The CFPB Has Established Effective GPRA Processes, but Opportunities Exist for Further Enhancement

Appendix B: The CFPB’s Compliance With Applicable GPRA Requirements in Its April 2013 Strategic Plan, Budget, and Performance Plan and Report

GPRA requirements applicable to the CFPB	Fully satisfies	Partially satisfies	Does not satisfy
5 U.S.C. §306 Agency Strategic Plans
Develop a Strategic Plan.
Available on public website and Congress notified of availability no later than the first Monday in February following the year in which the term of President commences.
A comprehensive mission statement covering the major functions and operations of an agency.
General goals and objectives, including outcome-oriented goals, for the major functions and operations of the agency.
How the goals and objectives are to be achieved.
How the goals and objectives incorporate the views and suggestions obtained through congressional consultations.	a
Key external factors that could significantly affect the achievement of the general goals and objectives.
Program evaluations used in establishing or revising general goals and objectives, with a schedule for future program evaluations.
Covers at least 4 years following the fiscal year in which the plan is submitted.
Agency’s performance plan is to be consistent with the agency’s current strategic plan.
When developing or making adjustments to a strategic plan, the agency is to consult with Congress and solicit and consider the views and suggestions of potentially affected or interested parties.
Drafting is to be performed only by federal employees.
31 U.S.C. §1115 Agency Performance Plans
Develop an agency performance plan.
Available on public website and Congress notified of availability by the first Monday in February of each year.	b
Covers each program activity in the agency’s budget.
Performance goals with the desired level of performance during the plan’s year and next fiscal year.
How the performance goals contribute to the general goals and objectives in the strategic plan.
How the performance goals are to be achieved, including (1) the operational processes, training, skills and technology, and the human capital, information, and other resources and strategies; (2) clearly defined milestones; (3) internal and external organizations, program activities, regulations, policies, and other activities that contribute to each performance goal; and (4) agency officials responsible for the achievement of each performance goal.
A balanced set of performance indicators to be used in measuring or assessing progress toward each performance goal, including as appropriate, customer service, efficiency, output, and outcome indicators.
A basis for comparing actual program results with the performance goals.
How the agency will ensure the accuracy and reliability of its performance data, including an identification of: (1) means to verify and validate measured values; (2) sources of data; (3) level of required accuracy; (4) any data limitations; and (5) how the agency will compensate for any such limitations.
Major management challenges the agency faces and (1) planned actions to address such challenges; (2) performance goals, performance indicators, and milestones to measure progress toward resolving such challenges; and (3) the agency official responsible for resolving challenges.
Low-priority program activities based on an analysis of their contribution to the mission and goals of an agency and include an evidence-based justification for designating a program activity as low priority.
Drafting of performance plans is to be performed only by federal employees.
11 U.S.C. §1123 Chief Operating Officers (COO)
The deputy head of the agency—or equivalent—is to be the agency’s COO.
11 U.S.C. §1124 Performance Improvement Officers (PIO)
Each agency is to designate a senior executive of the agency as the PIO.
GPRA Modernization Act, Pub. L. No. 111-352, § 10, Format of Performance Plans and Reports
Strategic plans, performance plans, and performance updates should be in a searchable, machine readable format. Agencies are not to incur expenses for the printing of these documents, except when providing the documents to Congress.
11 U.S.C. §1125 Elimination of Unnecessary Agency Reporting
Annually, based on guidance provided by the Director of the Office of Management and Budget (OMB), the COO at each agency is to (1) compile a list that identifies all plans and reports the agency produces for Congress; (2) analyze the list to identify which plans and reports are outdated or duplicative and refine the list to include only the plans and reports identified to be outdated or duplicative; (3) consult with the relevant congressional committees to determine whether those plans and reports  are no longer useful and could be eliminated or consolidated; and (4) provide a total count of the outdated or duplicative reports and the list of outdated and duplicative reports to the Director of the OMB.

 

• Source: OIG analysis of the CFPB’s Strategic Plan, Budget, and Performance Plan and Report, April 2013; 5 U.S.C. § 306; 31 U.S.C. § 1115; and 11 U.S.C. §§ 1123-25. 
• ^aAccording to CFPB officials, the CFPB presented its draft strategic plan to congressional staff and solicited comments but did not receive any comments.Return to text
• ^bGPRA requires that the performance plan be consistent with the agency’s current strategic plan. As the CFPB’s performance plan was published concurrently with the CFPB’s first strategic plan in April 2013, it would have not been possible to meet the February deadline.Return to text