PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 14

Goal 1. Postsecondary Education, Career and Technical Education, 

and Adult Education: 

Increase college access, affordability, quality, and completion by 

improving postsecondary education and lifelong learning 

opportunities for youths and adults. 

Goal Leader: Under Secretary 

Objective 1.1: Access and Affordability. Close the opportunity gap by improving the 

affordability of and access to college and/or workforce training, especially for underrepresented 

and/or underprepared populations (e.g., low-income and first-generation students, English 

learners, individuals with disabilities, adults without high school diplomas, etc.). 

Objective 1.2: Quality. Foster institutional value to ensure that postsecondary education 

credentials represent effective preparation for students to succeed in the workforce and 

participate in civic life. 

Objective 1.3: Completion. Increase degree and certificate completion and job placement in 

high-need and high-skill areas, particularly among underrepresented and/or underprepared 

populations. 

Objective 1.4: Science, Technology, Engineering, and Mathematics (STEM) Pathways.

Increase STEM pathway opportunities that enable access to and completion of postsecondary 

programs. 

Public Benefit

Increasing college access, affordability, quality, and completion by improving postsecondary 

education and lifelong learning opportunities for youths and adults requires attention to three 

equally important factors to facilitate success: availability of good consumer information and 

financial aid, strong motivation by students and families, and access to affordable, high-quality 

learning opportunities. 

In FY 2016, the Department delivered nearly $126 billion in grants, work-study, and loan 

assistance to more than 13 million postsecondary students at over 6,600 schools.4 In addition, 

the Department administered $2 billion annually in grants to strengthen postsecondary 

institutions and promote college readiness, and nearly $1.7 billion in grant funds for career and 

technical education (CTE) programs5 and adult education programs aimed at helping youth and 

adults attain the academic and technical skills and knowledge necessary to transition to 

postsecondary education, training, and employment. 

The Department developed resources, including the College Affordability and Transparency 

Center, the Financial Aid Shopping Sheet, and other loan counseling and financial literacy 

resources, to provide students and families with enhanced tools for informed decision-making. 

Additionally, the Federal Student Aid Feedback System provides a way for students, parents, 

borrowers, and others to file complaints about their experiences with federal aid programs and 

 

4

 Federal Student Aid Annual Report FY 2016. 

5

 Of the roughly $1.1 billion in Perkins formula funds that are distributed by states to local recipients, approximately 40 percent are 

allocated for postsecondary CTE programs.
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 15

institutions. The Department will use the feedback to improve the experience for current and 

future borrowers. 

Goal 1 Discretionary Resources

$0 $10,000 $20,000 $30,000 $40,000

FY 2016

FY 2017

FY 2018

$29,866

$29,811

$28,089

(Dollars in millions)

Major Discretionary Programs and Activities6 Supporting Goal 1 Performance 

Metrics [Dollars in Millions] 

POC Account Obj. Program 

FY 2016 

Appropriation 

FY 2017 

Annualized 

CR7

FY 2018 

President’s 

Budget 

FSA DM/SAA Student Aid Administration: Salaries and expenses 697 694 681

FSA DM/SAA Student Aid Administration: Servicing Activities 855 855 1,017 

FSA SFA 1.1 Federal Pell grants: Discretionary 22,475 22,433 22,433 

OCTAE CTAE 1.1, 

1.2, 1.3 Adult basic and literacy education state grants 582 581 486

OCTAE CTAE NA Career and technical education state grants 1,116 1,115 949

OPE HE 1.1, 1.3 Federal TRIO programs 900 898 808

Subtotal 26,625 26,576 26,374 

Other Discretionary Programs/Activities 3,241 3,234 1,715 

TOTAL, GOAL 1 29,866 29,811 28,089 

POC = Principal Operating Component. 

CR = Continuing Resolution. 

NA = Not applicable. 

NOTES: Many programs may have sub-activities that relate to other goals. Detail may not add to total due to rounding. 

 

6 All the programs listed are discretionary programs, as distinct from mandatory programs. These include both competitive and 

noncompetitive/formula programs. 

7 A full-year 2017 appropriation was not enacted at the time the FY 2018 Budget was prepared; therefore, the Budget is built off of 

the Further Continuing Appropriations Act, 2017 (P.L. 114–254). The amounts included for 2017 reflect the annualized level 

provided by the continuing resolution. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 16 

Goal 1: Details

U.S. Department 

of Education 

Indicators of 

Success Baseline

Actuals

Current 

Year 

Target

Current 

Year 

Results

Actual-to-Target 

2016 Out-Year Targets

Trend Line 

(Actuals) Indicator 

Measurement 

Direction 

2014 2015 2016 2016 2016

Missed8 Exceeded9

2017 2018

1.1.A. Federal 

student loan 

delinquency rate

FY: End of 

FY 2014–15

21.7%

FY: 2013–14

24.0% 

FY: 

2014–15

21.7% 

FY: 2015–

16

19.4%

FY: 2015–

16

21.0%

MET

 

18.8% >= 3 

% points 

below 

previous 

year’s actual

 DECREASE 

1.1.B. Web traffic 

to the College 

Scorecard10 

09/12/2014–

9/11/201511

91,011

(Excluding 

new 

Scorecard 

launch on 

Sept. 12, 

2015)

NA FY: 2015 

91,011 

FY: 2016

1,427,797

FY: 2016

1,500,000

NOT MET

 

1,800,000 TBD 

 

INCREASE

 

8

 Missed target by <=1, or if percentage, <=1.3 percentage points. 

9

 Surpassed target; not just met the target. If a diminishing target, the actual was below the reduction target set.

10 Performance metric is transitioning to Strategic Goal 5 in FY 2017. 

11 In the 2015 APR, the baseline was noted as being a fiscal year. However, the baseline was measured using 09/12/2014–09/11/2015 data. The period did not align with the fiscal 

year in order to exclude anomalous data from the release of the new College Scorecard on September 12, 2015. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 17

U.S. Department 

of Education 

Indicators of 

Success Baseline

Actuals

Current 

Year 

Target

Current 

Year 

Results

Actual-to-Target 

2016 Out-Year Targets

Trend Line

(Actuals) Indicator 

Measurement

Direction

2014 2015 2016 2016 2016

Missed8 Exceeded9

2017 2018

1.1.C. Percentage 

of first-time 

FAFSA filers 

among high 

school seniors12

SY: 

2012–13

59.2%

SY: 

2013–14

60.1% 

SY: 

2014–15

60.5% 

SY: 2015–

16

57.5%

SY: 2015–

16

59.5%–

61.5%

NOT MET

 

NA NA

INCREASE 

 

New Metric: 

Number of firsttime FAFSA filers 

among high 

school seniors 

Application 

Cycle 

Applicants 

5-Year 

Average 

2012/13–

2016/17 

2,016,304 

AY: 2014–15 

(FY: 2014) 

2,021,691 

AY: 

2015–16 

(FY: 

2015)

2,009,155 

AY: 2016–

17

(FY: 2016)

2,015,138

NA NA NA 2,016,304 2,021,345 NA

 

12 Revising metric language (in the 2014 and 2015 APR read as: “Percentage of high school seniors filing a FAFSA”) to align with how the metric is captured in the Federal Student Aid 

(FSA) Strategic Plan. All of the underlying assumptions and calculation methodologies were confirmed by FSA to be the same. Retiring metric at conclusion of FY 2016. Please see 

appendix B for additional information pertaining to the metric’s retirement. The FY 2017 target was 56.5%–58.5%, and FY 2018 was +/- one percentage point over prior year’s actual.
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 18

U.S. Department 

of Education 

Indicators of 

Success Baseline

Actuals

Current 

Year 

Target

Current 

Year 

Results

Actual-to-Target 

2016 Out-Year Targets

Trend Line

(Actuals) Indicator 

Measurement

Direction

2014 2015 2016 2016 2016

Missed8 Exceeded9

2017 2018

1.1.D. Index of 

national 

aggregate annual 

earnings of VR 

consumers 

(based on the 

number of 

competitive 

integrated 

employment 

outcomes, hours 

worked, and 

hourly wages of 

VR consumers) 

FY: 

2010

$57,971,317

FY: 2014 

$61,800,214 

FY: 2015 

$64,688,3

2013

FY: 2016

$66,791,9

33

FY: 2016

$65,608,8

96

MET

 

$66,921,074 $68,259,495 

 

INCREASE 

 

13 Metric was TBD in the 2015 APR due to data not being available until FY 2016. The metric was MET. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 19

U.S. Department 

of Education 

Indicators of 

Success Baseline

Actuals

Current 

Year 

Target

Current 

Year 

Results

Actual-to-Target 

2016 Out-Year Targets

Trend Line

(Actuals) Indicator 

Measurement

Direction

2014 2015 2016 2016 2016

Missed

8 Exceeded9

2017 2018

1.1.E. Index of 

national 

aggregate annual 

earnings of 

Transition-Age 

Youth (based on 

the number of 

competitive 

integrated 

employment 

outcomes, hours 

worked, and 

hourly wages of 

VR TransitionAge Youth) 

FY: 

2010

$15,971,665

FY: 2014

$18,540,576 

FY: 2015 

$19,579,0

7414

FY: 2016

$19,980,9

56

FY: 2016

$19,476,8

18

MET

 

$19,866,354 $20,263,681 

 

INCREASE 

 

14 Metric was TBD in the 2015 APR due to data not being available until FY 2016. The metric was MET. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 20

U.S. Department 

of Education 

Indicators of 

Success Baseline

Actuals 

Current 

Year 

Target 

Current 

Year 

Results 

Actual-to-Target 

2016 Out-Year Targets 

Trend Line 

(Actuals) Indicator 

Measurement 

Direction 

2014 2015 2016 2016 2016

Missed8 Exceeded9

2017 2018

1.1.F. Number of 

data points or 

other information 

reports released 

on the FSA Data 

Center15

FY: 2009–14 

Aggregate 

12

NA FY: 

2014–15

12

FY: 2015–

16

15

FY: 2015–

16

15

MET

 

1516 TBD 

 

INCREASE 

1.2.A. Pell 

enrollment at 

IHEs with high 

graduation rates17

AY: 2013–14

24.1% 

NA AY: 

2013–14

24.1% 

AY 2014–

15

24.5%

AY 2014–

15

25.0%

NOT MET

 

AY 2015–16

26.0% 

AY: 2016–17

27.0% 

 

INCREASE 

 

15 Metric is aligned with an Agency Priority Goal. 

16 Initial FY 2017 target of 30 provided in the 2015 APR was inclusive of FY 2016’s total of 15, thus making the total a cumulative 30. However, the actual FY 2017 target is 15 new 

releases. 

17

“High graduation rate” is defined as 65 percent or higher, which is roughly the 75th percentile. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 21

U.S. Department 

of Education 

Indicators of 

Success Baseline 

Actuals 

Current

Year 

Target 

Current 

Year 

Results 

Actual-to-Target 

2016 Out-Year Targets 

Trend Line 

(Actuals) Indicator 

Measurement

Direction 

2014 2015 2016 2016 2016

Missed8 Exceeded9

2017 2018

1.2.B. Number of 

states that 

develop or 

strengthen career 

pathways 

policies, 

guidance, or 

legislation 

FY: 2015 

8

NA FY: 2015 

8 

FY: 2016

20

FY: 2016

10

MET

 

37 50

 

INCREASE 

1.3.A. Degree 

attainment 

among 25–34-

year-old age 

cohort18

Current 

Population 

Survey 

(CPS) Year: 

2012

44.0% 

CPS 

Year: 2013 

44.8% 

CPS 

Year: 

2014

45.7% 

CPS 

Year: 

2015

46.5%

CPS 

Year: 

2015

46.8%

NOT MET

 

48.4% 50.5% 

 

INCREASE 

 

18 Metric is aligned with an Agency Priority Goal. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 22

U.S. Department

of Education

Indicators of

Success Baseline

Actuals

Current

Year 

Target

Current

Year 

Results

Actual-to-Target

2016 Out-Year Targets

Trend Line

(Actuals) Indicator 

Measurement

Direction

2014 2015 2016 2016 2016

Missed

8 Exceeded9

2017 2018

1.3.B. Enrollment 

in IHEs below the 

minimum 

earnings 

threshold19,20

AY: 

2012–13

9.7%

NA AY: 

2012–13

9.7% 

AY: 

2013–14

10.7%

AY: 

2013–14

9.4%

NOT MET

 

NA NA

 

DECREASE 

 

19 In the 2015 APR, the initial metric was identified as “Enrollment in IHEs where students’ median earnings 10 years after entering college are below a minimum earnings threshold.”

The metric’s verbiage was condensed to “Enrollment in IHEs below the minimum earnings threshold.” Retiring metric at conclusion of FY 2016. Please see appendix B for additional 

information pertaining to the metric’s retirement. The FY 2017 target was 9.0 percent. 

20

“Minimum earnings threshold” is defined as the median earnings above the level of an institution at the 25th percentile for students 10 years after entering college, which equals 

$19,000 for less-than-two-year institutions, $26,000 for two-year institutions, and $35,000 for four-year institutions. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 23

U.S. Department

of Education

Indicators of

Success Baseline

Actuals

Current

Year 

Target

Current

Year 

Results

Actual-to-Target

2016 Out-Year Targets

Trend Line

(Actuals) Indicator 

Measurement

Direction

2014 2015 2016 2016 2016

Missed

8 Exceeded9

2017 2018

1.3.C. 

Persistence 

among first-time 

filing aid 

recipients21

FY: 2015 

79.5%22

FY: 2014 

79.6% 

FY: 2015 

79.5% 

FY: 2016

79.7%

FY: 2016

78.5%-

80.5%

MET

 

78.7%–

80.7% 

+/- one % 

point over 

prior year’s 

actual 

 

INCREASE 

1.4.A. Number of 

STEM 

postsecondary 

credentials 

awarded 

AY: 2010–11

531,018 

AY: 2011–12

556,696 

AY: 

2012–13

573,911 

AY: 2013–

14

578,583

AY: 2013–

14

608,980

NOT MET

 

637,67223 TBD 

 

INCREASE 

 

21 Revising metric language (in 2015 APR read as: “FAFSA Renewal Rate”) to align with how the metric is captured in the Federal Student Aid (FSA) Strategic Plan. All of the 

underlying assumptions and calculation methodologies were confirmed by FSA to be the same. 

22 Modifying the baseline data to account for the actual being 79.5% (79.47%); however, the decimals were dropped by FSA when the metric was initially reported. 

https://studentaid.ed.gov/sa/sites/default/files/FY_2015_FSA_Annual_Report_official.pdf

23 FY 2016 target reduced from 691,000 to 637,672 due to a calculation error in how the targets were initially calculated. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 24

Goal 1 FY 2016 Indicator Performance Summary 

6 (50.0%)

6 (50.0%)

0

2

4

6

8

10

12

14

Met Not Met

12 Total Indicators

NA = Not applicable. 

TBD = To be determined. 

Academic Year (AY) is a collegiate year spanning August–May; School Year (SY) spans August–July and is aligned with a P–12 school year; Fiscal Year (FY) corresponds to a federal 

fiscal year; Calendar Year (CY) spans January–December.

Data Sources and Frequency of Collection: 

1.1.A. Federal Student Aid (FSA) Data Center; annually 

1.1.B. Google Analytics data from College Scorecard; annually 

1.1.C. The denominator is the number of graduating seniors according to the most recent projection by the National Center for Education Statistics (NCES) (Table 219.10 within the 

Digest of Education Statistics). The numerator is from FSA’s Central Processing System and is based on the number of applications during the first nine months of the 

application cycle that are—as of September 30 of the first year of the application cycle—complete (not rejected); first-time filers; incoming freshmen, with or without previous 

college attendance; age 18 or less as of June 30 of the first year of the application cycle; reporting high school diploma attainment; and attended a high school in the 

50 states and Washington, DC; annually 

1.1.D. Rehabilitation Services Administration-911 (RSA-911); annually 

1.1.E. RSA-911; annually 

1.1.F. FSA Data Center; annually 

1.2.A. Data from College Scorecard; annually 

1.2.B. Development data from the National Skills Coalition, possibly supplemental with data from the Association of State Legislators and Center on Law and Social Policy 

(CLASP); annually 

1.3.A. NCES Digest of Education Statistics, Table 104.30 (https://nces.ed.gov/programs/digest/d15/tables/dt15_104.30.asp), Number of persons age 18 and over, by highest level 

of educational attainment, sex, race/ethnicity, and age: 2015. Tabulated from Current Population Survey data, U.S. Census; annually 

1.3.B. Data from College Scorecard; annually 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 25

1.3.C. FSA’s Common Origination and Disbursement (COD) system; annually

1.4.A. IPEDS; annually 

Note on performance metrics and targets: These metrics were established as a part of the FY 2014–18 Strategic Plan. Metrics may be updated or revised to 

reflect awareness of more accurate data or clarifications. Such updates or revisions are identified in footnotes.
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 26

Analysis and Next Steps by Objective

Objective 1.1: Access and Affordability. Close the opportunity gap by improving the 

affordability of and access to college and/or workforce training, especially for 

underrepresented and/or underprepared populations (e.g., low-income and firstgeneration students, English learners, individuals with disabilities, adults without high 

school diplomas, etc.). 

FY 2016 Implementation Strategy 

Although the Department has limited ability to directly impact college costs or control price, the 

Department made progress toward strategic objective 1.1. 

The Department’s implementation strategy in FY 2016 continued to focus on providing 

consumer tools and better information about postsecondary institutions to help students make 

more informed decisions; modifying and simplifying the Free Application for Federal Student Aid 

(FAFSA); expanding access to income-driven repayment plans; and improving customer service 

related to student aid. 

FY 2016 Barriers to Success

Although many states are beginning to increase appropriations per full-time equivalent student, 

state-level funding for higher education overall remained low compared to levels before the 

recent recession. The Department had little influence over state funding decisions and was 

limited in its ability to impact affordability. Nonetheless, the Department will continue to explore 

ways to help ensure that borrowers are able to manage student loan debt. 

Key Milestones and Future Actions 

In 2016, the Department implemented two major changes to the FAFSA. The first change was 

to make the FAFSA available to students and families three months earlier than usual. In the 

past, the FAFSA was available January 1 for the upcoming financial aid award year (July 1 

through June 30). Beginning with the 2017–18 financial aid application cycle, the FAFSA 

became available October 1 of the year prior to the upcoming award year (2017–18 FAFSA 

filing began October 1, 2016). By having the FAFSA available earlier, the financial aid process 

generally will coincide with the college admissions application and decision cycle, allowing 

schools and states to provide financial aid information sooner to students and families. The 

second change involved the year for which tax information is collected on the FAFSA. Prior to 

FY 2016, when completing a FAFSA, applicants provided income information from the prior tax 

year (i.e., 2015 income information for the 2016–17 FAFSA). Beginning with the 2017–18 

FAFSA, income information from one tax year earlier—the so-called “prior-prior year”—will be 

collected. As a result of this change, students will be able to complete their FAFSA using 

information from an already-completed tax return. 

The Department continues to enhance the online FAFSA® Completion Tool, which helps 

financial aid professionals, school administrators, and guidance counselors track and increase 

FAFSA completion. The tool also provides FAFSA completion rates for school districts, allowing 

communities to tailor communications, support, and counseling to students while helping 

schools monitor their progress. 

Federal Student Aid (FSA) published reports about applications for the Public Service Loan 

Forgiveness (PSLF) Program, enrollment in income-driven repayment plans, and data on cohort 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 27

default rates. As of September 2016, nearly 5.8 million Direct Loan borrowers were enrolled in 

income-driven repayment plans—such as income-based repayment, Pay As You Earn (PAYE), 

and Revised Pay As You Earn (REPAYE)—a 38 percent increase from September 2015 and a 

110 percent increase from June 2014. Cohort default rates continued to decline from 14 percent 

in 2010 to 11 percent in 2013. 

Beginning in January 2016, the Department required all Direct Loan servicers to provide 

enhanced disclosures to borrowers and strengthened consumer protections. The recompetition 

of loan servicer contracts commenced in March 2016, with the goal of ensuring that servicers 

help borrowers responsibly make affordable monthly payments on their student loans. The final 

selection of a service is scheduled to be made and a contract should be awarded in FY 2017. 

Students, parents, and others can now provide feedback about their Title IV federal student aid 

experience via a streamlined, centralized portal, the Federal Student Aid Feedback System. 

Launched July 1, 2016, the system enhances customers’ ability to provide feedback and receive 

a timely and meaningful resolution. Customers can submit feedback about applying for and 

receiving federal loans, grants, and work study, as well as feedback about their experiences 

with federal loan servicers, collection agencies, and the Department itself. Complaints submitted 

through the feedback system are tracked from intake to resolution and will inform the continual 

improvement of the Department’s customers’ experience, regardless of where they are in the 

student aid process. Through the system, the Department has the ability to monitor the 

resolution process, intervene as needed, and compile data about complaints in order to improve 

the applicant and borrower experience. In FY 2017, the Department will publish the first annual 

report about feedback system data. 

The Department announced institutional participants in four experiments under the Experimental 

Sites Initiative conducted under FSA’s experimental sites authority. The Department announced 

participating institutions in the Dual Enrollment experiment in May, participating institutions for 

Second Chance Pell in June, participating institutions in Educational Quality through Innovative 

Partnerships in August, and participating institutions in the Loan Counseling experiment in 

December 2016. 

Objective 1.2: Quality. Foster institutional value to ensure that postsecondary education 

credentials represent effective preparation for students to succeed in the workforce and 

participate in civic life.

FY 2016 Implementation Strategy 

The Department’s implementation strategy to address postsecondary quality included: using 

regulatory authority to strengthen program integrity; taking steps to strengthen accreditation 

oversight; fostering innovation by providing flexibility where appropriate, and testing ideas 

through experimental sites projects; encouraging the postsecondary community to focus on 

student learning that is validated through the assessment of actual learning outcomes; 

addressing teacher preparation initiatives to improve teacher quality; and promoting information 

about successful evidence-based programs and strategies. 

FY 2016 Barriers to Success 

The Department had limited authority and funding to promote innovative, evidence-based 

strategies and practices for college access and completion. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 28

Key Milestones and Future Actions 

To improve accreditation transparency and promote outcome-driven accountability, the 

Department publishes a chart with each accrediting agency’s stated student achievement 

measures and key student and institutional metrics arranged by accreditor. The Department 

also requires accreditors to submit decision letters when they place institutions on probation, 

and the Department publicly posts releasable portions of such letters. The redesigned 

accreditation webpage better informs the public regarding the Secretary’s recognition process 

and provides a one-stop information repository for accreditation-related information. 

Accreditation staff at the Department now have regular access to critical outcomes data, state 

and federal litigation reports, and other information about each accreditor’s schools prior to 

conducting accrediting agency reviews. This information is also provided to the National 

Advisory Committee on Institutional Quality and Integrity. 

This year, the Department issued two letters to accreditors. The first, released in March 2016, is 

a “Terminology Letter,” which clarifies terminology and requirements for reporting to the 

Department. The second was an April 2016 “Flexibility Letter,” which clarifies and encourages 

accreditors to use flexibility to focus monitoring and resources on student achievement and 

problematic institutions or programs. 

The Department published several significant regulations. In October 2015, the Department 

published final regulations on debit cards to protect students from unscrupulous actions by 

financial institutions concerning student access to financial aid funds. Additionally, in August 

2016, the Department, in collaboration with the Department of Labor (DOL), published final 

regulations to implement the Workforce Innovation and Opportunity Act (WIOA). WIOA reforms 

the public workforce development system through enhanced coordination and collaboration 

across education and training programs, including employment and training programs 

administered by DOL, and adult education programs and vocational rehabilitation programs for 

individuals with disabilities administered by the Department. The final regulations assist states in 

implementation efforts, including fostering more cohesive planning within economic regions, 

enhancing performance accountability for education and employment outcomes, strengthening 

employer engagement, and improving access to education and workforce services for 

individuals with significant barriers to employment, among other efforts. The final regulations 

included program-specific rules related to adult education programs and vocational rehabilitation 

programs, as well as joint WIOA regulations related to unified and combined state plans, 

performance accountability, and the one-stop system. 

The Department published final regulations on Borrower Defense to Repayment in October 

2016 (effective July 1, 2017, with several provisions slated for early implementation) and State 

Authorization of Distance Education programs in December 2016, with implementation taking 

effect in July 2018. The Department published the Gainful Employment debt-to-earnings rates in 

January 2017 and will implement the rest of the requirements of the regulation by July 2017. 

In October 2015, the Department announced an initiative through FSA’s experimental sites 

authority to address alternative methods for quality assurance—dubbed Educational Quality 

through Innovative Partnerships, or EQUIP. The Department evaluated applications and in 

August 2016, invited eight institutions to continue to Phase 3 of the selection process. In 

Phase 3, these institutions will begin to set up their proposed programs and apply to the 

Department for final approval, which is expected during FY 2017. 

The Department conducted a number of grant competitions that incorporated evidence-based 

activities, including TRIO Talent Search, TRIO Educational Opportunity Centers, and several 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 29

programs for minority-serving institutions. In October 2015, the Department (the Office of 

Career, Technical, and Adult Education ([OCTAE]) awarded nine pilots under the Performance 

Partnership Pilots for Disconnected Youth (P3) program. The notice inviting applications (NIA) 

for round two (FY 2015) was published in April 2016, and for round three (FY 2016) in August 

2016. The agencies selected one pilot finalist for round two and six pilot finalists for round three. 

P3 tests the hypothesis that additional flexibility for states, localities, and tribes can help 

overcome some of the significant hurdles in providing intensive, comprehensive, and sustained 

service pathways and improving outcomes for disconnected youth. 

Objective 1.3: Completion. Increase degree and certificate completion and job placement 

in high-need and high-skill areas, particularly among underrepresented and economically 

disadvantaged populations.

FY 2016 Implementation Strategy 

While the federal government has no direct impact on the educational attainment rate, the 

Department established annual targets since increasing the percentage of adults who have 

completed a college degree is a key Department objective. For the first time, the rate this year 

fell just short of the target by 0.3 percentage points. Future targets, set at progressively larger 

increases, may be difficult to achieve. 

With few tools to impact completion on a large scale, the Department’s implementation strategy 

focused on the ability to convene partners, disseminate noteworthy practices through reports, 

conduct research, and conduct prize challenges that support pathways in CTE. 

FY 2016 Barriers to Success 

The Department’s ability to significantly impact completion rates nationwide depends on 

Congressional support for programs. Another factor affecting the Department’s ability to impact 

completion rates was the time lag between actions and changes initiated in the current year and 

results that will take several years to manifest as the current cohort moves through its multiyear 

educational program. 

Key Milestones and Future Actions 

In support of CTE, the Department announced winners of the CTE Makeover Challenge and the 

grand prize winner of the Reach Higher Career App Challenge. The Department also developed 

and published on November 2, 2016, an EdSim Challenge notice with the intent to announce 

winners in summer 2017. The challenge calls upon the gaming, developer, and educational 

technology communities to design simulated environments that prepare America’s students for 

a more competitive world through high-quality CTE. In September 2016, the Department 

awarded a $2 million Pay for Success (PFS) grant for providing technical assistance on the first 

two phases of a PFS project: a feasibility analysis in four local CTE sites, and transaction 

structuring for those local sites where a PFS project is deemed feasible. 

The Department participates in the Interagency Working Group on Supports for Postsecondary 

Success, which meets regularly to plan joint activities in support of access and completion for 

low-income students. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 30

Objective 1.4: Science, Technology, Engineering, and Mathematics (STEM) Pathways. 

Increase STEM pathway opportunities that enable access to and completion of 

postsecondary programs.

FY 2016 Implementation Strategy 

The number of STEM postsecondary credentials awarded is shaped by actions taken by 

postsecondary institutions, by state and local agencies through funding decisions, and by 

market forces and job creation trends. Many external factors impact this objective, but the 

Department’s STEM Team, within the Office of Innovation and Improvement (OII), employs the 

following strategies to support this objective: 

 strengthening the Department’s existing STEM programs; 

 enhancing interagency collaboration focused on STEM by fostering stronger linkages 

across agencies that have STEM education programming and collaborating with other 

agencies; 

 using convenings, events, speeches, and other mechanisms to highlight models, 

interventions, and data, and share leading practices and policies for formal and informal 

STEM learning at the federal, state, and local levels; 

 partnering with nongovernment strategic partners to support STEM; and 

 identifying and helping to cultivate, disseminate, and encourage adoption of innovative, 

promising, and evidence-based practices to influence and shape the future of STEM 

education. 

FY 2016 Barriers to Success 

The STEM Team identifies programs within the Department and across the federal government 

that are well suited for enhancing and increasing STEM participation through strategic use of 

STEM priorities. For programs that have already implemented STEM strategies, the STEM 

Team lends its expertise for program review and evaluation. The investments at the Department 

that address STEM degree and credential completion in particular were limited to select 

programs that target minority-serving institutions. The Department will continue to promote 

STEM pathway opportunities within the Committee on STEM Education (CoSTEM) structure 

that includes community colleges, as well as engage with specific STEM-focused initiatives led 

by corporate and philanthropic entities that help elevate the quality of STEM programs and 

advance STEM participation, such as STEM Learning Ecosystems. 

Trends for females and minority students point to continued challenges in broadening 

participation in STEM. For example, in January, the National Science Foundation (NSF) 

National Center for Science and Engineering Statistics (NCSES) released the 2017 Women, 

Minorities, and Persons with Disabilities in Science and Engineering report, the federal 

government’s most comprehensive look at the participation of these three demographic groups 

in science and engineering education and employment. The report found that while women 

have reached parity with men in educational attainment, they have not done so in employment 

in science and engineering. Furthermore, underrepresented minorities (black, Hispanic, and 

American Indian or Alaska Native) account for disproportionately smaller percentages in both 

science and engineering education and employment. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 31

Key Milestones and Future Actions 

CoSTEM has established a task force which is working to enhance the undergraduate 

experience of STEM majors through a formally chartered interagency working group led by 

NSF. The group is focused on four major objectives: 

 evidence-based practices to improve undergraduate learning and retention in STEM; 

 community college efforts to both support two-year students and create bridges between 

two- and four-year postsecondary institutions; 

 research experiences that involve both university-industry and university-federal entity 

partnerships, particularly for students in the first two years; and 

 promoting mathematics success to help combat excessively high failure rates in 

introductory math courses at the undergraduate level. 

Representatives from the Department have been instrumental in bringing new focus to the role 

of community colleges and articulation programs in supporting undergraduate STEM education. 

Other areas of the Department are bolstering support for STEM, as well. STEM education is an 

integral component of CTE. OCTAE is leading initiatives seeking to increase knowledge of and 

access to postsecondary STEM opportunities. For example, the EdSim challenge is seeking 

next generation Virtual Reality and Augmented Reality to improve teaching in areas including 

STEM. As additional examples, the CTE makeover challenge will incorporate “making” and 

“maker spaces” into CTE programs by upgrading or modernizing facilities that meet the needs 

of manufacturing in the 21st century. The Reach Higher App challenge will spur innovation in 

career exploration by empowering students with individualized career and education 

information. And the White House Initiative on Historically Black Colleges and Universities 

(WHI-HBCU) convened events and panels in FY 2016 to share best practices across HBCUs for 

supporting and retaining students in STEM fields.