assessment of a broad range of evidence on and factors  influencing progress on an agency’s desired results. Recommendation

To help ensure that federal agencies obtain the evidence needed to  address the most important questions to improve program implementation  and performance, we recommend that the Director of the Office of  Management and Budget direct each of the 24 Chief Financial Officer Act  agencies to prepare an annual agency-wide evaluation plan that  describes the  key questions for each significant evaluation study that the agency  plans to begin in the next fiscal year, and  congressional committees; federal, state and local program partners;  researchers; and other stakeholders that were consulted in preparing  their plan. Because OMB has encouraged agencies  to conduct and use evaluations in decision making for several years with  mixed success, we believe that a more directive approach is needed. Program Evaluation: Strategies to Facilitate Agencies’ Use of Evaluation  in Program Management and Policy Making.
Why GAO Did This Study

GPRAMA aims to ensure that agencies use performance information in decision making to achieve results and improve government performance. GPRAMA requires GAO to evaluate the act's implementation; this report is one in a series on its implementation. GAO examined the extent of agencies' use of program evaluations—a particular form of performance information—and factors that may hinder or facilitate their use in program management and policy making.
GAO surveyed a stratified random sample of 4,395 federal civilian managers and supervisors to obtain their perspectives on several results-oriented management topics, including the extent of and factors influencing evaluation use. GAO compared the results to those of a similar GAO survey of federal managers in 2013 and a GAO survey of Performance Improvement Officers in 2014. GAO also interviewed OMB staff and reviewed guidance on using evaluation in decision making.

What GAO Found

In a 2017 government-wide survey, GAO found that most federal managers lack recent evaluations of their programs. Forty percent reported that an evaluation had been completed within the past 5 years of any program, operation, or project they were involved in. Another 39 percent of managers reported that they did not know if an evaluation had been completed, and 18 percent reported having none. Managers who reported having evaluations also reported that those evaluations contributed to a great or very great extent to improving program management or performance (54 percent) and to assessing program effectiveness or value (48 percent). These figures are not statistically different from the results of GAO's 2013 survey.
Of the 40 percent of managers who reported having evaluations, the factor most often rated as having hindered use to a great or very great extent, as in 2013, was lack of resources to implement the evaluation findings (29 percent). Managers reported limited knowledge of congressional support for using their results; 35 percent were not able to judge whether lack of support was a barrier.
Federal managers who reported having evaluations most frequently reported that agency leadership support for evaluation, staff involvement, and an evaluation's relevance to decision makers facilitated evaluation use. GAO previously reported that involving agency staff in planning and conducting evaluations helps to ensure they are relevant, credible, and used in decision making. The Office of Management and Budget (OMB) encouraged agencies to use the annual strategic reviews the GPRA Modernization Act of 2010 (GPRAMA) requires to assess evidence gaps and inform their strategic decisions and budget making.
GAO and OMB have noted the importance of developing an evaluation plan or agenda to ensure that an agency's scarce research and evaluation resources are targeted to its most important issues. While 28 percent of managers with evaluations rated consultation with stakeholders high for facilitating use, another 22 percent reported having no basis to judge. GAO previously noted limited knowledge of agency consultation with the Congress. While 23 percent of managers with evaluations reported congressional requests or mandates facilitated evaluation use, more (31 percent) reported having no basis to judge.
GAO concludes that
Agencies' continued lack of evaluations may be the greatest barrier to their informing managers and policy makers and constitutes a lost opportunity to improve the efficiency and effectiveness of limited government resources.
Although only some agencies have developed agency-wide evaluation plans, evaluators who have them found that obtaining stakeholder input helped ensure evaluation relevance and facilitate use of their results.
Congressional consultation on agency evaluation plans could increase the studies' credibility with those whose support is needed to implement program reforms.
An agency's annual strategic review provides a good opportunity to help target its evaluation agenda to its management, budget, and policy priorities.

What GAO Recommends

To help ensure that agencies obtain the evidence needed to address important questions to improve program implementation and performance, GAO recommends that the Director of OMB direct federal agencies to prepare an annual agency-wide evaluation plan that describes the congressional and other stakeholders that were consulted.
OMB staff stated that agencies should be encouraged, rather than directed, to create an annual evaluation plan. Because OMB has already been encouraging evaluation, GAO believes a more directive approach is needed.