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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 48

Goal 3. Early Learning: 

Improve the health, social-emotional, and cognitive outcomes for all 

children from birth through 3rd grade, so that all children, 

particularly those with high needs, are on track for graduating from 

high school college- and career-ready. 

Goal Leader: Assistant Secretary, Office of Elementary and 

Secondary Education (OESE) 

Objective 3.1: Access to High-Quality Programs and Services. Increase access to highquality early learning programs and comprehensive services, especially for children with high 

needs. 

Objective 3.2: Effective Workforce. Improve the quality and effectiveness of the early learning 

workforce so that early childhood educators have the knowledge, skills, and abilities necessary 

to improve young children’s health, social-emotional, and cognitive outcomes. 

Objective 3.3: Measuring Progress, Outcomes, and Readiness. Improve the capacity of 

states and early learning programs to develop and implement comprehensive early learning 

assessment systems. 

Public Benefit

Each year, about 4 million children enter kindergarten in the United States. Unfortunately, not 

every parent has access to high-quality early learning opportunities for their children. There are 

large disparities in enrollment based on geography, race, and socioeconomic levels. As a result, 

too many children enter kindergarten a year or more behind their classmates in academic skills 

and social-emotional development.41 

A robust body of research shows that children who participate in high-quality preschool 

programs have better health, social-emotional, and cognitive outcomes than those who do not 

participate. The gains are particularly powerful for children from low-income families and those 

at risk for academic failure who, on average, start kindergarten 12 to 14 months behind their 

peers in preliteracy and language skills.42 Studies also reveal that participating in quality early 

learning can boost children’s educational attainment and earnings later in life.43 

In FY 2016, the Department’s investments in early learning included IDEA Part C and Preschool 

Development Grants (PDG).

41 Yoshikawa, Hirokazu, Christine Weiland, Jeanne Brooks-Gunn, Margaret R. Burchinal, Linda M. Espinosa, William T. Gormley, 

Jens Ludwig, Katherine A. Magnuson, Deborah Phillips, and Martha J. Zaslow. Investing in Our Future: The Evidence Base on 

Preschool Education. Vol. 9. Society for Research in Child Development and Foundation for Child Development, 2013. 

42 Committee on Integrating the Science of Early Childhood Development. From Neurons to Neighborhoods: The Science of Early 

Childhood Development. (2000). Jack P. Shonkoff and Deborah A. Phillips, eds. Board on Children, Youth, and Families, 

Commission on Behavioral and Social Sciences and Education. Washington, DC: National Academy Press. 

43 See, e.g., Yoshikawa, et.al., Investing in Our Future: The Evidence Base on Preschool Education, 2013. 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 49

Goal 3 Discretionary Resources

$0 $500 $1,000 $1,500 $2,000 $2,500

FY 2016

FY 2017

FY 2018

$1,103

$1,100

$825

(Dollars in millions)

Major Discretionary Programs and Activities44 Supporting Goal 3 Performance 

Metrics [Dollars in Millions]

POC Account Obj. Program

FY 2016 

Appropriation 

FY 2017 

Annualized 

CR45

FY 2018 

President’s 

Budget 

OESE I&I 3.1 Preschool development grants 250 250 --

OSERS SE 3.1, 3.2, 3.3 Grants for infants and families 459 458 458

OSERS SE 3.1, 3.2, 3.3 Preschool grants 368 368 368

Subtotal 1,077 1,075 825

Other Discretionary Programs/Activities 26 26 0 

TOTAL, GOAL 3 1,103 1,100 825

POC = Principal Operating Component. 

CR = Continuing Resolution. 

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

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

noncompetitive/formula programs. 

45 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.
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 50

Goal 3: 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

Missed46 Exceeded47 2017 2018

3.1.A. Percentage of 4-year 

olds enrolled in state 

preschool programs48

SY: 

2015–16 

(FY: 2016) 

85.5% 

NA NA SY: 

2015–

16

(FY: 

2016)

85.5%

NA NA NA 92.7% 100% NA

INCREASE 

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

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

48 Metric is aligned with an Agency Priority Goal (APG). This metric is being revised from what was reported in the 2015 Annual Performance Report (APR) to focus on the 

18 Preschool Development Grants (PDG)-funded states (Alabama, Arizona, Arkansas, Connecticut, Hawaii, Illinois, Louisiana, Maine, Maryland, Massachusetts, Montana, Nevada,

New Jersey, New York, Rhode Island, Tennessee, Vermont, Virginia) and more accurately reflect the grants’ impact. The data source has also been changed from National Institute 

for Early Education Research (NIEER) Yearbook to the states’ annual performance reports: Preschool Development Grants Annual Performance Reports, Data Workbook, Table A(1)

(a) and (b). 
PERFORMANCE PLAN SUMMARY

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 51

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

Missed46 Exceeded47 2017 2018

INCREASE 

SY: 

2014–15

(FY: 

2015)

8 

SY: 

2015–

16

(FY: 

2016)

Q3 of 

Following FY

SY:

2015–16

(FY: 

2016)

10

 

3.2.A. Number of states 

that require a teacher with 

a bachelor’s degree in a 

state preschool program50

SY: 2013–

14

(FY: 2014) 

1151

SY: 

2013–14

(FY: 

2014)

11

SY: 

2014–15

(FY: 

2015)

1152

SY: 

2015–

16

(FY: 

2016)

TBD

Q3 of 

Following FY

SY:

2015–16

(FY: 

2016)

15

TBD TBD 18 TBD 

INCREASE 

50 This metric is being revised to focus on the 18 PDG-funded states (Alabama, Arizona, Arkansas, Connecticut, Hawaii, Illinois, Louisiana, Maine, Maryland, Massachusetts, 

Montana, Nevada, New Jersey, New York, Rhode Island, Tennessee, Vermont, Virginia) and more accurately gauge the grants’ impact. All of the data have been revised from what

was reported in the 2015 Annual Performance Report. The data source is being updated to reflect the column from which the data are pulled: National Institute for Early Education 

Research (NIEER) Yearbook, Workforce Supplement, Table 3: Preschool Teacher Qualifications and Salary, Column “BA Required.” 

51 For the baseline year/data, the NIEER SY 2013–14 Yearbook did not have a Workforce section, which is where the data for this metric should be pulled. Thus the “Teacher has a 

BA” column was used and the 11 states that met the criteria were: Alabama, Connecticut, Illinois, Louisiana, Maine, Maryland, Nevada, New Jersey, New York, Rhode Island, and 

Tennessee. 

52 In SY 2014–15 (FY 2015) the column changed to “BA Required,” so if a state reported on more than one program, and all programs did not require a BA, then the state was not 

included in the count for the state requiring a teacher with a bachelor’s degree in a state preschool program. Where a state reported on more than one program, all programs in that 

state must require a BA in the state preschool program to be included in the data count. PDG-funded states meeting criteria include: Alabama, Hawaii, Illinois, Louisiana, Maine, 

Maryland, Nevada, New Jersey, New York, Rhode Island, and Tennessee. 

 

3.1.B. Number of states 

with high-quality 

preschool program 

standards49

SY: 2013–

14

(FY: 2014) 

8 

SY: 

2013–14

(FY: 

2014)

8 

TBD TBD 12 TBD 

49 Metric is aligned with an APG. This metric is being revised from what was reported in the 2015 APR to focus on the 18 PDG-funded states (Alabama, Arizona, Arkansas, 

Connecticut, Hawaii, Illinois, Louisiana, Maine, Maryland, Massachusetts, Montana, Nevada, New Jersey, New York, Rhode Island, Tennessee, Vermont, Virginia) and more 

accurately gauge the grants’ impact. The data source is being updated to reflect the column from which the data are pulled: NIEER Yearbook Table 1: State Ranking and Quality 

Checklist Sums, Column “Quality Checklist Sums.”
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 52

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

Missed46 Exceeded47 2017 2018

3.3.A. Number of states 

collecting and reporting 

disaggregated data on the 

status of children at 

kindergarten entry using a 

common measure 

SY: 2010 

(FY: 2010) 

2 

SY: 

2013–14

(FY: 

2014)

5

53

SY: 

2014–15

(FY: 

2015)

1154

SY: 

2015–

16

(FY: 

2016)

17

SY:

2015–16

(FY: 

2016)

14

MET

 

1655 TBD56

 

INCREASE 

53 Five ELC states implemented their KEA (OR, KY, VT, MD, and OH) in the 2014–15 school year. One state (DE) had planned to implement its KEA in 2014–15 year, but later 

adjusted its timeline to implement during the 2015–16 school year. As such, the FY 2014 actual is revised from six to five states. 

54 Eleven ELC states (CA, CO, DE, KY, MD, MA, MI, NC, OH, OR, and VT) are implementing their KEAs in the 2015–16 school year. The remaining eight states that chose to 

implement KEAs (GA, IL, MN, NJ, NM, PA, RI, WA) will begin after the 2015–16 school year. Wisconsin did not select to implement a KEA, but is implementing a statewide literacy 

assessment and is exploring the development and use of a KEA. 

55 There will be difficulty collecting ELC data in out-years because some grantees will no longer be reporting APR data. 

56 In FY 2017, the data source will change from RTT-ELC to EDFacts. However, the data will not be available until FY 2018 Q3 with a collection commencement timeframe of 

December 2017. Nine (9) of 19 RTT-ELC states that wrote to this optional area will have completed their grants and the Department will only have 10 states reporting in FY 2017. KEA 

data collection has been added to EDFacts. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 53

Goal 3 FY 2016 Indicator Performance Summary 

 

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: 

3.1.A. Preschool Development Grants Annual Performance Reports, Data Workbook, Table A(1)(a) and (b); annually 

3.1.B. National Institute for Early Education Research (NIEER) Yearbook Table 1: State Ranking and Quality Checklist Sums, Column “Quality Checklist Sums”; annually 

3.2.A. NIEER Yearbook, Workforce Supplement, Table 3: Preschool Teacher Qualifications and Salary, Column “BA Required”; annually 

3.3.A. Race to the Top (RTT)-Early Learning Challenge (ELC) Technical Assistance Center; 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.
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 54

Analysis and Next Steps by Objective

Objective 3.1: Access to High-Quality Programs and Services. Increase access to highquality early learning programs and comprehensive services, especially for children with 

high needs. 

FY 2016 Implementation Strategy 

In 2010, the Department and HHS formed an Early Learning Interagency Policy Board (IPB) to 

advise the Secretaries on how to better align programs and systems, and improve coordination 

and administration of federally funded early learning programs serving children from birth to 

age 8 (e.g., Head Start, Child Care, Home Visiting, and early learning programs funded under 

Title I, Part A of the ESEA and IDEA). Meeting quarterly, the IPB has provided a venue for 

developing policy recommendations and improving program coordination and quality across 

federally funded early learning and development programs. Through the work of the IPB, 

several policy statements were released that focus on improving the quality of early childhood 

programs. 

Improving access to high-quality early learning programs has been a priority for the Department. 

In FY 2016, the key programs on which the Department focused are the PDG and IDEA 

programs serving children from birth through age 5. Other efforts to improve the quality of early 

childhood programs focused on activities such as reducing suspensions and expulsions, 

addressing chronic absenteeism, promoting family engagement and inclusive settings, and 

supporting STEM for early learners. 

Preschool Development Grant Technical Assistance (PDG TA)—the technical assistance 

provider for the PDG grantees—held a number of webinars in FY 2016, providing information on 

communicating with families to prevent chronic absenteeism, supporting young children 

demonstrating difficult behaviors, and avoiding suspension and expulsion in early childhood 

programs. 

In order to improve the quality of early learning programs from birth through third grade, the 

Department and HHS collaborated with the National Center for Education Research (NCER) at 

the Institute of Education Sciences (IES) and leveraged $20.5 million of NCER resources with 

$5.5 million of PDG national activities funds to support the $26 million Early Learning Research 

Network. 

Several webinars and documents were produced in FY 2016 to provide the tools and resources 

to support families and their engagement with children’s learning and development including 

resources on supporting children and families living in poverty in rural areas and family 

engagement. 

FY 2016 Barriers to Success 

As PDG program administration transitions to HHS under the ESSA, the Department and HHS 

will work together to continue to support existing grantees and ensure that they are able to 

successfully meet their commitments during the project period. 

Despite a recent increase in federal funding, IDEA Part C systems within many states were 

stretched thin because of high demand for early intervention services. Some states have 

narrowed their definition of developmental delay as part of their eligibility requirements for 

serving children with disabilities and their families. Staff and Department-funded centers support 
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states in using their resources most efficiently. This was the first time in many years that there 

was an increase in Part B, Section 619 funding, yet because there has been an increase in the 

number of children served in the program over the years, the funding increase did not 

substantially increase the historic per child funding for the program. 

Key Milestones and Future Actions 

OSERS and its technical assistance centers have been supporting states on implementing and 

evaluating their State Systematic Improvement Plans (SSIPs) to improve results for children 

with disabilities. As OESE, OSERS, and HHS developed policy statements, the Department 

conducted input sessions with multiple stakeholder groups to ensure their perspectives were 

included and to get their input on additional resources that would be of benefit. 

In October 2016, the Department and HHS held their annual meeting for the 29 Race to the 

Top – Early Learning Challenge (RTT-ELC) and PDG grantees—11 RTT-ELC and 18 PDG—to 

share best practices and lessons learned. In February 2017, the Institute of Medicine/National 

Research Council (NRC) released a new report, “Fostering School Success for English 

Learners: Toward New Directions in Policy, Practice, and Research,” and in July 2016, 

“Supporting the Parents of Young Children” was released. Both were funded by the Department, 

HHS, and philanthropic partners. 

The Department also may consider revising this objective and/or strategies for achieving the 

objective to reflect changes to early learning programs made by the Congress in the ESSA. 

Objective 3.2: Effective Workforce. Improve the quality and effectiveness of the early 

learning workforce so that early childhood educators have the knowledge, skills, and 

abilities necessary to improve young children’s health, social-emotional, and cognitive 

outcomes.

FY 2016 Implementation Strategy 

A number of activities were held to support states in building and strengthening the early 

learning workforce, including a joint webinar with HHS and a Peer Learning Exchange entitled, 

“Cultivating Excellence: Developing and Strengthening Your Early Childhood Workforce.” 

The new PDG program under the ESSA will provide continued support for the early learning 

workforce. The Department participated in meetings and planning regarding implementation of 

the new PDG under the ESSA, including working with HHS, OMB, and the Domestic Policy 

Council on creating an agreement between the Department and HHS to implement the program. 

The nonregulatory guidance developed by the Department will help ensure that administrators, 

teachers, and paraeducators are supported as they work to improve outcomes for young 

children in early learning programs. 

In addition, OSERS funds the Early Childhood Personnel Center (the Center) to work with 

states to improve their personnel systems to increase the quality and effectiveness of the early 

learning workforce to serve children with disabilities. The Center recently finished providing 

intensive technical assistance to a cohort of four states, targeted technical assistance to six 

states, and chose six more states for intensive technical assistance. The Center also held 

leadership institutes for IDEA Part C and Part B, Section 619 coordinators. OSERS also 

continues to fund personnel preparation grants. The Center was supplemented to develop 

online modules on evidence-based practices for use by faculty and professional development 

providers preparing personnel that will serve young children with disabilities and their families. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 56

On October 27, 2015, the Department and HHS released a report that summarizes the progress 

of professional development systems in the RTT-ELC states. In November 2015, the Early 

Learning Challenge Technical Assistance Program (ELC TA) released a report, Articulation 

Strategies in RTT-ELC States, to highlight best practices in supporting future practitioners in 

transferring from two-year colleges to four-year universities. In December 2015, ELC TA 

released a report, RTT-ELC Grantees That Incorporate Business Trainings for Child Care 

Providers in Their Scope of Work. In January 2016, ELC TA published a report, Scholarships for 

Early Childhood Educators in RTT-ELC States. In June 2016, the Department and HHS 

released Credentialing in the Early Care and Education Field Report. 

FY 2016 Barriers to Success 

While the ESSA includes language explicitly stating that Title II dollars can be used for early 

childhood educators, it remains unclear whether or how that will affect the workforce. 

Challenges abound in developing an effective early learning workforce. States that can sustain 

programs for longer periods have less difficulty recruiting and retaining strong early childhood 

educators. 

In FY 2016, the Department and its technical assistance providers worked to address some of 

these challenges through webinars, peer learning, and highlighting promising practices, such as 

mentoring and coaching. 

Limited resources are a risk to achieving this strategic objective. The IDEA Part C and Part B, 

Section 619 programs report personnel shortages, specifically related to service providers who 

have specialized knowledge and skills in serving young children with disabilities and their 

families (e.g., speech-language pathologists, physical therapists). Additionally, there is an 

increased demand for resources under Part D that can address personnel shortages and 

improve the quality of the workforce serving young children with disabilities and their families. 

Key Milestones and Future Actions 

During May 2016, the Office of Early Learning (OEL) worked with HHS to develop a plan for the 

National Academies of Science to review and synthesize available research and analysis on the 

resources needed to meet the true costs of high-quality early care and education. The 

committee will produce a report that synthesizes the information gathered and, based on their 

analysis and interpretation, draw conclusions about and make recommendations for concrete, 

implementable funding strategies in the public and private sectors at the national, state, and 

local levels. In addition, an early childhood workforce case study is progressing well. 

During September 2016, the Department’s Policy and Program Studies Service (PPSS) office 

worked with HHS to develop a plan for a study on articulation from two-year to four-year 

colleges. The American Institutes for Research (AIR) is contracted to complete the study and is 

supported by PDG national activities funds. The report is expected to be released late next year. 

The Department may also consider revising this objective and/or strategies for achieving the 

objective to reflect changes to early learning programs made by the Congress in the ESSA as 

well as related budget proposals by the new administration. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 57

Objective 3.3: Measuring Progress, Outcomes, and Readiness. Improve the capacity of 

states and early learning programs to develop and implement comprehensive early 

learning assessment systems.

FY 2016 Implementation Strategy 

The Department will continue to reach out to the Education Commission of the States (ECS), 

the Council of Chief State School Officers (CCSSO), the National Institute for Early Education 

Research (NIEER), and other organizations that share its interest in advancing quality 

kindergarten entry assessments (KEAs), share resources, and develop strategies that might 

increase its collective impact. 

OESE staff are working with Enhanced Assessment Grants (EAG) staff in supporting the three 

EAG grantees developing KEAs, paying particular attention to the RTT-ELC and PDG 

overlapping states. The Department has reviewed the applications submitted for the PDG 

competition that discuss the states’ assessment practices, and will use the PDG TA contractor’s 

electronic grant monitoring tool, GRADS 360, and other means to monitor and report on 

KEA/assessment progress. OESE is working with the national comprehensive center, CEELO, 

to provide targeted technical assistance on KEA development or enhancement. 

The Department, HHS, and ELC TA support both the RTT-ELC states and many voluntary 

nongrantee states and PDG states through an online early learning community. In October 

2015, the ELC TA center updated its brief, “Kindergarten Entry Assessments in ELC Grantee 

States.” 

On August 27, 2015, the Department posted for comment the EDFacts Data Set “Kindergarten 

Entry Assessment Data Collection through EMAPS” as part of the Annual Mandatory Collection 

of Elementary and Secondary Education Data. The Department is reviewing and responding to 

comments received and expects to post the final data collection in FY 2017. The data collection 

will fill a void left when RTT-ELC KEA data collection diminishes as states finish their grant 

periods. 

To support implementation of the high-quality preschool program components, the Department 

and HHS reviewed the PDG and RTT-ELC APR data collected through February 2016. The 

PDG TA center published a brief, “State Technical Assistance Report: Comprehensive 

Assessment Systems in Preschool Development and Expansion Grant States.” In September 

2016, the ELC TA center updated its report, Kindergarten Entry Assessments in RTT-ELC 

States. Project officers continue to work with grantees to support implementation of high-quality, 

coordinated early learning systems and continued monthly calls with grantees to provide 

technical assistance. 

FY 2016 Barriers to Success 

Some states have challenges implementing their KEAs due to funding constraints and local 

district decisions. For example, in Maryland, one of three EAG grantees, a new law restricts the 

Maryland Kindergarten Readiness Assessment to sampling, rather than assessing all children 

when they enter kindergarten. A district may still voluntarily choose to assess all its 

kindergarteners. 

Key Milestones and Future Actions

On October 27, 2015, the Department and HHS released a report that shows the Department 

surpassed the 2015 performance target of nine states collecting and reporting disaggregated 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 58

data on the status of children at kindergarten entry using a common measure. Eleven ELC 

states (CA, CO, DE, KY, MD, MA, MI, NC, OH, OR, and VT) are implementing their KEAs in the 

2015–16 school year. The remaining eight states that chose to implement KEAs (GA, IL, MN, 

NJ, NM, PA, RI, and WA) will begin after the 2015–16 school year. 

The 2015 APRs for 19 states—WI did not choose to spend funds on a KEA—show that all 

states have made progress in moving towards implementing their KEAs. The 18 PDG states are 

required to report on the school readiness of the children participating in their high-quality 

preschool programs, with encouragement to use a KEA. States describe the assessment they 

will use in the 2016 APR to report the school readiness of the first PDG cohort of children. The 

Department expects to have data in spring 2017 for the second year of the grant. The 18 states 

reported serving 28,000 4-year-olds in high-quality preschool programs. In the 2016 APR for 

PDG, the Department will collect data on school readiness. 

The individual state RTT-ELC APRs and Progress Reports were posted on September 1, 2016. 

Seventeen of the 19 states that used RTT-ELC funds for KEAs are either phasing in 

implementation (7 states) or fully implementing (10 states) their KEA in the 2016–17 school 

year. Rhode Island and Georgia are piloting their KEA. 

The Department also may consider revising this objective and/or strategies for achieving the 

objective to reflect changes to early learning programs made by the Congress in the ESSA as 

well as the policy priorities of the new administration.