U.S. DEPARTMENT OF EDUCATION

FY 2023 ANNUAL PERFORMANCE PLAN AND 

FY 2021 ANNUAL PERFORMANCE REPORT 

MESSAGE FROM THE SECRETARY

i

MESSAGE FROM THE SECRETARY

I am pleased to present the U.S. Department of Education’s 

(the Department’s) FY 2023 Annual Performance Plan and FY 2021 

Annual Performance Report. I deeply believe that the Department is 

a service agency, and this report will shape the work we do and the 

priorities we set for meeting the needs of our nation’s students.

We are in a watershed moment for our country. The evolving 

COVID-19 pandemic and the inequities it has highlighted—and, 

in many ways, exacerbated—have revealed how much work we 

must do as individuals, as communities, and as a nation to ensure 

equitable access to opportunity. This imperative includes the need 

to reimagine education in our country.

This last year was challenging for our nation’s students and 

families, which is why, in fiscal year (FY) 2021, the Biden–Harris 

Administration took transformative steps toward ensuring that 

all students receive a high-quality education that supports their 

growth and development and equips them for success.

In the first year of the Biden–Harris Administration, our top 

priority was to address the challenges that students faced as a 

result of the COVID-19 pandemic. We understood how important 

it was to help schools and institutions quickly and safely reopen 

for in-person learning so that students would have the social, 

emotional, mental health, and academic supports and resources 

needed to thrive.

I spent much of 2021 traveling to states and territories talking to 

students, families, educators, staff, and faculty. While I have seen 

firsthand the challenges and opportunities in education, I also have 

witnessed the resilience of our communities and the immense 

care our educators, staff, and faculty have for their students. When 

President Biden took office in January 2021, more than half of 

kindergarten through grade 12 schools across our country were 

Miguel A. Cardona, Ed.D.

U.S. Secretary of Education
iiFY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

closed. Today, nearly 100 percent of schools are fully open, nurturing our children’s 

social and emotional well-being and their academic growth in the place where we 

know children learn best—in their classrooms with their peers and teachers.

As educator Horace Mann stated, education has the potential to be the “great 

equalizer.” This Administration has made equity—ensuring that every child and adult 

receives what they need to succeed in school—a priority. We understand that going 

back to how things were before the pandemic would continue to underserve students 

who most need resources and support, particularly students of color, students from 

low-income backgrounds, multilingual learners, and students with disabilities.

I am proud that the American Rescue Plan Act of 2021 (ARP) provides unprecedented 

resources—$122 billion for elementary and secondary schools and $40 billion for 

colleges and universities—to help all students, but especially our students most in need. 

President Biden has also proposed historic investments in education, from 

preschool through college, through his Build Back Better framework, focusing on 

educational equity, excellence, and opportunity. The proposal includes free universal 

prekindergarten and dramatically improved access to childcare so that all children 

can get a strong start to their education journey. In higher education, increased 

resources for Historically Black Colleges and Universities, Tribally Controlled 

Colleges and Universities, Hispanic-Serving Institutions, and other Minority-Serving 

Institutions would unlock opportunities for students of color and unleash their 

potential in our communities. The President’s plan expands access to affordable 

college with larger Pell Grants for millions of students who dream of getting a degree 

and supports the development of a stronger pipeline to good jobs and the middle 

class with workforce development resources and career pathways. Build Back Better 

recognizes what we all know—our real strength lies in our communities, in our 

families, and in the dreams and talents of our people.

At the Department, we took important steps in FY 2021 to support students amid the 

COVID-19 pandemic and begin to reimagine our education system. 

We hosted the National Safe School Reopening Summit where students, educators, 

school district leaders, and other partners engaged in productive conversations 

about the pandemic’s impact, strategies to reopen schools, and ways to rebuild. 

We embarked on a listening tour to assess the needs of our local communities, 
iiiMESSAGE FROM THE SECRETARY

we released three COVID-19 handbooks and launched the Safer Schools and 

Campuses Best Practices Clearinghouse, and we continued the pause of student loan 

payments, helping borrowers burdened by debt during the COVID-19 pandemic.

Partnership has been a hallmark of our efforts at the Department. We collaborated 

with stakeholders to create the Summer Learning and Enrichment Collaborative, 

which is helping states and school districts use their ARP funds to address lost 

instructional and extracurricular time. We worked with institutions to expand the 

Second Chance Pell experiment, which provides Pell Grants to students who are 

incarcerated so they may pursue postsecondary education and better their lives. 

Finally, we partnered closely with experts at the federal, state, and local levels in 

shaping responsive policies and resources; provided continuous assistance and 

guidance to educators, students, and parents; and engaged thousands of stakeholders 

in our nationwide efforts.

We also sought to reimagine education in ways that are more innovative, inclusive, 

and fair. Toward that end, the Department’s Office for Civil Rights (OCR) published 

resource collections designed to assist schools with planning for a successful and 

equitable return to school. Importantly, OCR reinvigorated the enforcement of 

civil rights laws in education, making clear that the Department is here to protect 

students from discrimination in schools and on campuses across America. In 

addition, the Administration took action to help borrowers receive student loan 

discharges due to total and permanent disability and provided relief for tens of 

thousands of student loan borrowers whose postsecondary institutions engaged 

in misconduct. 

The essence of the American Dream is a conviction that everyone in this nation, 

no matter our background or circumstance, has the right to make of our lives 

what we will and to go as far as our hopes, heart, and determination will take us. 

As President Biden has said, building back better, and truly placing that dream 

of endless possibilities within reach of all Americans, begins with education. My 

Department team and I, guided by the priorities and measures established through 

our U.S. Department of Education Fiscal Years 2022–2026 Strategic Plan and annual 

performance indicators, are committed to ensuring that all of our students have 

access to an education worthy of them: an education that enables them to achieve 

their dreams.
ivFY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

I have been assured that the performance data included in this FY 2023 Annual 

Performance Plan and FY 2021 Annual Performance Report are complete and reliable 

in accordance with federal requirements, and I thank you for taking the time to read 

this important report.

Miguel A. Cardona, Ed.D.

Secretary of Education
vTABLE OF CONTENTS

TABLE OF CONTENTS

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1 STRATEGIC GOAL

Promote equity in student access to 

educational resources, opportunities, 

and inclusive environments.

2 STRATEGIC GOAL

Support a diverse and talented educator 

workforce and professional growth to 

strengthen student learning.

HIGHLIGHTS 1

EXECUTIVE SUMMARY 3

ABOUT THE DEPARTMENT 5

FY 2023 ANNUAL PERFORMANCE PLAN 7

FY 2022–2026 STRATEGIC PLAN OVERVIEW 9

STRATEGIC FRAMEWORK 11

STRATEGIC GOAL 1: PROMOTING EQUITY 17

Strategic Objective 1.1: Equitable Resources and Opportunities 

for Underserved Students 20

Strategic Objective 1.2: Access to Learning Opportunities and 

Environments 24

Strategic Objective 1.3: Protection of All Students from Discrimination 26

Strategic Objective 1.4: Engagement of Youth and Adults in Learning 28

STRATEGIC GOAL 2: DIVERSE EDUCATOR WORKFORCE 31

Strategic Objective 2.1: Diversification of the Educator 

Pipeline and Workforce 34

Strategic Objective 2.2: Well-Qualified Educators in High-Poverty 

and Rural Districts 36

Strategic Objective 2.3: Professional Growth for Educators and 

School Personnel 38
viFY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

4 STRATEGIC GOAL

Increase postsecondary value by focusing on 

equity-conscious strategies to address access 

to high-quality institutions, affordability, 

completion, post-enrollment success, and 

support for inclusive institutions.

5 STRATEGIC GOAL

Enhance the Department’s internal 

capacity to optimize the delivery of 

its mission.

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STRATEGIC GOAL 3: STUDENT NEEDS 41

Strategic Objective 3.1: Multitiered Systems of Supports for Students . . 44

Strategic Objective 3.2: Supportive, Inclusive, and Identity-Safe 

Environments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47

Strategic Objective 3.3: Language Services and Supports . . . . . . . . 49

3 STRATEGIC GOAL

Meet students’ social, emotional, and 

academic needs.

STRATEGIC GOAL 4: POSTSECONDARY EDUCATION: 

ACCESS AND SUCCESS 51

Strategic Objective 4.1: Raising of Quality, Awareness, and 

Completion of Postsecondary Education 54

Strategic Objective 4.2: Administration of Federal Student Aid, 

Borrower Supports, and Contractor Accountability 56

Strategic Objective 4.3: Equitable Access to Secondary and 

Postsecondary Programs 59

Strategic Objective 4.4: Alignment of Pathways to Credentialing 61

STRATEGIC GOAL 5: ORGANIZATIONAL GOVERNANCE 63

Strategic Objective 5.1: Information Technology 66

Strategic Objective 5.2: Data Governance, Access, and Management . 68

Strategic Objective 5.3: Workforce Planning 72

Strategic Objective 5.4: Acquisition Management 74

FY 2023 ANNUAL PERFORMANCE PLAN 

APPENDICES 77

APPENDIX A COVID-19 PERFORMANCE INDICATORS 79

APPENDIX B PROGRAMS BY GOAL 81

APPENDIX C GLOSSARY OF ACRONYMS AND ABBREVIATIONS 93
viiTABLE OF CONTENTS

FY 2021 ANNUAL PERFORMANCE 

REPORT 95

STRATEGIC FRAMEWORK 97

PERFORMANCE ASSESSMENT 103

STRATEGIC GOAL 1 105

STRATEGIC GOAL 2 123

STRATEGIC GOAL 3 143

STRATEGIC GOAL 4 155

FY 2021 ANNUAL PERFORMANCE 

REPORT APPENDICES 173

APPENDIX D FY 2021 PERFORMANCE INDICATORS 175

APPENDIX E DATA VALIDATION AND VERIFICATION 195

APPENDIX F PERFORMANCE INDICATOR CHANGES 209

APPENDIX G PROGRAMS BY GOAL 213

APPENDIX H SUMMARY OF PERFORMANCE EVALUATIONS 

COMPLETED DURING FY 2021 221

APPENDIX I GLOSSARY OF ACRONYMS AND ABBREVIATIONS 231
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HIGHLIGHTS
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3EXECUTIVE SUMMARY

EXECUTIVE SUMMARY

This document includes the FY 2023 Annual Performance Plan and FY 2021 Annual 

Performance Report. The FY 2023 Annual Performance Plan details the Department’s 

planned strategies and activities to achieve the Strategic Goals and objectives in the 

FY 2022–FY 2026 Strategic Plan as well as the performance indicators that will be 

used to assess progress on the strategic objectives. The FY 2021 Annual Performance 

Report provides narrative and data on the Department’s progress toward its Strategic 

Goals and objectives in the fiscal year (FY) 2018–FY 2022 Strategic Plan.

The Government Performance and Results Act Modernization Act of 2010 (GPRAMA) 

(Pub. L. No. 111-352) updated the Government Performance and Results Act of 1993

(GPRA) (Pub. L. No. 103-62) and provides the legal basis for the Department’s 

Strategic Plan, including its Strategic Goals and objectives. In accordance with 

GPRAMA, the Deputy Secretary serves as the Chief Operating Officer of the 

Department and leads the Department’s work in achieving its Strategic Goals.

FY 2023 Annual Performance Plan

The FY 2023 Annual Performance Plan supports the U.S. Department of Education 

Fiscal Years 2022–2026 Strategic Plan published in July 2022. The Strategic Plan 

established five Strategic Goals, each with supporting strategic objectives that span 

across the Department and address Administration priorities, such as recovering 

from the COVID-19 pandemic; ensuring high-quality, equitable secondary and 

postsecondary education; and providing diverse learning environments for all 

students, especially those who have been underserved. Each supporting strategic 

objective has corresponding performance indicators to assess the Department’s 

progress on achieving the Strategic Goals and objectives.

Over the next four years, the Department will report on the achievements, 

challenges, and data related to the FY 2022–FY 2026 Strategic Plan.

FY 2021 Annual Performance Report

In February 2018, the Department issued its U.S. Department of Education Strategic 

Plan for Fiscal Years FY 2018–2022. The Strategic Plan established four strategic goals, 

each with supporting strategic objectives that stated how the Strategic Goals would be 

met. Each strategic objective included supporting performance indicators to assess 
4FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

the Department’s progress in achieving the strategic objective. The FY 2021 Annual 

Performance Report presented herein summarizes the fourth and final year of results 

of the Department executing the FY 2018–FY 2022 Strategic Plan.

At the conclusion of FY 2021, the Department reported on the results of 

48 performance indicators against their targets. Of those, 30 targets were met or 

exceeded (62.5 percent), 1 showed improvement in performance from the prior year 

but did not meet the established target, and 13 (27 percent) performed below both 

this year’s target and the prior year’s performance. Two performance indicators 

did not have annual targets in FY 2021, given the Department was in the process of 

gathering data to establish a baseline and targets for future years. Two performance 

indicators are pending data availability.

Accomplishing the goals of the FY 2018–FY 2022 Strategic Plan was about much more 

than meeting targets for performance indicators and encompassed a wide array 

of activities. This report discusses the accomplishments of the Department during 

FY 2021 as well as the challenges encountered. Also included is the Department’s 

progress on implementing activities to support the priorities of the Biden–Harris 

Administration during the last eight months of FY 2021, such as returning to safe and 

in-person instruction in classrooms; promoting equity in education across the nation; 

and providing adequate resources for students, educators, and faculty as they return 

to in-person instruction.
5ABOUT THE DEPARTMENT

ABOUT THE DEPARTMENT

Mission

The U.S. Department of Education’s mission is to promote student achievement 

and preparation for global competitiveness by fostering educational excellence and 

ensuring equal access.

The Department accomplishes its education mission by funding programs (i.e., early 

intervention services and employment training programs) that provide services to 

children as early as birth all the way to adult learners.

Many of these programs provide grants to state or local educational agencies and 

support students and families protected by Federal civil rights laws and other laws, 

including students with disabilities and those from socio-economically disadvantaged 

backgrounds. Several programs prepare students, teachers, and the nation’s citizenry 

to engage with and succeed in an increasingly globalized world. Other programs 

provide grants and loans to postsecondary students and facilitate research that 

examines ways that states, schools, districts, and postsecondary institutions can 

improve America’s education system. In addition, the Department fulfills its mission 

through the enforcement of student privacy and of Federal civil rights laws that, 

among other things, provide equal access for all individuals to the programs funded 

by the Department.
6FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

FY 2021 Organization Structure1

The following shows the Department’s coordinating structure as of July 2022.

Office of the 

Secretary

Office of 

the Chief 

Information 

Officer

Office of the 

Under Secretary

Office of the 

Deputy Secretary

Office of 

Elementary 

and Secondary 

Education

Office of 

Finance and 

Operations

Office of 

Special 

Education and 

Rehabilitative 

Services

Office of 

English 

Language 

Acquisition

Office of 

Communications 

and Outreach

Institute of 

Education 

Sciences

Office of 

Inspector 

General

Office of 

Legislation and 

Congressional 

Affairs

Office for 

Civil Rights

Office of 

Planning, 

Evaluation, 

and Policy 

Development

Office of 

the General 

Counsel

White House 

Initiatives1

Office of 

Postsecondary 

Education

Office of Career, 

Technical, and 

Adult Education

Federal 

Student Aid

1

The White House Initiatives are: Office of Faith-Based and Neighborhood Partnerships; White House Initiative on Advancing 

Educational Equity, Excellence, and Economic Opportunity for Native Americans and Strengthening Tribal Colleges and 

Universities; White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity for Hispanics; 

White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity for Black Americans; and 

White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity through Historically Black 

Colleges and Universities.
FY 2023 ANNUAL 

PERFORMANCE PLAN
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9FY 2022–FY 2026 STRATEGIC PLAN OVERVIEW

FY 2022–FY 2026 STRATEGIC 

PLAN OVERVIEW

The Department is responsible for helping states, school districts, and institutions 

of higher education provide high-quality education to all the nation’s students, 

especially those who are the most vulnerable and face the greatest barriers.

The Biden–Harris Administration seeks to lay a strong foundation that will contribute 

to a better, stronger, and more inclusive nation so that everyone in America has the 

opportunity to fulfill their potential. This effort will also drive the implementation of 

policies, programs, and strategies that contribute to improved outcomes for students 

and ultimately improve national education outcomes. The Department’s planning, 

Strategic Goals and strategic objectives, performance indicators and metrics, and 

programmatic implementation are aligned with the U.S. Department of Education 

Fiscal Years 2022–2026 Strategic Plan.
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11STRATEGIC FRAMEWORK

STRATEGIC FRAMEWORK

Strategic Process Building Blocks

The following graphic illustrates how the Department facilitates strategic planning, 

goal setting, reporting, and monitoring to improve operations and achieve the 

agency’s mission.

STRATEGIC PLAN

STRATEGIC GOALS

What the Department wants to achieve 

STRATEGIC OBJECTIVES

Strategies the Department will

undertake in pursuit of its

Strategic Goals

Framework for implementing the Administration’s 

vision for improving education

Top performance improvement priorities with

results to be achieved in two years

AGENCY PRIORITY GOALS
12FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

FY 2022–FY 2026 Strategic Goals and Objectives

The following highlights the Department’s fiscal year (FY) 2022–FY 2026 Strategic Goals and 

strategic objectives.

Strategic Goal 1: Promote equity in student access to educational resources, opportunities, and inclusive 

environments.

Strategic Objective 1.1 Prioritize the equitable and adequate distribution of resources to communities of concentrated 

poverty, in an effort to provide underserved students with high-quality educational 

opportunities.

Strategic Objective 1.2 Ensure all students have access to well-rounded, rigorous, engaging, and diverse learning 

opportunities and environments to support their success in school.

Strategic Objective 1.3 Support states, school districts, and institutions of higher education to promote and protect 

students’ nondiscriminatory and equal access to education, as provided by Federal civil 

rights laws. 

Strategic Objective 1.4 Promote greater access and supports for youth and adults to engage in learning, succeed in 

postsecondary education, and increase their employability in high-demand occupations.

Strategic Goal 2: Support a diverse and talented educator workforce and professional growth to strengthen student 

learning.

Strategic Objective 2.1 Strengthen and diversify the educator pipeline and workforce.

Strategic Objective 2.2 Identify and promote evidence-based practices or strategies that support diverse districts 

(including rural districts) with high rates of poverty in recruiting, selecting, preparing, and 

retaining well-qualified (including in-field fully certified) and effective teachers, principals, 

paraprofessionals, and specialized instructional support personnel.

Strategic Objective 2.3 Support the professional growth, retention, and advancement of talented, experienced 

educators and other school personnel and their capacity to meet the social, emotional, mental 

health, and academic needs of underserved students.

Strategic Goal 3: Meet students’ social, emotional, and academic needs.

Strategic Objective 3.1 Support the development and implementation of multitiered systems of supports to increase 

students’ engagement; social, emotional, and mental health; well-being; and academic success.

Strategic Objective 3.2 Foster supportive, inclusive, and identity-safe learning environments and ensure the individual 

needs of underserved students are met through appropriately designed instruction, evidencebased practices, and related supports and services.

Strategic Objective 3.3 Strengthen learning environments, support professional development, and improve educator 

credentialing for emergent bilingual students and multilingual learners.
13STRATEGIC FRAMEWORK

Strategic Goal 4: Increase postsecondary value by focusing on equity-conscious strategies to address access to 

high-quality institutions, affordability, completion, post-enrollment success, and support for inclusive institutions.

Strategic Objective 4.1 Support educational institutions and state systems in efforts to raise academic quality 

and college completion for all students, especially for underserved students, such as firstgeneration students, students from low-income backgrounds, students of color, and students 

with disabilities.

Strategic Objective 4.2 Improve the administration of student aid programs to help eligible students receive aid; 

support borrowers in successfully repaying their loans, claiming loan forgiveness benefits, 

and mitigating student loan default; and hold contractors accountable.

Strategic Objective 4.3 Increase equitable access to secondary and postsecondary programs that have clear on-ramps 

to both high-quality jobs and additional high-quality postsecondary educational opportunities.

Strategic Objective 4.4 Improve the alignment across secondary, postsecondary, and career and technical education 

programs, including through transparent and effective transition processes, inclusive 

pathways, and clear credentialing requirements.

Strategic Goal 5: Enhance the Department’s internal capacity to optimize the delivery of its mission.

Strategic Objective 5.1 Manage information technology as a strategic resource and driver to promote the 

advancement of the missions executed by the Department’s 21st-century workforce.

Strategic Objective 5.2 Strengthen agency-wide data governance and build capacity to improve data access, data 

management, and enterprise data analytics in support of agency goals.

Strategic Objective 5.3 Recruit, retain, and develop the workforce needed to meet the Department’s mission now and 

into the future.

Strategic Objective 5.4 Deliver mission outcomes and value for taxpayers through efficient acquisition management 

and proactive industry partnerships while promoting small businesses.
14FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

FY 2022–FY 2023 Agency Priority Goals

Agency Priority Goals (APGs) state results to be achieved in a 24-month period. The 

Department identified three APGs for FY 2022 and FY 2023. These APGs seek to 

address the impact of the COVID-19 pandemic, effectively manage federal student 

loans, and reduce disparities in attainment of high-quality degrees and credentials.

APG Related Strategic Objective

APG 1: Address the impact of the COVID-19 pandemic 

on students, educators, and faculty.

Impact Statement:

The Department will be a leader and partner in addressing the 

impact of the COVID-19 pandemic in educational areas.

Achievement Statement:

By September 30, 2023, the Department will respond to the 

impact of the COVID-19 pandemic and the need to continuously 

provide for high-quality educational environments and 

capabilities by supporting state educational agencies, local 

educational agencies, and institutions of higher education to:

• Continue to support schools in maintaining safe, fully 

in-person instructions for students.

• Utilize COVID-19 relief funds on appropriate, effective, and 

evidence-based activities to reengage students, address lost 

instructional time, and improve educational opportunities 

by offering 300+ Department-led technical assistance 

engagements.

Strategic Objective 1.1: 

Prioritize the equitable and 

adequate distribution of resources 

to communities of concentrated 

poverty in an effort to provide 

underserved students with highquality educational opportunities.

Strategic Objective 1.2: 

Ensure all students have access to 

well-rounded, rigorous, engaging, 

and diverse learning opportunities 

and environments to support their 

success in school.

Strategic Objective 3.1: 

Support the development and 

implementation of multitiered 

systems of supports to increase 

students’ engagement; social, 

emotional, and mental health; 

well-being; and academic success.

Strategic Objective 3.2: 

Foster supportive, inclusive, and 

identity-safe learning environments 

and ensure the individual needs 

of underserved students are met 

through appropriately designed 

instruction, evidence-based 

practices, and related supports and 

services.

APG 2: Effectively manage federal student loans.

Impact Statement:

The Department will provide effective customer service for 

borrowers to simplify the student loan repayment process.

Achievement Statement:

By September 30, 2023, Federal Student Aid will improve loan 

servicer quality and accuracy to levels at or above 95 percent, as 

defined in student loan servicer agreements.

Strategic Objective 4.2: 

Improve the administration of 

student aid programs to help 

eligible students receive aid; 

support borrowers in successfully 

repaying their loans, claiming loan 

forgiveness benefits, and mitigating 

student loan default; and hold 

contractors accountable.
15STRATEGIC FRAMEWORK

APG Related Strategic Objective

APG 3: Reduce disparities in attainment of high-quality 

degrees and credentials. 

Impact Statement:

The Department will support institutions and states to assist 

low-income students and students of color to enroll in and 

complete high-quality postsecondary education programs, 

including at community colleges and through career and 

technical training. 

Achievement Statement:

By September 30, 2023, the Department will increase the 

number and diversity of higher education grant applicants 

from community colleges, Historically Black Colleges and 

Universities, Tribally Controlled Colleges or Universities, 

Minority-Serving Institutions, and public four-year colleges 

by 5 percent to support and assist low-income students and 

students of color in attaining improved educational outcomes.

Strategic Objective 4.1: 

Support educational institutions 

and state systems in efforts to 

raise academic quality and college 

completion for all students, 

especially for underserved 

students, such as first-generation 

students, students from low-income 

backgrounds, students of color, and 

students with disabilities.

Strategic Objective 4.2:

Improve the administration of 

student aid programs to help 

eligible students receive aid; 

support borrowers in successfully 

repaying their loans, claiming loan 

forgiveness benefits, and mitigating 

student loan default; and hold 

contractors accountable.
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STRATEGIC GOAL

Promote equity in student access to 

educational resources, opportunities, 

and inclusive environments.

1
18

1

FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC GOAL

Promote equity in student access to 

educational resources, opportunities, 

and inclusive environments 

STRATEGIC GOAL LEADER

Assistant Secretary, Office of Planning, Evaluation, and 

Policy Development

GOAL OBJECTIVES

1.1

Prioritize the equitable and 

adequate distribution of resources to 

communities of concentrated poverty 

in an effort to provide underserved 

students with high-quality educational 

opportunities.

1.2

Ensure all students have access to 

well-rounded, rigorous, engaging, and 

diverse learning opportunities and 

environments to support their success 

in school.

1.3

Support states, school districts, 

and institutions of higher education 

to promote and protect students’ 

nondiscriminatory and equal access to 

education, as provided by Federal civil 

rights laws.

1.4

Promote greater access and supports 

for youth and adults to engage in 

learning, succeed in postsecondary 

education, and increase their 

employability in high-demand 

occupations.
19STRATEGIC GOAL 1

Goal 1 Discretionary Resources

The following figure and table show budgetary resources and major programs and activities 

supporting Goal 1. 

Goal 1 Budgetary Resources

 

Major Programs and Activities Supporting Goal 1 (in thousands)

POC Objective Major Programs and Activities

FY 2021

Appropriation

FY 2022

Appropriation

FY 2023

President’s 

Budget

IES All Institute of Education Sciences (D) $642,462 $609,673 $604,016

OCR 1.3 Office for Civil Rights (D) $131,000 $135,500 $161,300

OCTAE 1.4 Career, Technical, and Adult Education (D, M) $2,030,936 $2,224,436 $2,308,980

OESE 1.1 Indian Education (D) $181,239 $186,246 646,374

OESE 1.1 Safe Schools and Citizenship Education (D) $111,000 $160,000 564,000

OESE 1.1, 1.2, 1.3 Innovation and Improvement (D, M) $829,000 $894,500 1,557,000

OESE 1.1, 1.4 Education for the Disadvantaged (D, M) $17,226,790 $18,229,790 $37,334,551

OESE 1.2 English Language Acquisition (D) $741,841 $831,400 $1,000,099

OESE All Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021 ESSER Fund (D)

$54,311,004 $- $-

OESE All American Rescue Plan Act of 2021 ESSER Fund (D) $121,974,800 $- $-

OESE All Impact Aid (D) $1,501,112 $1,557,112 1,541,102

OESE All School Improvement Programs (D) $3,301,137 $3,425,755 3,377,402

OPE 1.4 Higher Education (D) $10,634 $10,634 $10,634

OSERS 1.1, 1.2, 1.3 Special Education (D) $13,918,230 $14,359,489 $17,811,335

OSERS 1.2 American Printing House for the Blind (D) $34,431 $40,341 37,431

OSERS 1.3, 1.4 Rehabilitation Services and Disability 

Research (D, M)

$3,820,377 $3,701,307 $3,923,199

Note:

(1) Dollar amounts are estimates of program funding aligned to the Strategic Goal (see Appendix B). As programs may 

support more than one Strategic Goal, amounts included here may be reflected in budget tables for other Strategic Goals. 

Please see the Department’s Budget Tables for additional information on the fiscal year (FY) 2021 Congressional Action, 

FY 2022 Congressional Action, and FY 2023 President’s Budget Request. (2) Letters following major programs and activities 

denote discretionary (D) or mandatory (M).

Acronyms and Definitions:

POC = Principal Operating Component; FY = Fiscal Year; IES = Institute of Education Sciences; OCR = Office for Civil Rights; 

OCTAE = Office of Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary Education; ESSER = 

Elementary and Secondary School Emergency Relief; OPE = Office of Postsecondary Education; and OSERS = Office of Special 

Education and Rehabilitative Services.
20FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE 1.1

Prioritize the equitable and adequate distribution of 

resources to communities of concentrated poverty in an 

effort to provide underserved students with high-quality 

educational opportunities 

STRATEGIC OBJECTIVE LEADER 

Assistant Secretary, Office of Elementary and Secondary Education

Strategies and Activities

The Department will:

• Work to address educational inequities and target resources and supports to 

students with the greatest needs.

• Publish guidance documents to support COVID-19 response and recovery 

efforts, including frequently asked questions on use of the American Rescue Plan 

Act of 2021 (ARP) Elementary and Secondary School Emergency Relief Fund, 

Governor’s Emergency Education Relief Fund, and Maintenance of Equity and 

Maintenance of Effort provisions.

• Address challenges resulting from the COVID-19 pandemic through the Office of 

Postsecondary Education’s administration of the Higher Education Emergency 

Relief Fund programs and implementation of waivers and flexibilities offered 

to grantees. The COVID-19 pandemic and transition to remote learning have 

created academic challenges and greatly exacerbated financial and mental health 

issues for an untold number of students, particularly underserved students. The 

challenges, including widespread job losses and the transition to virtual learning, 

have imperiled students’ access to and progress in higher education.

• Highlight actions being taken by states that, in fiscal year (FY) 2020, received 

either an FY 2019 or FY 2020 supplemental grant award through the Statewide 
21STRATEGIC GOAL 1 STRATEGIC OBJECTIVE 1.1

Longitudinal Data Systems Grant Program. FY 2019 awards were made in 

March 2020, and FY 2020 supplemental awards were made in September 2020. 

Efforts during FY 2021 focused on highlighting the data system needs and plans 

within grant applications. In FY 2022, National Center for Education Statistics 

will be highlighting equity and opportunity related actions states are taking 

within these grants. Examples include:

• Connecting data to research and improvement efforts to better identify 

students in need of supports and implement effective mitigation strategies 

to reduce inequities in the education pipeline.

• Developing a postsecondary report to support specific strategic needs and 

assist improvement efforts in assuring that all students leave school ready 

to succeed in their college or career pursuits.

• Identifying equity-driven policy questions to guide research across the 

states and supporting evidence-based solutions to data-driven challenges.

• Using education and workforce outcomes to explore equity issues and 

barriers to sustainable employment while also improving the state’s ability 

to explore these outcomes by student subpopulations.

• Promoting a focus on students in foster care by creating an educational 

record exchange platform that can better support and maintain educational 

stability for children and youth in foster care.

• Exploring equity impacts of the pandemic on college access, including 

impacts on students who attend tribal colleges.

• Examining how the pandemic impacted student access to learning and 

learning across demographic groups.

• Monitor states for the implementation of their approved plans for complying 

with Education Stabilization Fund requirements. Specifically, the Office of 

Elementary and Secondary Education (OESE) will:

• Monitor states for compliance with the Coronavirus Aid, Relief, and 

Economic Security (CARES) Act; Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021; and ARP in FY 2022. All states will receive 

some monitoring activity, with selected states receiving more in-depth 

monitoring activities based on a risk-management assessment. To support 

grantees in preparing for the Department’s monitoring activities, OESE 

will provide Monitoring Office Hours sessions online to engage grantees 

and field questions. Additional timely information regarding monitoring 

will be provided to grantees through updates via the Department’s Grants 

Management System—G5—which supports the Department’s life cycle 

business process and/or through regular “News Blast” emails to grantees 

and associated stakeholders.
22FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT STRATEGIC OBJECTIVE 1.1

• Review each grantee’s annual performance report in spring 2022 to evaluate 

uses of funds and provide technical assistance as needed.

• Determine outcomes associated with OESE’s methods for monitoring compliance 

and assess whether additional tools, methods, or communications should be 

explored to support implementation of key ARP requirements in FY 2023.

• Continue to leverage the Department’s statutory authority under the Every 

Student Succeeds Act, Section 8601, to conduct high-quality evaluations through 

the Institute of Education Sciences that are relevant to the Elementary and 

Secondary Education Act of 1965 programs and can answer questions of strategic 

importance, offer evidence that can support program improvement, and 

identify effective strategies for improving student achievement, particularly for 

historically underserved students.

• Facilitate institutions’ use of CARES Act flexibilities related to the administration 

of Title VI and Higher Education Act of 1965 programs as well as flexibilities 

outlined in the Federal Student Aid Programs Federal Register Notice using 

authority of the Higher Education Relief Opportunities for Students Act of 2003 to 

assist students affected by the COVID-19 pandemic in completing their programs 

of study.

• Broaden access to and awareness of race and ethnicity data by regularly 

updating the Office of Special Education Programs’ Fast Facts and Hand In Hand

companion documents. 

• Work collaboratively with 19 other federal agencies that are members of the 

U.S. Interagency Council on Homelessness to provide technical assistance 

and information to address the needs of homeless children and youth. The 

Department awarded additional ARP funding in FY 2021 to support the education 

of children and youth experiencing homelessness. In addition, the Department 

plans to provide technical assistance and conduct evaluation activities, 

particularly on the uses of ARP funds under this program.
23STRATEGIC GOAL 1 STRATEGIC OBJECTIVE 1.1

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of individual discretionary grant programs that include the 

Secretary’s priority on promoting equity in student access to educational 

resources and opportunities (including absolute, invitational, or 

competitive preference priorities).

75% 80%

2. Percentage of Promise Neighborhood grantees that attain or exceed the 

annual goals established for their project indicators, which are designed 

to measure the overall success of a grantee’s Promise Neighborhood 

strategy to improve individual- and community-level outcomes for 

students and families from cradle to career.

Baseline TBD

3. Percentage of states publishing report cards (as of January 15 annually) 

that include per-pupil expenditures of federal, state, and local funds, 

including actual personnel expenditures and actual no personnel 

expenditures of federal, state, and local funds disaggregated by source of 

funds for each local educational agency and school for either of the prior 

two years.

92% 94%

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
24FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE 1.2

Ensure all students have access to well-rounded, rigorous, 

engaging, and diverse learning opportunities and 

environments to support their success in school.

STRATEGIC OBJECTIVE LEADERS 

Deputy Assistant Secretary, Office of Planning, Evaluation, and Policy 

Development and Assistant Secretary, Office of Elementary and 

Secondary Education

Strategies and Activities

The Department will:

• Continue to provide evidence-based supports and resources to the education 

community as it recovers from the abrupt transition from in-person to 

virtual and back to in-person learning. Specifically, the Office of Elementary 

and Secondary Education (OESE), the Office of Special Education and 

Rehabilitative Services, and the Institute of Education Sciences will continue 

coordinating across the Department’s technical assistance networks via the 

OESE-led Technical Assistance Coordination Team. The team continues in this 

coordinating role to leverage resources and expertise to ensure the Department 

effectively and efficiently provides robust technical assistance to the field. 

• Collaborate with internal and external partners to disseminate resources on 

the use of evidence, including internal trainings and workshops to build staff 

capacity to support formula and competitive grantees and the broader education 

community.

• Support state educational agencies to increase their capacity to assist school 

districts by providing training and technical assistance in the development and 

implementation of high-quality school emergency operations plans.
25STRATEGIC GOAL 1 STRATEGIC OBJECTIVE 1.2

• Monitor states for the implementation of their approved plans for complying 

with the Elementary and Secondary Education Act of 1965 (ESEA), as amended by 

the Every Student Succeeds Act, including report card requirements. Specifically, 

OESE will monitor states for compliance with Title I, Part A; Title II, Part A; and 

Title III, Part A of ESEA in fiscal year 2022. States will be chosen based on a risk 

assessment. 

• Collaborate across offices and federal agencies to identify and broadly 

disseminate information and resources on supporting all students to address the 

impact of lost instructional time.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of magnet schools receiving assistance under the 

Magnet Schools Assistance Program that are reporting enrollment data 

demonstrating success in reducing, eliminating, or preventing minority 

group isolation.

Baseline TBD

2. Number of local educational agencies showing an increase in the 

number of students identified as homeless.

Baseline TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
26FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE 1.3

Support states, school districts, and institutions of 

higher education to promote and protect students’ 

nondiscriminatory and equal access to education, as 

provided by Federal civil rights laws.

STRATEGIC OBJECTIVE LEADER 

Assistant Secretary, Office for Civil Rights 

Strategies and Activities

The Department will:

• Enforce Federal civil rights laws effectively by investigating and resolving 

complaints of discrimination and conducting compliance reviews and directed 

investigations consistent with applicable statutes, regulations, case laws, and 

internal procedures.

• Continue to collect and publish data related to civil rights and equity through the 

Civil Rights Data Collection.
27STRATEGIC GOAL 1 STRATEGIC OBJECTIVE 1.3

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Number of policy guidance publications on the Office for Civil Rights’ 

website that focus on how schools and districts serving students in 

prekindergarten through grade 12 and institutions of higher education 

may comply with Federal civil rights laws by avoiding and addressing 

discrimination based on race, color, national origin, disability, sex, and age.

4 4

2. Number of published civil rights data and user-friendly summaries of key 

data about the experiences of students, including their access to resources 

and educational opportunities through the Civil Rights Data Collection.

2 2

3. Number of proactive investigations that address possible violations of 

Federal civil rights laws.

10 10

4. Number of proactive outreach and technical assistance activities that 

provide stakeholders (e.g., students, parents and guardians, recipient 

educational institutions, and advocacy groups) with information 

concerning their rights and responsibilities under Federal civil rights laws.

75 80

5. Percentage of complaints that are resolved within 180 days. 90% 90%

6. Percentage of pending systemic and non-systemic investigations that 

are one year old.

20% 

reduction 

from prior 

year

20% 

reduction 

from prior 

year

7. Number of annual trainings on two substantive areas related to 

systemic investigations.

2 2

8. Percentage of students with disabilities who participate in Individualized 

Educational Programs who graduate from high school with a regular high 

school diploma.

73.6% 74.3%

Acronyms and Definitions:

FY = Fiscal Year.
28FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE 1.4

Promote greater access and supports for youth and 

adults to engage in learning, succeed in postsecondary 

education, and increase their employability in high-demand 

occupations.

STRATEGIC OBJECTIVE LEADERS 

Assistant Secretary, Office of Career, Technical, and Adult Education 

and Assistant Secretary, Office of Postsecondary Education

Strategies and Activities

The Department will:

• Improve access to quality educational programs available in correctional 

settings.

• Continue to support states in strengthening educational outcomes for adult 

learners through the application of evidence-based and equity-focused strategies 

and policies.

• Identify opportunities to further build and use evidence in the Department’s 

grant programs, both formula and competitive. This includes updating the 

Education Department General Administrative Regulations (EDGAR) and Other 

Applicable Grant Regulations to build and use evidence effectively. In addition, 

this includes developing strategies and sharing resources on evidence 

building and use in collaboration with the Institute of Education Sciences to 

identify meaningful opportunities for evidence building consistent with the 

Department’s Fiscal Year (FY) 2022–FY 2026 Learning Agenda.

• Continue to provide grants, outreach, and technical assistance to institutions 

preparing youth and adult learners for the emerging workforce, with a focus on 

increasing the number and proportion of students of color, students from lowincome backgrounds, students with disabilities, and other underserved students 
29STRATEGIC GOAL 1 STRATEGIC OBJECTIVE 1.4

who enroll in and complete postsecondary education programs. The Department 

will continue to support multiple pathways to success such as community 

colleges, technical schools, and four-year institutions.

• Disseminate the Introduction to Stackable Credentials. This resource will provide 

practical steps for enhancing employer engagement, designing programs with 

stackable credentials, supporting student completion, and sustaining program 

responsiveness to employer needs.

• Disseminate the Young Adult Diversion Toolkit to help state and local governments 

learn how to provide justice-involved young adults with alternatives to 

prosecution, incarceration, or both.

• Identify opportunities to create clearer career pathways for students that may 

potentially reduce the time to complete a degree and the overall cost of college, 

including dual enrollment or concurrent enrollment, and make transfers of 

course credits more seamless and transparent.

• Host a national Advancing Equity in Career Connected Education Summit to 

share data, research, and best practices for ensuring all students, especially 

those who are members of special populations as defined in Perkins V, achieve 

their state-determined levels of performance on the Perkins core indicators of 

performance.

• Host town hall webinars to share aggregate and disaggregated data from State 

Consolidated Annual Reports and highlight states that are experiencing success 

in meeting their state-determined levels of performance on the Perkins core 

indicators of performance.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of adult education participants that achieve measurable 

skill gains (reporting for Native American and Alaskan Native, Hispanic 

or Latino, Asian, Black or African American, Native Hawaiian or other 

Pacific Islander, White, and more than one race).

42% 42%

2. Number of disaggregated student categories for which secondary 

career and technical education concentrators meet 90 percent of the 

average state-determined performance level for secondary students being 

placed in postsecondary education; advanced training; military service; 

national, community service, or peace corps; or employment.

Baseline TBD

3. Number of eligible Minority-Serving Institutions that can apply for 

competitive grant programs that contribute to student success, including 

access, support services, retention, and outreach.

818 828

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined. 
This page is intentionally left blank.
STRATEGIC GOAL

Support a diverse and talented educator 

workforce and professional growth to 

strengthen student learning.

2
32

2

FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC GOAL

Support a diverse and talented educator 

workforce and professional growth to 

strengthen student learning 

STRATEGIC GOAL LEADERS 

Senior Advisor, Office of the Deputy Secretary and 

Assistant Secretary, Office of Planning, Evaluation, 

and Policy Development

GOAL OBJECTIVES

2.1

Strengthen and diversify the educator 

pipeline and workforce.

2.2

Identify and promote evidence-based 

practices or strategies that support 

diverse districts (including rural 

districts) with high rates of poverty 

in recruiting, selecting, preparing, 

and retaining well-qualified (including 

in-field fully certified) and effective 

teachers, principals, paraprofessionals, 

and specialized instructional support 

personnel.

2.3 

Support the professional growth, 

retention, and advancement of 

talented, experienced educators and 

other school personnel and their 

capacity to meet the social, emotional, 

mental health, and academic needs of 

underserved students.
33STRATEGIC GOAL 2

Goal 2 Discretionary Resources

The following figure and table show budgetary resources and major programs and activities 

supporting Goal 2. 

Goal 2 Budgetary Resources

 

Major Programs and Activities Supporting Goal 2 (in thousands)

POC Objective Major Programs and Activities

FY 2021

Appropriation

FY 2022

Appropriation

FY 2023

President’s 

Budget

FSA 2.1 Health Education Assistance Loans 

Liquidating Account (M)

$(5,029) $(5,029) $(2,000)

FSA 2.1, 2.3 Teacher Education Assistance (M) $105,884 $82,090 $39,114

IES All Institute of Education Sciences (D) $126,840 $72,051 $68,340

OESE All Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021 ESSER Fund (D)

$54,311,004 $- $-

OESE All American Rescue Plan Act of 2021 ESSER Fund (D) $121,974,800 $- $-

OESE 2.2 English Language Acquisition $55,559 $55,599 $74,901

OESE 2.2 Indian Education (D) $67,993 $70,000 $67,993

OESE 2.1, 2.2, 2.3 Innovation and Improvement (D, M) $280,000 $319,000 $270,000

OESE 2.1, 2.2, 2.3 School Improvement Programs (D, M) $2,159,779 $2,189,737 $3,173,044

OPE 2.1, 2.2 Higher Education (D, M) $52,092 $74,651 $173,875

OSERS 2.2, 2.3 Rehabilitation Services and Disability 

Research (D)

$29,388 $ 29,388 $29,388

OSERS 2.2, 2.3 Special Education (D, M) $13,066,287 $13,477,334 $16,547,823

Note:

(1) Dollar amounts are estimates of program funding aligned to the Strategic Goal (see Appendix B). As programs may 

support more than one Strategic Goal, amounts included here may be reflected in budget tables for other Strategic Goals. 

Please see the Department’s Budget Tables for additional information on fiscal year (FY) 2021 Congressional Action, the 

FY 2022 Congressional Action, and the FY 2023 President’s Budget Request. (2) Negative dollar amounts (indicated by values 

in parentheses) represent a downward re-estimate for the program. (3) Letters following major programs and activities 

denote discretionary (D) or mandatory (M).

Acronyms and Definitions:

POC = Principal Operating Component; FY = Fiscal Year; FSA = Federal Student Aid; IES = Institute of Education Sciences; 

OESE = Office of Elementary and Secondary Education; ESSER = Elementary and Secondary School Emergency Relief; 

OPE = Office of Postsecondary Education; and OSERS = Office of Special Education and Rehabilitative Services.
34FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE2.1

Strengthen and diversify the educator pipeline 

and workforce 

STRATEGIC OBJECTIVE LEADERS

Assistant Secretary, Office of Postsecondary Education and Assistant 

Secretary, Office of Elementary and Secondary Education

Strategies and Activities

The Department will:

• Increase the number of teachers and providers with additional certifications 

or training in high-demand areas who can effectively prepare students for 

college and career pathways, including through high-quality career and 

technical education programs, by designing instruction in ways that are 

engaging and provide students with opportunities to think critically and solve 

complex problems; apply their learning in authentic and real-world settings; 

communicate and collaborate effectively; and develop academic mindsets, 

including through project-based, work-based, or other experiential learning 

opportunities and through effective integration of technology.

• Provide technical assistance to current grantees to support their efforts at 

diversifying the educator workforce, including through dissemination of best 

practices, webinars featuring successful efforts, and peer sharing.

• Incorporate educator diversity as a priority into relevant discretionary grant 

competitions.

• Support the use of formula grant funds to diversify the educator pipeline and 

workforce.

• Provide technical assistance to promote educator professional development that 

addresses the ongoing challenges that underserved families and communities 

face as a result of managing through the COVID-19 pandemic.
35STRATEGIC GOAL 2 STRATEGIC OBJECTIVE 2.1

• Support projects that aim to increase educator diversity in prekindergarten 

through grade 12 settings, including convenings of discretionary grantees that 

responded to a priority on increasing educator diversity.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of participants in teacher preparation projects funded 

under the Indian Education Professional Development Grants Program 

who become teachers in local educational agencies that serve a high 

proportion of Indian students.

Prior year 

+ 5% 

Prior year 

+ 5% 

2. Percentage of individual discretionary grant programs that include a 

priority (i.e., absolute, competitive, or invitational priority) that advances 

educator diversity.

17% 20%

3. Amount of discretionary funds awarded to projects that advance 

educator diversity.

Baseline TBD

4. Percentage of Effective Educator Development Program grantees 

participating in technical assistance opportunities that focus on the 

importance of educator diversity.

100% 100%

5. Percentage of scholars from diverse backgrounds who graduate from 

special education, related services, and early intervention preparation 

programs.

30% 31%

6. Percentage of qualified teachers recruited in high-needs districts through 

programs modeled after a grow-your-own teacher approach (i.e., programs 

that recruit and train teachers from within communities to bring racial, 

ethnic, and cultural diversity and skills, such as bilingualism, into schools).

Baseline TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
36FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE2.2

Identify and promote evidence-based practices or 

strategies that support diverse districts (including rural 

districts) with high rates of poverty in recruiting, selecting, 

preparing, and retaining well-qualified (including infield fully certified) and effective teachers, principals, 

paraprofessionals, and specialized instructional support 

personnel 

STRATEGIC OBJECTIVE LEADERS

Deputy Assistant Secretary, Office of Planning, Evaluation, and 

Policy Development and Director, Institute of Education Sciences

Strategies and Activities

The Department will:

• Identify and disseminate resources on building a pipeline of qualified, diverse 

educators recruited and retained in high-needs school districts. For example, 

identify and disseminate research, such as the Institute of Education Sciences’ 

Exploring Early Implementation of Pennsylvania’s Innovative Teacher and Principal 

Residency Grants.
37STRATEGIC GOAL 2 STRATEGIC OBJECTIVE 2.2

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of candidates in teacher preparation programs who become 

teachers of record.

90% 92%

2. Number of qualified teachers and school leaders retained in high-needs 

schools, including those who were recruited through teacher residency 

programs.

5,500 5,750

Acronyms and Definitions:

FY = Fiscal Year.
38FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE2.3

Support the professional growth, retention, and 

advancement of talented, experienced educators and 

other school personnel and their capacity to meet the 

social, emotional, mental health, and academic needs of 

underserved students.

STRATEGIC OBJECTIVE LEADER

Assistant Secretary, Office of Elementary and Secondary Education

Strategies and Activities

The Department will:

• Identify and disseminate evidence-based resources and information on 

addressing the social, emotional, mental health, and academic needs of 

underserved students. 

• Promote evidence-based professional development strategies and approaches 

for educators and other school personnel to build capacity to address the social, 

emotional, mental health, and academic needs of all students and student 

groups, particularly underserved students.

• Support projects that aim to advance effective and experienced educators into 

leadership positions. Specifically, support grantees in the Office of Elementary 

and Secondary Education’s Effective Educator Development Programs unit 

by, for example, providing opportunities for grantees to share successes and 

challenges at project coordinator meetings. 
39STRATEGIC GOAL 2 STRATEGIC OBJECTIVE 2.3

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of educators participating in leadership preparation 

programs.

85% 87%

2. Percentage of local educational agencies indicating that one of their 

top two uses of Title II, Part A professional development funds is for 

professional development that is sustained, job-embedded, and/or 

collaborative.

Baseline TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
This page is intentionally left blank.
STRATEGIC GOAL

Meet students’ social, emotional, and 

academic needs.

3
42

3

FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC GOAL

Meet students’ social, emotional, and 

academic needs 

STRATEGIC GOAL LEADER

Senior Advisor, Office of the Deputy Secretary

GOAL OBJECTIVES

3.1

Support the development and 

implementation of multitiered systems 

of supports to increase students’ 

engagement; social, emotional, 

and mental health; well-being; and 

academic success.

3.2

Foster supportive, inclusive, and 

identity-safe learning environments 

and ensure the individual needs of 

underserved students are met through 

appropriately designed instruction, 

evidence-based practices, and related 

supports and services.

3.3

Strengthen learning environments, 

support professional development, 

and improve educator credentialing 

for emergent bilingual students and 

multilingual learners.
43STRATEGIC GOAL 3

Goal 3 Discretionary Resources

The following figure and table show budgetary resources and major programs and activities 

supporting Goal 3.

Goal 3 Budgetary Resources

 

Major Programs and Activities Supporting Goal 3 (in thousands)

POC Objective Major Programs and Activities

FY 2021

Appropriation

FY 2022

Appropriation

FY 2023

President’s 

Budget

IES All Institute of Education Sciences (D) $642,462 $669,928 $662,516

OELA 3.2, 3.3 English Language Acquisition (D) $797,400 $831,400 $1,000,099

OESE 3.1, 3.2 Safe Schools and Citizenship Education (D) $217,000 $361,000 $693,000

OESE 3.2 Education for the Disadvantaged (D) $643,865 $643,865 $649,626

OESE 3.2 Innovation and Improvement (D) $200,250 $228,250 $248,000

OESE 3.2, 3.3 Indian Education (D) $181,239 $189,246 $186,239

OESE All Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021 ESSER Fund (D)

$54,311,004 $- $-

OESE All American Rescue Plan Act of 2021 ESSER Fund (D) $121,974,800 $- $-

OESE All School Improvement Programs (D) $2,780,180 $3,737,987 $2,780,180

OSERS 3.2 American Print House for the Blind (D) $34,431 $40,341 $37,431

OSERS 3.2 Rehabilitation Services and Disability 

Research (D)

$17,000 $18,000 $18,500

OSERS 3.2 Special Education (D) $13,914,502 $14,355,337 $17,796,388

Note:

(1) Dollar amounts are estimates of program funding aligned to the Strategic Goal (see Appendix B). As programs may 

support more than one Strategic Goal, amounts included here may be reflected in budget tables for other Strategic Goals. 

Please see the Department’s Budget Tables for additional information on fiscal year (FY) 2021 Congressional Action, the 

FY 2022 Congressional Action, and the FY 2023 President’s Budget Request. (2) Letters following major programs and 

activities denote discretionary (D) or mandatory (M).

Acronyms and Definitions:

POC = Principal Operating Component; FY = Fiscal Year; IES = Institute of Education Sciences; OELA = Office of English 

Language Acquisition; OESE = Office of Elementary and Secondary Education; ESSER = Elementary and Secondary School 

Emergency Relief; and OSERS = Office of Special Education and Rehabilitative Services.
44FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE3.1

Support the development and implementation of 

multitiered systems of supports to increase students’ 

engagement; social, emotional, and mental health; 

well-being; and academic success 

STRATEGIC OBJECTIVE LEADER 

Deputy Assistant Secretary, Office of Elementary and Secondary 

Education

Strategies and Activities

The Department will:

• Scale cross-agency coordination to increase knowledge to potentially eligible 

students about public benefits available to them in the wake of the COVID-19 

pandemic.

• Support states and districts in the implementation of multitiered systems of 

supports to improve school climate and access to mental health services for 

students exposed to violence and other traumatic events.

• Support projects that increase school capacity to better address the social, 

emotional, behavioral, physical, and academic needs of underserved students 

(e.g., students with disabilities, multilingual learners, students experiencing 

homelessness or trauma, students without access to technology, and migrant 

students).

• Support projects that increase the capacity of early childhood programs to 

support the social, emotional, and behavioral development of young children 

with and at risk for developmental delay or disability.

• Issue invitational and competitive preference priorities to grantees to provide 

integrated student support services (i.e., wrap-around services) for students to 

address challenges, such as mental health, basic needs, and academic support 
45STRATEGIC GOAL 3 STRATEGIC OBJECTIVE 3.1

due to the COVID-19 pandemic. Grant applicants will be asked to describe ways 

they will collaborate with partners to provide resources to support students and 

communities hit hardest by the pandemic and implement evidence-based best 

practices to address the existing inequities exacerbated by the pandemic.

• Support state educational agencies that implement model programs that enable 

access to trauma-specific mental health services for students from low-income 

backgrounds and other underserved students who have experienced trauma or 

other adverse childhood experiences that may negatively affect their educational 

engagement and ability.

• Release products from the Institute of Education Sciences’ (IES’) What Works 

Clearinghouse that support the adoption of evidence-based practices in 

prekindergarten through grade 12 education, including topics such as promoting 

social and behavioral success for learning in elementary schools and assisting 

students struggling with reading in grades 4 through 9.

• Support projects and programs that improve students’ social, emotional, 

and academic development, such as identifying conditions of the learning 

environment that contribute to success and engaging with families and 

community leaders.

• Support the development, improvement, and expansion of full-service 

community schools (FSCS) as a strategy to provide wrap-around support for 

students and families, including through an ongoing evaluation of FSCS led 

by IES.

• Monitor FSCS grantees to implement their approved applications, review annual 

performance reports, and conduct quarterly calls.

• Build evidence about the implementation and/or efficacy of programs related 

to public school opportunities or parent engagement, including both new 

and ongoing work at IES related to Statewide Family Engagement Centers and 

magnet schools.

• Publish guidance documents on key issues related to the equitable and effective 

use of technology and mental health services for vulnerable populations.

• Work collaboratively with other agencies to improve the quality of educational 

programs in juvenile justice facilities.

• Monitor all States on their general supervision systems and implementation 

of Individuals with Disabilities Education Act (IDEA) requirements to improve 

outcomes for infants, toddlers, children, and youth with disabilities. Monitoring 

will occur over a five-year cycle in three phases. Phase 1 is for pre-site work and 

interviews; Phase 2 is for an on-site visit or virtual activities and issuance of 

the monitoring report; and Phase 3 is for corrective action or needed technical 

assistance.
46FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT STRATEGIC OBJECTIVE 3.1

• Provide technical assistance to IDEA Part C programs to enhance their childfind systems that will improve equitable access to Part C services for infants 

and toddlers with disabilities and their families who have traditionally been 

underserved by Part C.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Number of schools implementing full-service community schools’ 

strategies.

Prior year 

+ 2%

TBD

2. Number of high-impact activities or services1

 implemented to ensure 

that parents are trained and can effectively engage in activities that 

will improve students’ social, emotional, and mental health as well as 

academic development to include an understanding of how they can 

support learning in the classroom with activities at home or outside the 

school as well as how they can participate in state and local decisionmaking processes.

700 800

3. Percentage of schools that reduce chronic absenteeism for all available 

subgroups, including American Indian or Alaska Native students, Asian 

students, Black or African American students, Hispanic/Latino students, 

Native Hawaiian or other Pacific Islander students, students of two or 

more races, White students, children with disabilities, English learners, 

and students experiencing homelessness.

Baseline TBD

4. Percentage of national chronic absenteeism. Baseline TBD

5. Amount of discretionary funds awarded to projects that address 

students’ social, emotional, and mental health as well as academic needs.

Prior year 

+10%

TBD

6. Percentage of discretionary grant programs that include a priority (i.e., 

absolute, invitational, or competitive preference priority) that addresses 

student social, emotional, and mental health as well as academic needs.

75% 80%

7. Percentage of schools that report annually an improved school climate 

based on the results of the Department’s School Climate Surveys or via a 

similar tool.

75% 80%

8. Number of states with 80 percent or more prekindergarten children 

with disabilities that show greater-than-expected growth in social–

emotional skills by the time they exit Individuals with Disabilities 

Education Act Part B, Section 619 services.

25 26 

9. Number of states with 65 percent or more infants and toddlers with 

disabilities that show greater-than-expected growth in social–emotional 

skills by the time they exit Individuals with Disabilities Education Act Part C 

services.

27 28 

10. Number of successful grant applications that address the Secretary’s 

supplemental priorities related to social, emotional, and academic needs.

Baseline Prior year 

+ 20 

11. Number of schools that report fidelity data on their Positive Behavioral 

Interventions and Supports (PBIS) implementation efforts via PBIS apps.

10,680 10,785

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.

1

High-impact activities or services are defined as evidence-based or evidence-informed activities 

or services that are designed to build the capacity of families and educators to effectively build 

relationships, engage with schools and educational systems, and/or help build statewide infrastructure.
47STRATEGIC GOAL 3

STRATEGIC OBJECTIVE3.2

Foster supportive, inclusive, and identity-safe learning 

environments and ensure the individual needs of 

underserved students are met through appropriately 

designed instruction, evidence-based practices, and 

related supports and services.

STRATEGIC OBJECTIVE LEADERS

Assistant Secretary, Office of Elementary and Secondary Education 

and Assistant Secretary, Office of Special Education and 

Rehabilitative Services

Strategies and Activities

The Department will:

• Support programs that connect students and out-of-school youth with disabilities 

to resources that will assist them in transitioning to adult life, including 

connecting them to career and technical education and vocational rehabilitation.

• Use the results of a national needs assessment conducted in fiscal year (FY) 2021 

to inform improvements to the Office of Elementary and Secondary Education’s 

Office of Migrant Education’s Migrant Student Information Exchange (MSIX) and 

the Department’s related technical assistance. The improvements will ensure 

school staff and other Migrant Education Program stakeholders have access and 

the capacity to effectively use MSIX data to meet the unique educational needs of 

migratory students, including students with disabilities and underserved children.

• Support states in developing or strengthening summer, afterschool, and other 

extended learning and enrichment programs and facilitating robust family and 

community engagement and input on how to improve access to in-school and 

out-of-school learning opportunities for underserved students.
48FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT STRATEGIC OBJECTIVE 3.2

• Fund projects to provide technical assistance to states, local educational agencies, 

early childhood programs, and early intervention programs to support the 

inclusion of children with disabilities in early childhood programs and schools.

• Fund parent training centers to provide supports to families to enhance their 

capacity to effectively work with schools and service providers in meeting the 

needs of their children with disabilities.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of grantees providing culturally responsive activities. Baseline TBD

2. Number of state and local educational agencies that the Department 

engages in technical assistance and other supports to provide safe, 

inclusive, and healthy learning environments that meet the academic, 

social, and emotional needs of every student.

Prior year 

+ 15% 

Prior year 

+ 10%

3. Percentage of Student Support Service students served who persist into 

their next year of enrollment or attain a degree.

86.0% 87.0%

4. Percentage of prekindergarten children with disabilities attending 

general early childhood programs and receiving the majority of 

Individuals with Disabilities Education Act services in that setting.

Prior year 

+ 1%

Prior year 

+ 1%

5. Percentage of parents receiving Special Education Parent Information 

Centers services who report having enhanced capacity to effectively work 

with schools and service providers in meeting the needs of their children.

90.3% 90.3%

6. Percentage of students ages 14 through 21 with disabilities served 

under Individuals with Disabilities Education Act Part B who exit school by 

dropping out.

16.0% 15.5%

7. Percentage of students with disabilities who spend 80 percent or more 

of the day inside a regular class.

65.1% 65.3%

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
49STRATEGIC GOAL 3

STRATEGIC OBJECTIVE3.3

Strengthen learning environments, support professional 

development, and improve educator credentialing for 

emergent bilingual students and multilingual learners 

STRATEGIC OBJECTIVE LEADER

Assistant Deputy Secretary, Office of English Language Acquisition

Strategies and Activities

The Department will:

• Support the development and implementation of programs that support 

preservice programs, teacher in-service programs, (including school leaders), 

and programs that provide experience working with multilingual students to 

increase teacher, paraprofessional, and school leadership credential attainment.

• Support state educational agencies and local educational agencies in 

strengthening learning environments for multilingual learners by curating and 

disseminating evidence-based practices on key topics, such as native language 

support, access to bilingual programs, and heritage language development.

• Increase access to high-quality prekindergarten programs for multilingual 

learners by supporting professional development, credentialing of the educator 

workforce working in early childhood programs.

• Support parents and communities as core partners to educators through 

dissemination of parent toolkits and other resources, engaging directly with 

parents and communities and encouraging dual capacity framework practices 

in schools.
50FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT STRATEGIC OBJECTIVE 3.3

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of students who attain proficiency in a Native language as 

determined by each grantee through pre- and post-assessments of Native 

language proficiency.

5% 8% 

2. Number of technical assistance and outreach activities that support 

(or increase awareness of supports for) the English learners’ education 

community and/or its stakeholders.

10 12

3. Number of National Professional Development grant participants who 

are enrolled and are making progress toward becoming state-certified, 

licensed, or endorsed in English learner instruction.

5,000 5,000

4. Number of National Professional Development grant participants who 

have become state-certified, licensed, or endorsed in English as a Second 

Language or bilingual instruction.

2,000 2,000

Acronyms and Definitions:

FY = Fiscal Year.
STRATEGIC GOAL

Increase postsecondary value by focusing on 

equity-conscious strategies to address access 

to high-quality institutions, affordability, 

completion, post-enrollment success, and 

support for inclusive institutions.4
52

4

FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC GOAL

Increase postsecondary value by focusing on 

equity-conscious strategies to address access 

to high-quality institutions, affordability, 

completion, post-enrollment success, and 

support for inclusive institutions 

STRATEGIC GOAL LEADER

Under Secretary, Office of the Under Secretary

GOAL OBJECTIVES

4.1

Support educational institutions 

and state systems in efforts to 

raise academic quality and college 

completion for all students, especially 

for underserved students, such as firstgeneration students, students from 

low-income backgrounds, students of 

color, and students with disabilities.

4.2

Improve the administration of student 

aid programs to help eligible students 

receive aid; support borrowers in 

successfully repaying their loans, 

claiming loan forgiveness benefits, 

and mitigating student loan default; 

and hold contractors accountable.

4.3

Increase equitable access to secondary 

and postsecondary programs 

that have clear on-ramps to both 

high-quality jobs and additional highquality postsecondary educational 

opportunities.

4.4

Improve the alignment across 

secondary, postsecondary, and career 

and technical education programs, 

including through transparent and 

effective transition processes, inclusive 

pathways, and clear credentialing 

requirements. 
53STRATEGIC GOAL 4

Goal 4 Discretionary Resources

The following figure and table show budgetary resources and major programs and activities 

supporting Goal 4.

Goal 4 Budgetary Resources

 

Major Programs and Activities Supporting Goal 4 (in thousands)

POC Objective Major Programs and Activities

FY 2021

Appropriation

FY 2022

Appropriation

FY 2023

President’s 

Budget

FSA 4.1, 4.3 Federal Direct Student Loans Program 

Account (M)

$96,431,043 $48,440,689 $15,313,681

FSA 4.1, 4.3 Federal Family Education Loans Program 

Account (M)

$6,402,389 $12,357,552 $-

FSA 4.1, 4.3 Student Financial Assistance (D, M) $25,038,749 $26,104,773 $34,917,335

OCTAE 4.3, 4.4 Career, Technical, and Adult Education 

Institute (D, M)

$1,342,269 $1,387,269 $1,570,269

OESE 4.4 School Improvement Programs (M) N/A $0 $0

OPE 4.1 Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021 HEERF (D)

$81,880,000 $- $-

OPE 4.1 American Rescue Plan Act of 2021 HEERF III (D) $39,584,570 $- $-

OPE 4.1, 4.3 Higher Education (D, M) $3,462,551 $3,337,386 $4,008,355

OSERS 4.1 Gallaudet University (D) $140,361 $146,361 $143,361

OSERS 4.1 National Technical Institute for the Deaf (D) $81,500 $88,500 $84,500

Note:

(1) Dollar amounts are estimates of program funding aligned to the Strategic Goal (see Appendix B). As programs may 

support more than one Strategic Goal, amounts included here may be reflected in budget tables for other Strategic Goals. 

Please see the Department’s Budget Tables for additional information on fiscal year (FY) 2021 Congressional Action, the 

FY 2022 Congressional Action, and the FY 2023 President’s Budget Request. (2) Negative dollar amounts (indicated by values 

in parentheses) represent a downward re-estimate for the program. (3) Letters following major programs and activities 

denote discretionary (D) or mandatory (M).

Acronyms and Definitions:

POC = Principal Operating Component; FY = Fiscal Year; FSA = Federal Student Aid; OCTAE = Office of Career, Technical, and 

Adult Education; OESE = Office of Elementary and Secondary Education; N/A= Not Applicable; OPE = Office of Postsecondary 

Education; HEERF = Higher Education Emergency Relief Fund; and OSERS = Office of Special Education and Rehabilitative 

Services.
54FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE4.1

Support educational institutions and state systems 

in efforts to raise academic quality, global awareness, 

and college completion for all students, especially for 

underserved students such as first-generation students, 

students from low-income backgrounds, students of color, 

and students with disabilities 

STRATEGIC OBJECTIVE LEADER

Assistant Secretary, Office of Postsecondary Education

Strategies and Activities

The Department will:

• Support projects that strengthen community colleges, Historically Black Colleges 

and Universities, Hispanic-serving institutions, Asian American and Native 

American Pacific Islander-serving institutions, Tribally Controlled Colleges and 

Universities, and other Minority-Serving Institutions.

• Provide accurate and easy to use data through tools such as the College 

Scorecard, to help underserved students and families make informed decisions 

about pursuing postsecondary pathways.

• Use the Monitoring and Technical Assistance Guide for the Vocational 

Rehabilitation (VR) Program to conduct monitoring and provide technical 

assistance to state VR agencies, with a focus on the performance outcomes of 

individuals served by the VR Program and the Supported Employment Program.
55STRATEGIC GOAL 4 STRATEGIC OBJECTIVE 4.1

Performance Indicators

Performance Indicator

FY 2022 

Taget

FY 2023 

Target

1. Number of technical assistance activities (e.g., events, trainings, and 

webinars) or products focused on the use of evidence-based practices 

to meet the social, emotional, academic, and other learning and 

developmental needs of students in postsecondary and adult education.

50 75

2. Percentage of applicants from community colleges, Historically Black 

Colleges and Universities, Tribally Controlled Colleges and Universities, 

and Minority-Serving Institutions for higher education grants.

48% 48%

3. Number of students with disabilities who receive counseling on 

enrollment in postsecondary education through the Vocational 

Rehabilitation Program.

86,000 87,000

4. Number of Vocational Rehabilitation Program participants who are 

enrolled in postsecondary education and training.

180,000 185,000

Acronyms and Definitions:

FY = Fiscal Year.
56FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Improve the administration of student aid programs to 

help eligible students receive aid; support borrowers in 

successfully repaying their loans, claiming loan forgiveness 

benefits, and mitigating student loan default; and hold 

contractors accountable 

STRATEGIC OBJECTIVE4.2

STRATEGIC OBJECTIVE LEADER

Chief Operating Officer, Federal Student Aid

Strategies and Activities

The Department will:

• Increase access to federal student aid and improve the customer experience 

through the services available on the StudentAid.gov website and by simplifying 

the Free Application for Federal Student Aid® (FAFSA®) form. Federal Student Aid 

(FSA) leads collaboration on the implementation of the Fostering Undergraduate 

Talent by Unlocking Resources for Education (FUTURE) Act, the FAFSA Simplification 

Act of 2020, and the modernization of the FAFSA backend systems.

• Provide enhanced customer support through Business Process Operation 

vendors, including: 

• More channels for streamlined support (e.g., inbound and outbound phone 

calls, emails, chat, fax, and mail).

• Increased bilingual customer service capability in key support areas, 

including the FAFSA form, aid receival, and loan management and discharge.

• Expanded call center days and hours of operation.

• Modernize and improve financial aid products that allow students to understand 

and access information about college options, associated costs, loan counseling and 

guidance, support for retention, loan repayment options, and borrower benefits.
57STRATEGIC GOAL 4 STRATEGIC OBJECTIVE 4.2

• Execute a multichannel communication and engagement plan, which will raise 

awareness of the resumption of student loan payments and direct all borrowers, 

particularly those who need assistance, toward available resources.

• Assist borrowers in resuming payments, with a particular focus on those who 

are at risk of delinquency.

• Implement operational improvements designed to increase participation in 

Auto-Debit and Income-Driven Repayment programs.

• Assist customers in identifying the appropriate information and financial 

pathways to meet their educational goals and lessen unaffordable long-term 

debt associated with financial management decisions. To accomplish this, 

FSA and the Office of Postsecondary Education will increase collaboration and 

coordination of Department outreach efforts to further promote information 

and materials that inform students and parents about federal student loan 

repayment options, both before and throughout the student aid life cycle.

• Implement data and analytics capabilities to provide meaningful customer 

insights for improving the quality of service and operational efficiency of entities 

that directly support federal aid customers (e.g., loan servicers, contractors, and 

financial institutions).

• Promote institutional awareness of opportunities to support Pell Grant recipients 

and other underserved groups by collecting and reporting data and best 

practices on Higher Education Emergency Relief Fund (HEERF) grant aid.

• Use HEERF internal and public reporting on underserved groups to inform 

decision-making at the Department.

• Use high-quality data for transparency, accountability, and institutional 

improvement to conduct negotiated rulemaking that supports postsecondary 

students and loan borrowers.

• Issue new guidance allowing colleges to use emergency funds in more flexible 

ways, including expanding flexibilities for student and institutional needs; 

empowering institutions to use their funds to discharge student debts owed 

to the institution, support student services, and re-engage those students who 

may have left college due to financial concerns associated with the COVID-19 

pandemic; and emphasizing ways to support vulnerable students.

• Work diligently to mitigate risks that posed to students and taxpayers through the 

management of regulations, including Borrower Defense to Repayment, Closed 

School Discharge, False Certification Discharge, and Jeanne Clery Disclosure 

of Campus Security Policy and Campus Crime Statistics Act compliance. FSA will 

share information publicly about its school oversight activities to increase 

transparency in its efforts, provide guidance regarding acceptable conduct, and 

deter misconduct by schools participating in Title IV programs.
58STRATEGIC OBJECTIVE 4.2 FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Performance Indicators

Performance Indicator

FY 2022 

Taget

FY 2023 

Target

1. Percentage of contractor interactions reviewed that received a passing 

score.

Baseline ≥95%

2. Accuracy of contractor tasks. Baseline ≥95%

3. Percentage of high school seniors submitting the Free Application for 

Federal Student Aid® (FAFSA®) form.

60.9% 61.1%

4. Persistence among first-time filing aid recipients. 81.1% 81.2%

5. Verification rate of Free Application for Federal Student Aid ® (FAFSA®) 

filers.

10.6% 8.5%

6. Number of borrowers approved to receive loan forgiveness. Baseline TBD

7. Satisfaction survey scores associated with the Free Application for 

Federal Student Aid® (FAFSA®) application.

81 82

8. Number of sessions (as measured by completions) the Loan Simulator

tool is used.

2.4 million 2.5 million

9. Number of borrower defense claims resolved. Baseline TBD

10. Percentage of income-driven repayment plan enrollees who submit 

their annual recertification on time.

N/A Baseline

11. First-time defaults post-payment pause. N/A Baseline

Acronyms and Definitions:

FY = Fiscal Year; TBD = To Be Determined; and N/A = Not Applicable.
59STRATEGIC GOAL 4

Increase equitable access to secondary and postsecondary 

programs that have clear on-ramps to both high-quality 

jobs and additional high-quality postsecondary educational 

opportunities 

STRATEGIC OBJECTIVE4.3

STRATEGIC OBJECTIVE LEADER

Assistant Secretary, Office of Career, Technical, and Adult Education

Strategies and Activities

The Department will:

• Work to expand equitable access to evidence-based policies and programs that 

support a successful transition from high school to postsecondary education and 

careers, including: 

• Dual or concurrent enrollment programs and access to accelerated 

coursework, such as Advanced Placement and International Baccalaureate 

courses to earn postsecondary credit while still in high school.

• High-quality science, technology, engineering, and mathematics (STEM) 

instruction, including computer science.

• Development of job skills through high-quality career, technical, and adult 

education programs. These options are critical for students as they prepare 

for the transition to postsecondary institutions and careers and the quickly 

changing demands of the technology-driven global economy.

• Share promising practices used by states to encourage local recipients of Perkins 

funds to prioritize job quality in their comprehensive local needs assessments.

• Hold a convening in June 2022 by the Integrated Education and Training in 

Corrections Project, which will include a component focused on supporting 

increased stackability and transferability of postsecondary programs specifically 

geared toward incarcerated learners.
60STRATEGIC OBJECTIVE 4.3 FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

• Submit presentation proposals for the American Association of Community 

Colleges’ Spring annual conference to conduct sessions on Stackable Credentials 

and the Ability to Benefit.

• Support the execution of intensive technical assistance agreements developed 

by technical assistance centers with state Vocational Rehabilitation agencies to 

improve program performance.

• Release a practice guide via the Institute of Education Sciences’(IES’) What Works 

Clearinghouse (i.e., the clearinghouse) supporting postsecondary institutions’ 

adoption of evidence-based practices in holistic advising in an effort to improve 

rates of college completion.

• Release at least two intervention reports via IES’ clearinghouse to review 

the extent of evidence that supports the adoption of common approaches to 

improving postsecondary success, including but not limited to interventions 

that seek to promote a growth mindset and improve students’ perceptions of 

belonging.

Performance Indicators

Performance Indicator

FY 2022 

Taget

FY 2023 

Target

1. Number of states that include job quality measurements in their 

engagement with localities regarding the creation of comprehensive local 

needs assessments.

20 25

2. Number of technical assistance activities (e.g., events, trainings, 

convenings, webinars, communications, and products) focused on 

supporting increased stackability and transferability of postsecondary 

programs.

3 3

3. Number of technical assistance activities (e.g., events, trainings, 

convenings, webinars, communications, and products) focused on the 

use of promising or evidence-based practices to connect students in 

postsecondary and adult education to basic needs support.

50 65

Acronyms and Definitions:

FY = Fiscal Year.
61STRATEGIC GOAL 4

Improve the alignment across secondary, postsecondary, 

and career and technical education programs, including 

through transparent and effective transition processes, 

inclusive pathways, and clear credentialing requirements 

STRATEGIC OBJECTIVE4.4

STRATEGIC OBJECTIVE LEADER

Assistant Secretary, Office of Career, Technical, and Adult Education

Strategies and Activities

The Department will:

• Provide technical assistance to promote the development and use of stackable 

credentials by community and technical colleges to improve the attainment 

of career and technical education (CTE) credentials by their students. By 

awarding credit for a range of education, training, workplace learning, and skillbuilding experiences that “stack” toward associate degrees, stackable credential 

programs are meant to help working students develop the skills they need to 

simultaneously advance on the job and earn credentials that enable further 

study. Such programs are designed to accelerate credit attainment and may 

increase the likelihood of degree completion.

• Provide technical assistance to increase the usage of equity-focused strategies in 

dual enrollment access.

• Scale technical assistance to states to implement Integrated Education and 

Training in adult education and correctional education settings.

• Support the development and implementation of student success programs 

that include multiple interventions such as academic advising, the provision of 

financial resources, structured pathways, and other student supports to increase 

credential attainment.

• Support grant recipients of the Pathways to Science, Technology, Engineering, 

and Mathematics (STEM) Apprenticeship for High School CTE Students 
62STRATEGIC OBJECTIVE 4.4 FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Demonstration Grant Program, which expands pathways and improves 

the transition of high school CTE students to postsecondary education and 

employment through apprenticeships in STEM fields, including computer 

science, that begin during high school.

• Support the grant recipients of the Perkins Innovation and Modernization 

Program to identify, support, and evaluate evidence-based and innovative 

strategies and activities to improve and modernize CTE and ensure that 

workforce skills taught in CTE programs funded under the Perkins statute align 

with labor market needs.

• Launch the CTE STEM Index Project to support the development of CTE 

programs by providing a tool to better estimate the demand for STEM jobs and 

the skills that can be gained in CTE to enter STEM career pathways.

Performance Indicators

Performance Indicator

FY 2022 

Taget

FY 2023 

Target

1. Percentage of Upward Bound and Talent Search high school degree 

completers who are reported in the Annual Performance Report to have 

completed a rigorous program of study.

79% 79%

2. Number of technical assistance activities (e.g., events, convenings, 

trainings, webinars, communications, and products) focused on 

implementing and improving integrated education and training 

programs, including in correctional and reentry education.

41 55

3. Number of technical assistance activities (e.g., events, convenings, 

trainings, webinars, communications, and products) focused on 

implementing and improving career pathways and expanding highquality work-based learning opportunities.

62 60

4. Number of technical assistance activities that encourage equity-focused 

strategies around dual enrollment.

3 6

5. Percentage of economically disadvantaged high school graduate career 

and technical education (CTE) concentrators that attain postsecondary 

credits in the relevant CTE program or program of study through a dual or 

concurrent enrollment or another credit transfer agreement in the 12 states 

that report for the Carl D. Perkins Career and Technical Education Act.

Baseline TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
STRATEGIC GOAL

Enhance the Department’s internal 

capacity to optimize the delivery of 

its mission.

5
64

5

FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Enhance the Department’s internal 

capacity to optimize the delivery of 

its mission 

STRATEGIC GOAL LEADER

Assistant Secretary, Office of Finance and Operations

STRATEGIC GOAL

GOAL OBJECTIVES

5.1

Manage information technology as 

a strategic resource and driver to 

promote the advancement of the 

missions executed by the Department’s 

21st-century workforce.

5.2

Strengthen agency-wide data 

governance and build capacity 

to improve data access, data 

management, and enterprise data 

analytics in support of agency goals. 

5.3

Recruit, retain, and develop the 

workforce needed to meet the 

Department’s mission now and into 

the future.

5.4

Deliver mission outcomes and value for 

taxpayers through efficient acquisition 

management and proactive industry 

partnerships while promoting small 

businesses. 
65STRATEGIC GOAL 5

GOAL 5 Discretionary Resources

The following figure and table show budgetary resources and major programs and activities 

supporting Goal 5.

Goal 5 Budgetary Resources

 

Major Programs and Activities Supporting Goal 5 (in thousands)

POC Objective Major Programs and Activities

FY 2021

Appropriation

FY 2022

Appropriation

FY 2023

President’s 

Budget

All 5.3 Departmental Management/Student Aid 

Administration (D)

$430,000 $394,907 $548,000

OCR 5.3 Office for Civil Rights (D) $131,000 $135,500 $161,300

OIG 5.3 Office of Inspector General (D) $63,000 $64,000 $76,452

Note:

(1) Dollar amounts are estimates of program funding aligned to the Strategic Goal (see Appendix B). As programs may 

support more than one Strategic Goal, amounts included here may be reflected in budget tables for other Strategic Goals. 

Please see the Department’s Budget Tables for additional information on fiscal year (FY) 2021 Congressional Action, the 

FY 2022 Congressional Action, and the FY 2023 President’s Budget Request. (2) Letters following major programs and 

activities denote discretionary (D) or mandatory (M).

Acronyms and Definitions:

POC = Principal Operating Component; FY = Fiscal Year; OCR = Office for Civil Rights; and OIG = Office of Inspector General. 
66FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE5.1

Manage information technology as a strategic resource 

and driver to promote the advancement of the missions 

executed by the Department’s 21st-century workforce 

STRATEGIC OBJECTIVE LEADER

Chief Information Officer, Office of the Chief Information Officer

Strategies and Activities

The Department will:

• Prioritize the Department’s information technology and cybersecurity programs 

and practices.

• Educate, support, and incentivize institutions of higher education (IHEs) to 

mature their cybersecurity postures. Specifically:

• Continue to refine processes and actively engage IHEs to ensure compliance 

with the Gramm-Leach-Bliley Act (GLBA).

• Proactively put in place compliance programs to reduce the number of 

noncompliant GLBA audits over time.

• Continue engagements with nongovernmental organizations to inform 

the development of best-practice programmatic improvements and 

communicate the Department’s strategic cybersecurity objectives.

• Continue to address the requirements to:

• Educate, support, and incentivize IHEs to mature their cybersecurity 

postures to protect the Department, Federal Student Aid (FSA), and 

student data more effectively.

• Identify and implement cybersecurity requirements and best practices 

to protect controlled unclassified information that is transmitted, 

processed, stored, and destroyed by Title IV eligible IHEs.

• Enhance FSA’s existing IHE Title IV data breach notification, threat 

intelligence, incident response, and remediation processes.
67STRATEGIC GOAL 5 STRATEGIC OBJECTIVE 5.1

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of modernizing investments reviewed through the 

information technology governance review process.

50% 60%

2. The Department’s Office of the Chief Information Officer composite 

information technology security score.

80% 80%

3. Percentage increase on the information technology customer feedback 

scorecard.

Baseline TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
68FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE5.2

Strengthen agency-wide data governance and build 

capacity to improve data access, data management, and 

enterprise data analytics in support of agency goals. 

STRATEGIC OBJECTIVE LEADER

Chief Data Officer, Office of Planning, Evaluation, and Policy 

Development

Strategies and Activities

The Department will:

• Continue to implement the requirements of the Evidence Act as outlined in 

Office of Management and Budget’s Memorandums M-19-23 and M-20-12 as 

well as additional implementation memorandums and the annually published 

Federal Data Strategy Action Plans.

• Continue to convene the Data Governance Board (DGB) to discuss and evaluate 

high-priority data needs, as detailed in the Department’s inaugural Data Strategy. 

Offices in the Department will implement goals and objectives under the Data 

Strategy, such as how best to address data needs in the Department’s Fiscal 

Year (FY) 2022–FY 2026 Learning Agenda and implement a data investment 

management process.

• Continue to implement new data governance structure and policies and, 

throughout FY 2023, improve that structure for agency data governance, 

developing policies, procedures, and constructs in support of transparent 

decision-making. These efforts will be led by the Department’s Chief Data Officer 

in consultation with the Department’s Performance Improvement Officer, 

Statistical Official, Evaluation Officer, Chief Information Officer, Chief Privacy 

Officer, and other perspectives also represented on the Department’s DGB.

• Support the data governance program to evolve structures, policies, and 

procedures and better connect data governance with broader organizational 
69STRATEGIC GOAL 5 STRATEGIC OBJECTIVE 5.2

governance in support of collaborative decision-making that will enable 

execution across the interconnected governance bodies. As part of these 

activities, the agency will expand its Data Professionals Community of Practice 

to facilitate information sharing and capacity building of Department data 

professionals and support the Data Coordinator Council, with representation 

from each principal office, to support the DGB in establishing common data 

management processes and developing collaborative solutions to shared data 

challenges in principal operation components and to support the annual Data 

Maturity Assessment.

• Continue utilizing annual data maturity assessments to identify specific data 

management functions in need of additional support and implement action 

plans both within offices and across the agency.

• Implement the new process for data-related projects and infrastructure that 

remediates the burden on principal offices while better aligning expectations for 

data investments with the goals of Department leadership, the DGB, and needs 

of the National Center for Education Statistics as the federal principal statistical 

agency responsible for producing education statistics.

• Continue to implement a cohesive data quality approach for the agency, 

leveraging best practices, technical assistance, and controls. 

• Pilot the first iteration of the Data Quality Playbook with Department data 

stewards and their grantees and update based on feedback. Continue to make 

annual updates to the playbook as appropriate and develop and implement 

a communications plan and technical assistance to support the use of the 

playbook.

• Continue to implement the new data workforce plan that addresses the 

workforce gap analysis, building data expertise in principal offices and 

supported by the Department-wide data literacy program. Promote staff 

development along career paths to build data management and analytics 

capacities and skill development.

• Expand the comprehensive data inventory into an enterprise data catalog via 

the Department’s Open Data Platform and codified within its Open Data Plan to 

enable not just identifying available data assets but understanding how they are 

encoded and structured and how they can be combined with other data assets 

for richer analysis.

• Develop a standard set of categories for educational data to facilitate grouping 

related data assets for analysis regardless of the organization or program that 

collected or produced it.

• Begin operation of an agency data analytics platform to provide a central access 

point to raw and curated system data while maintaining appropriate access 
70FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT STRATEGIC OBJECTIVE 5.2

controls, identify common data elements across systems, and link data using key 

entity identifiers put in place across the enterprise.

• Remain committed to protecting student privacy. The Department continues to 

improve student privacy protections and ensure the inclusion of transparency 

best practices through administering the Family Educational Rights and Privacy 

Act (FERPA); develop and disseminate privacy and security training; and make 

technical assistance available to states, districts, and institutions of higher 

education (IHEs). 

• Support the January 2021 Memorandum on Restoring Trust in Government Through 

Scientific Integrity and Evidence-Based Policymaking, directing agencies to make 

evidence-based decisions guided by the best available science and data. To 

meet this mandate, the Department must continue to develop and implement 

methods to analyze, interpret, and disseminate education data and support 

education stakeholders in doing the same. The Department will continue to 

focus on increasing access to education data at all levels and improving the tools 

necessary to support the appropriate use of education data for decision-making 

by the Department and its stakeholders.

• Publish the Notice of Proposed Rulemaking for FERPA and Protection of Pupil Rights 

Amendment (PPRA), with updates and clarifications of policy and technical 

issues. The proposed regulations are also needed to implement statutory 

amendments to FERPA contained in the Uninterrupted Scholars Act of 2013 and the 

Healthy, Hunger-Free Kids Act of 2010 to reflect changes related to the enforcement 

responsibilities of the office concerning FERPA/PPRA and to make a change in 

the name of the office designated to administer both FERPA and PPRA.

• Enhance and expand the existing transparency portal with data from the 

Education Stabilization Fund grant recipients to further improve program 

implementation, inform policy decisions, and provide public accountability. The 

fund was initially established through the Coronavirus Aid, Relief, and Economic 

Security Act, with subsequent investments through the Coronavirus Response and 

Relief Supplemental Appropriations Act, 2021 and the American Rescue Plan of 2021.
71STRATEGIC GOAL 5 STRATEGIC OBJECTIVE 5.2

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of Data Strategy objectives that meet published progress 

timelines.

50% 75%

2. Percentage of principal offices assessed as having higher data 

maturity scores year over year based on the Department’s data maturity 

assessment tool.

15% 10%

3. Percentage of principal offices assessed as having higher average staff 

data skills scores year over year based on the Department’s Data and 

Evidence Use Survey.

10% 10%

4. Number of Department data systems connected and accessible through 

the enterprise data analytics platform.

Baseline Prior year 

+ 20% 

5. Number of data assets in the comprehensive data inventory. 645 745

Acronyms and Definitions:

FY = Fiscal Year.
72FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE5.3

Recruit, retain, and develop the workforce needed to meet 

the Department’s mission now and into the future 

STRATEGIC OBJECTIVE LEADER

Chief Human Capital Officer, Office of Finance and Operations

Strategies and Activities

The Department will:

• Continue implementing Department-wide and principal operating component 

(POC)-level workforce action plans to address short- and long-term workforce 

needs. Specifically:

• Expand the Department’s Workforce Dashboard to facilitate a better 

understanding of workforce composition and assist leaders with developing 

a more strategic, data-driven approach to workforce planning.

• Improve the utilization and assessment of diversity and inclusion data.

• Develop and implement succession plans for key/critical career positions to 

identify and develop a talent pool to ensure organizational continuity and 

mission-driven accomplishments.

• Continue developing annual hiring plans to identify staffing needs early in 

the fiscal year and implementing effective recruitment strategies to support 

targeted recruitment to a diverse and engaging talent pool.

• Standardize and automate elements of the recruitment process to decrease 

workload and reduce hiring timelines.

• Continue implementing the Department-wide National Engagement Strategy 

(NES) and POC-level employee engagement action plans to improve the 

Department’s employee engagement index score in the Federal Employee 

Viewpoint Survey (FEVS). Specifically:

• Issue a pulse survey focusing on NES key focus areas.

• Assess FEVS results and issue individual POC reports.
73STRATEGIC GOAL 5 STRATEGIC OBJECTIVE 5.3

• Assess the Department’s NES based on FEVS and pulse survey results and 

update the strategy as appropriate.

• Sustain the use of engagement action plans and ensure that all 

participants provide quarterly updates on progress made toward achieving 

improvement goals.

• Publish scalable best practices after analyzing the results of employee 

engagement action plans established by POCs.

• Complete and implement competency models to close employees’ job 

competency gaps across the Department. Specifically:

• Draft, validate, and implement competency models, including career maps 

and training plans, for four additional job categories.

• Conduct a competency assessment to measure and assess gap closures.

• Prioritize learning and developmental opportunities and share best 

practices for closing competency gaps.

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. The Department’s Workforce Planning Maturity Level. Level 2 Level 3

2. Time to hire. 85 days 80 days

3. Department Federal Employee Viewpoint Survey (FEVS) employee 

engagement index score.

67% 69%

4. Percentage of Department employees who achieve required 

competency proficiency levels.

Baseline TBD

5. Government-wide score on the Customer Satisfaction Survey: Overall 

Human Capital Function.

3.9 4.3

Acronyms and Definitions:

FY = Fiscal Year.
74FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

STRATEGIC OBJECTIVE5.4

Deliver mission outcomes and value for taxpayers through 

efficient acquisition management and proactive industry 

partnerships while promoting small businesses 

STRATEGIC OBJECTIVE LEADER

Deputy Chief Acquisition Officer, Office of Finance and Operations 

Strategies and Activities

The Department will:

• Formalize procedures for acquisition council operations and identify support 

needs and capacity challenges for effective governance.

• Begin implementation of a new contract for the Department’s acquisition 

management system.

• Implement innovative acquisition practices from the Periodic Table of 

Acquisition Innovations to reduce lead times and increase program outcomes.

• Pilot robotics process automation and process improvements in targeted areas to 

reduce manual processes and achieve contracting efficiencies.

• Establish buy-in for and acquisition plans that align with long-term small 

business contracting growth strategies.

• Facilitate implementation of long-term small business contracting growth 

strategies that include increased contract opportunities for small, disadvantaged 

businesses.

• Strengthen vendor competition by partnering across Department offices to 

increase contracts with no required place of performance.

• Lead development of an engagement plan for the Department’s acquisition 

workforce that includes strengthening training through the annual Acquisition 

Workforce Conference.
75STRATEGIC GOAL 5 STRATEGIC OBJECTIVE 5.4

Performance Indicators

Performance Indicator

FY 2022 

Target

FY 2023 

Target

1. Percentage of prime small business contract obligations. 14% 16%

2. Percentage of contract obligations categorized as “Spend Under 

Management.”

68% 72%

3. Number of days of procurement administrative lead time of contract 

awards.

Baseline TBD

4. Employee engagement index for the Department’s acquisition 

workforce.

60% 63%

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
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FY 2023 ANNUAL 

PERFORMANCE PLAN 

APPENDICES
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79APPENDIX A. COVID-19 PANDEMIC RELIEF FUNDING PERFORMANCE INDICATORS

APPENDIX A 

COVID-19 Pandemic Relief Funding Performance Indicators

Appendix A provides COVID-19 pandemic relief funding performance indicators. 

The Office of Management and Budget’s memo M-20-21 requires that the Department 

incorporate performance reporting on COVID-19 pandemic relief funding, to include 

the American Rescue Plan Act of 2021 Elementary and Secondary School Emergency 

Relief Fund and Higher Education Emergency Relief Fund, into the established 

mission performance plans and reports.

Performance Indicators

Performance Indicator

FY 2022 

Taget

FY 2023 

Target

1. Amount of federal COVID-19 pandemic recovery relief funds that state 

and local educational agencies spend on implementing evidence-based 

interventions to address the impact of lost instructional time, including 

the disproportionate impact of the pandemic on certain student groups. 

TBD TBD

2. Number of states reporting the use of Department funds for full-service 

community schools.

TBD TBD

3. Number of additional teachers and other school personnel (including 

school counselors and school nurses) hired with the Elementary and 

Secondary School Emergency Relief Fund funding.

TBD TBD

4. Percentage of institutions of higher education that are on enhanced 

monitoring under high-risk status and monitored for appropriate use of 

COVID-19 pandemic relief funding.

10% 10%

5. Number of technical assistance activities provided to institutions of 

higher education focused on ensuring proper use and reporting of Higher 

Education Emergency Relief Fund funding.

7 9

6. Percentage of institutions of higher education that report on their 

annual report that Higher Education Emergency Relief Fund funding 

enabled them to keep students enrolled who were at risk of dropping out 

due to pandemic-related factors.

75% TBD

Acronyms and Definitions:

FY = Fiscal Year and TBD = To Be Determined.
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81APPENDIX B. PROGRAMS BY GOAL

APPENDIX B 

Programs by Goal

Strategic Goal 1: Promote equity in student access to educational resources, 

opportunities, and inclusive environments.

Appendix B includes the other discretionary programs and activities and mandatory programs by 

Strategic Goal.

Goal 1 Other Discretionary Programs and Activities

POC

Education/ 

Funding 

Area Objective Program

IES IES 1.1 National Assessment 

IES IES 1.1 National Assessment Governing Board

IES IES 1.1, 1.2, 

1.3, 1.4

Regional Educational Laboratories 

IES IES 1.1, 1.2, 

1.3, 1.4

Research, Development, and Dissemination 

IES IES 1.3 Special Education Studies and Evaluations

IES IES 1.3 Research in Special Education

IES IES 1.1 Statewide Longitudinal Data Systems 

IES IES All Statistics 

OCR OCR 1.3 Office of Civil Rights

OCTAE CTAE 1.4 Adult Basic and Literacy Education State Grants 

OCTAE CTAE 1.4 Adult Education National Leadership Activities 

OCTAE CTAE 1.4 Career and Technical Education State Grants 

OCTAE CTAE 1.4 Career and Technical National Programs 

OCTAE HE 1.4 Tribally Controlled Postsecondary Career and Technical Institutions 

OESE ED 1.1 Title I Grants to Local Educational Agencies 

OESE ED 1.1 Comprehensive Literacy Development Grants 

OESE ED 1.1 State Agency Programs: Migrant 

OESE ED 1.1 State Agency Programs: Neglected and Delinquent

OESE ED 1.4 Special Programs for Migrant Students 

OESE ESSER All Coronavirus Response and Relief Supplemental Appropriations Act, 2021 ESSER Fund 

OESE ESSER All American Rescue Plan Act of 2021 ESSER Fund
82FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

POC

Education/ 

Funding 

Area Objective Program

OESE I&I 1.1, 1.2 Fostering Diverse Schools (Proposed Legislation)

OESE I&I 1.2 Charter Schools Grants 

OESE I&I 1.2 Education Innovation and Research

OESE I&I 1.1, 1.2, 

1.3, 

Magnet Schools Assistance 

OESE I&I 1.1 Innovative Approaches to Literacy

OESE I&I 1.1 Ready to Learn Programming

OESE I&I 1.1 Arts in Education

OESE I&I 1.1 Javits Gifted and Talented Education

OESE I&I 1.1 Statewide Family Engagement Centers 

OESE IA 1.1, 1.2, 

1.3, 1.4

Impact Aid, Payments for Federally Connected Children: Basic Support Payments 

OESE IA 1.1, 1.2, 

1.3, 1.4

Impact Aid, Payments for Federally Connected Children: Payments for Children 

with Disabilities 

OESE IA 1.1, 1.2, 

1.3, 1.4

Impact Aid, Facilities Maintenance 

OESE IA 1.1, 1.2, 

1.3, 1.4

Impact Aid, Construction 

OESE IA 1.1, 1.2, 

1.3, 1.4

Impact Aid, Payments for Federal Property 

OESE IE 1.1, 2.2 Indian Education: Special Programs for Indian Children 

OESE IE 1.1 Indian Education: Grants to Local Educational Agencies 

OESE IE 1.1 Indian Education: National Activities 

OESE SIP 1.2 State Assessments 

OESE SIP 1.3 Training and Advisory Services 

OESE SIP 1.1 Rural Education 

OESE SIP 1.1, 1.2, 

1.3, 1.4

Supplemental Education Grants 

OESE SIP 1.2 Comprehensive Centers 

OESE SIP 1.2 21st Century Community Learning Centers 

OESE SIP 1.1 Education for Homeless Children and Youth Education 

OESE SIP 1.1 Native Hawaiian Education

OESE SIP 1.1 Alaska Native Education

OESE SIP 1.2 Student Support and Academic Enrichment Grants 
83APPENDIX B. PROGRAMS BY GOAL

POC

Education/ 

Funding 

Area Objective Program

OESE SSCE 1.1 Full-Service Community Schools 

OESE SSCE 1.1 Promise Neighborhoods 

OSERS APHB 1.2 American Printing House for the Blind 

OSERS REHAB 1.3, 1.4 Client Assistance State Grants 

OSERS REHAB 1.4 Demonstration and Training Programs 

OSERS REHAB 1.3 Protection and Advocacy of Individual Rights 

OSERS REHAB 1.4 Supported Employment State Grants 

OSERS REHAB 1.4 Helen Keller National Center for Deaf-Blind Youths and Adults 

OSERS SE 1.2, 1.3 Special Education Grants to States 

OSERS SE 1.1, 1.3 Preschool Grants 

OSERS SE 1.1, 1.3 Grants for Infants and Families 

OSERS SE 1.1, 1.3 Technical Assistance and Dissemination 

OSERS SE 1.2 Parent Information Centers 

OSERS SE 1.1 Education Technology, Media, and Materials

Acronyms and Definitions:

POC = Principal Operating Component; IES = Institute of Education Sciences; OCR = Office for Civil Rights; OCTAE = Office 

of Career, Technical, and Adult Education; CTAE = Career, Technical, and Adult Education; HE = Higher Education; OESE = 

Office of Elementary and Secondary Education; ED = Education for the Disadvantaged; ESSER = Elementary and Secondary 

School Emergency Relief; I&I = Innovation and Improvement; IA = Impact Aid; IE = Indian Education; SIP = Strengthening 

Institutions Program; SSCE = Safe Schools and Citizenship Education; OSERS = Office of Special Education and Rehabilitative 

Services; APHB = American Printing House for the Blind; REHAB = Rehabilitation Services and Disability Research; and SE = 

Special Education.

Goal 1 Mandatory Programs

POC

Education/ 

Funding 

Area Objective Program

OCTAE CTAE 1.4 Expanded Career Pathways for Middle and High School Students

OCTAE CTAE 1.4 Adult Education State Grants

OSERS REHAB 1.4 Vocational Rehabilitation, State Grants 

OSERS REHAB 1.4 Vocational Rehabilitation, Grants to Indians 

Acronyms and Definitions:

POC = Principal Operating Component; OCTAE = Office of Career, Technical, and Adult Education; CTAE = Career, Technical, 

and Adult Education; OSERS = Office of Special Education and Rehabilitative Services; and REHAB = Rehabilitation Services 

and Disability Research.
84FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Strategic Goal 2: Support a diverse and talented educator workforce and 

professional growth to strengthen student learning.

Goal 2 Other Discretionary Programs and Activities

POC

Education/ 

Funding 

Area Objective Program

IES IES 2.1, 2.2, 2.3 Regional Educational Laboratories 

IES IES 2.3 Special Education Studies and Evaluations

IES IES 2.3 Research in Special Education

OESE ESSER 2.1, 2.2, 2.3 Coronavirus Response and Relief Supplemental Appropriations Act, 2021 ESSER Fund 

OESE ESSER 2.1, 2.2, 2.3 American Rescue Plan Act of 2021 ESSER Fund

OESE I&I 2.1, 2.2 Teacher and School Leader Incentive Grants 

OESE I&I 2.1, 2.2 School Leader Recruitment and Support

OESE I&I 2.1, 2.2, 2.3 Supporting Effective Educator Development

OESE IA 2.1, 2.2, 2.3 Impact Aid, Payments for Federally Connected Children: Basic Support Payments 

OESE IA 2.1, 2.2, 2.3 Impact Aid, Payments for Federally Connected Children: Payments for Children 

with Disabilities 

OESE IA 2.1, 2.2, 2.3 Impact Aid, Facilities Maintenance 

OESE IA 2.1, 2.2, 2.3 Impact Aid, Construction 

OESE IA 2.1, 2.2, 2.3 Impact Aid, Payments for Federal Property 

OESE IE 2.2 Indian Education: Special Programs for Indian Children 

OESE SIP 2.1, 2.2, 2.3 Supporting Effective Instruction State Grants 

OESE SIP 2.3 School-Based Health Professionals (Proposed Legislation)

OESE SIP 2.1, 2.2, 2.3 Supplemental Education Grants 

OPE HE 2.1, 2.2 Teacher Quality Partnership 

OSERS REHAB 2.2, 2.3 Vocational Rehabilitation Training 

OSERS SE 2.2, 2.3 Personnel Preparation 

OSERS SE 2.2, 3.2 Special Education Grants to States 

OSERS SE 2.2, 2.3 State Personnel Development 

Acronyms and Definitions:

POC = Principal Operating Component; IES = Institute of Education Sciences; OESE = Office of Elementary and Secondary 

Education; ESSER = Elementary and Secondary School Emergency Relief; I&I = Innovation and Improvement; IA = Impact 

Aid; IE = Indian Education; SIP = Strengthening Institutions Program; OPE = Office of Postsecondary Education; HE = Higher 

Education; OSERS = Office of Special Education and Rehabilitative Services; REHAB = Rehabilitation Services and Disability 

Research; and SE = Special Education.
85APPENDIX B. PROGRAMS BY GOAL

Goal 2 Mandatory Programs

POC

Education/ 

Funding 

Area Objective Program

OESE I&I 2.1, 2.2 Teacher and School Leader Incentive Grants 

OESE I&I 2.1, 2.2 School Leader Recruitment and Support

OESE I&I 2.1, 2.2, 2.3 Supporting Effective Educator Development

OESE I&I 2.2 Expanding Opportunities for Teacher Leadership and Development 

(Proposed Legislation)

OESE I&I 2.3 Supporting In-demand Credentials for Teachers (Proposed Legislation)

OPE HE 2.1, 2.2 Teacher Quality Partnerships

OPE HE 2.1 Hawkins Centers of Excellence

OSERS SE 2.2 Personnel Preparation

Acronyms and Definitions:

POC = Principal Operating Component; OESE = Office of Elementary and Secondary Education; I&I = Innovation and 

Improvement; OPE = Office of Postsecondary Education; HE = Higher Education; OSERS = Office of Special Education and 

Rehabilitative Services; and SE = Special Education.
86FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Strategic Goal 3: Meet students’ social, emotional, and academic needs.

Goal 3 Other Discretionary Programs and Activities

POC

Education/ 

Funding 

Area Objective Program

IES IES 3.1, 3.2, 3.3 Research, Development, and Dissemination 

IES IES 3.1, 3.2, 3.3 Statistics 

IES IES 3.1, 3.2, 3.3 National Assessment 

IES IES 3.1, 3.2, 3.3 National Assessment Governing Board

IES IES 3.2 Research in Special Education 

IES IES 3.1, 3.2, 3.3 Statewide Longitudinal Data Systems 

IES IES 3.2 Special Education Studies and Evaluations

IES IES 3.1, 3.2, 3.3 Regional Educational Laboratories 

OESE ED 3.2 Comprehensive Literacy Development Grants 

OESE ED 3.2 State Agency Programs: Migrant 

OESE ED 3.2 State Agency Programs: Neglected and Delinquent

OESE ESSER All Coronavirus Response and Relief Supplemental Appropriations Act, 2021 ESSER Fund 

OESE ESSER All American Rescue Plan Act of 2021 ESSER Fund

OESE I&I 3.2 American History and Civics Education 

OESE I&I 3.2 Magnet Schools Assistance 

OESE I&I 3.2 Innovative Approaches to Literacy

OESE I&I 3.2 Ready to Learn Programming

OESE I&I 3.2 Arts in Education

OESE I&I 3.2 Javits Gifted and Talented Education

OESE I&I 3.2 Statewide Family Engagement Centers 

OESE IA 3.1, 3.2, 3.3 Impact Aid, Payments for Federally Connected Children: Basic Support Payments 

OESE IA 3.1, 3.2, 3.3 Impact Aid, Payments for Federally Connected Children: Payments for Children 

with Disabilities 

OESE IA 3.1, 3.2, 3.3 Impact Aid, Facilities Maintenance 

OESE IA 3.1, 3.2, 3.3 Impact Aid, Construction 

OESE IA 3.1, 3.2, 3.3 Impact Aid, Payments for Federal Property 

OESE IE 3.2, 3.3 Indian Education: Special Programs for Indian Children 

OESE IE 3.2, 3.3 Indian Education: Grants to Local Educational Agencies 

OESE IE 3.2, 3.3 Indian Education: National Activities 
87APPENDIX B. PROGRAMS BY GOAL

POC

Education/ 

Funding 

Area Objective Program

OESE SIP 3.2 Education for Homeless Children and Youth Education 

OESE SIP 3.2, 3.3 Native Hawaiian Education

OESE SIP 3.2, 3.3 Alaska Native Education

OESE SIP 3.1 School-Based Health Professionals (Proposed Legislation)

OESE SIP 3.1, 3.2, 3.3 Supplemental Education Grants 

OESE SSCE 3.1, 3.2 Full-Service Community Schools 

OESE SSCE 3.2 Promise Neighborhoods 

OESE SSCE 3.1 School Safety National Activities

OESE/

OLEA

ELA 3.2, 3.3 English Language Acquisition 

OSERS APBH 3.2 American Printing House for the Blind 

OSERS REHAB 3.2 Helen Keller National Center for Deaf-Blind Youths and Adults 

OSERS SE 3.2 Special Olympics Education Programs 

OSERS SE 3.2 Special Education Grants to States 

OSERS SE 3.2 Preschool Grants 

OSERS SE 3.2 Grants for Infants and Families 

OSERS SE 3.2 Technical Assistance and Dissemination 

OSERS SE 3.2 Education Technology, Media, and Materials 

Acronyms and Definitions:

POC = Principal Operating Component; IES = Institute of Education Sciences; OESE = Office of Elementary and Secondary 

Education; ED = Education for the Disadvantaged; ESSER = Elementary and Secondary School Emergency Relief; I&I = 

Innovation and Improvement; IA = Impact Aid; IE = Indian Education; SIP = Strengthening Institutions Program; SSCE = Safe 

Schools and Citizenship Education; OELA = Office of English Language Acquisition; ELA = English Language Acquisition; 

OSERS = Office of Special Education and Rehabilitative Services; APBH = American Printing House for the Blind; REHAB = 

Rehabilitation Services and Disability Research; and SE = Special Education.

Goal 3 Mandatory Programs

No additional mandatory programs.
88FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Strategic Goal 4: Increase postsecondary value by focusing on equityconscious strategies to address access to high-quality institutions, 

affordability, completion, post-enrollment success, and support for 

inclusive institutions.

Goal 4 Other Discretionary Programs and Activities

POC

Education/ 

Funding 

Area Objective Program

FSA SFA 4.1, 4.3 Federal Pell Grants: Discretionary 

FSA SFA 4.1, 4.3 Federal Supplemental Educational Opportunity Grants 

FSA SFA 4.1, 4.3 Federal Work-Study 

FSA DM/SAA 4.2 Student Aid Administration: Salaries and Expenses 

FSA DM/SAA 4.2 Student Aid Administration: Servicing Activities

OCTAE CTAE 4.3, 4.4 Career and Technical Education State Grants 

OCTAE CTAE 4.3, 4.4 Career and Technical National Programs 

OCTAE HE 4.3, 4.4 Tribally Controlled Postsecondary Career and Technical Institutions 

OPE HE 4.1, 4.3 Fund for the Improvement of Postsecondary Education

OPE HE 4.1, 4.3 Aid for Institutional Development: Strengthening Tribally Controlled Colleges and 

Universities 

OPE HE 4.1, 4.3 Strengthening Alaska Native and Native Hawaiian-Serving Institutions 

OPE HE 4.1, 4.3 Strengthening Historically Black Colleges and Universities 

OPE HE 4.1, 4.3 Strengthening Historically Black Graduate Institutions 

OPE HE 4.1, 4.3 Strengthening Historically Black Colleges and Universities Master’s Program 

OPE HE 4.1, 4.3 Strengthening Predominantly Black Institutions 

OPE HE 4.1, 4.3 Strengthening Asian American- and Native American/Pacific Islander-Serving 

Institutions 

OPE HE 4.1, 4.3 Strengthening Native American-Serving Nontribal Institutions 

OPE HE 4.1, 4.3 Minority Science and Engineering Improvement 

OPE HE 4.1, 4.3 Aid for Hispanic-Serving Institutions: Developing Hispanic-Serving Institutions 

OPE HE 4.1, 4.3 Aid for Hispanic-Serving Institutions: Promoting Post-Baccalaureate Opportunities 

for Hispanic Americans

OPE HE 4.1 Coronavirus Response and Relief Supplemental Appropriations Act, 2021 HEERF

OPE HE 4.1 Coronavirus Response and Relief Supplemental Appropriations Act, 2021 HEERF II

OPE HE 4.1 American Rescue Plan of 2021 HEERF III

OPE HE 4.3 International Education and Foreign Language Studies: Domestic Programs 
89APPENDIX B. PROGRAMS BY GOAL

POC

Education/ 

Funding 

Area Objective Program

OPE HE 4.3 International Education and Foreign Language Studies: Overseas Programs 

OPE HE 4.1, 4.3 Model Transition Programs for Students with Intellectual Disabilities into Higher 

Education

OPE HE 4.1, 4.3 Federal TRIO Programs

OPE HE 4.1, 4.3 Gaining Early Awareness and Readiness for Undergraduate Programs

OPE HE 4.3 Graduate Assistance in Areas of National Need 

OPE HE 4.1, 4.3 Child Care Access Means Parents in School 

OPE HE 4.1, 4.3 Howard University: General Support 

OPE HE 4.1, 4.3 Howard University Hospital 

OSERS GU 4.1 Gallaudet University

OSERS NTID 4.1 National Technical Institute for the Deaf

Acronyms and Definitions:

POC = Principal Operating Component; FSA = Federal Student Aid; SFA = Student Financial Assistance; DM = Departmental 

Management; SAA = Student Aid Administration; OCTAE = Office of Career, Technical, and Adult Education; CTAE = Career, 

Technical, and Adult Education; HE = Higher Education; OPE = Office of Postsecondary Education; HEERF = Higher Education 

Emergency Relief Fund; OSERS = Office of Special Education and Rehabilitative Services; GU = Gallaudet University; and NTID 

= National Technical Institute for the Deaf.

Goal 4 Mandatory Programs

POC

Education/ 

Funding 

Area Objective Program

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: New Loan Subsidies

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: New Net Loan Subsidy (Non-add)

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: Upward Reestimate of Existing 

Loans

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: Downward Reestimate of Existing 

Loans (Non-add)

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: Net Reestimate of Existing Loans 

(Non-add)

FSA FDSL 4.1, 4.3 Federal Direct Student Loans Program Account: Upward Modification of Existing 

Loans

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Upward Reestimate of Existing 

Loans

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Downward Reestimate of 

Existing Loans (Non-add)
90FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

POC

Education/ 

Funding Area Objective Program

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Net Reestimate of Existing 

Loans (Non-add)

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Upward Modification of 

Existing Loans

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Downward Modification of 

Existing Loans (Non-add)

FSA FFEL 4.1, 4.3 Federal Family Education Loans Program Account: Net Modification of Existing 

Loans (Non-add)

FSA FFEL 4.1, 4.3 Federal Family Education Loans Liquidating Account: Pre-1992 Student Loans

FSA SFA 4.1, 4.3 Federal Pell Grants: Mandatory 

FSA SFA 4.1, 4.3 Federal Pell Grants: Mandatory Funding for Discretionary Program Costs 

FSA SFA 4.1, 4.3 Iraq and Afghanistan Service Grants 

FSA SFA 4.1, 4.3 Perkins Loan Repayments 

INF Infrastructure 4.1 Community College Infrastructure (Proposed Legislation)

OCTAE CTAE 4.4 Expanded Career Pathways for Middle and High School Students

OESE SIP 4.4 School-Based Health Professionals of the Future

OPE HE 4.1, 4.3 Aid for Institutional Development: Mandatory Strengthening Tribally Controlled 

Colleges and Universities 

OPE HE 4.1, 4.3 Mandatory Strengthening Alaska Native and Native Hawaiian-Serving Institutions 

OPE HE 4.1, 4.3 Mandatory Strengthening Historically Black Colleges and Universities 

OPE HE 4.1, 4.3 Mandatory Strengthening Predominantly Black Institutions 

OPE HE 4.1, 4.3 Mandatory Strengthening Asian American- and Native American Pacific IslanderServing Institutions 

OPE HE 4.1, 4.3 Mandatory Strengthening Native American-Serving Nontribal Institutions 

OPE HE 4.1, 4.3 Aid for Hispanic-Serving Institutions: Mandatory Developing HSI STEM and 

Articulation Programs 

OPE HE 4.1 Higher Education Act of 1965 Title III/V Programs for Historically Black Colleges 

and Universities, Tribally Controlled Colleges and Universities, Hispanic-Serving 

Institutions, and Minority-Serving Institutions

OPE HE 4.1 Completion Grants

Acronyms and Definitions:

POC = Principal Operating Component; FSA = Federal Student Aid; FDSL = Federal Direct Student Loan; FFEL = Federal 

Family Education Loan; SFA = Student Financial Assistance; INF = Infrastructure; OCTAE = Office of Career, Technical, and 

Adult Education; CTAE = Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary Education; 

SIP = Strengthening Institutions Program; OPE = Office of Postsecondary Education; HE = Higher Education; and HSI STEM = 

Hispanic Service Institution Science, Technology, Engineering, and Mathematics Articulation Program.
91APPENDIX B. PROGRAMS BY GOAL

Strategic Goal 5:Enhance the Department’s internal capacity to optimize the 

delivery of its mission.

Goal 5 Other Discretionary Programs and Activities

POC

Education/ 

Funding 

Area Objective Program

All DM/PA 5.3 Program Administration: Salaries and Expenses

All DM/PA 5.3 Program Administration: Building Modernization 

OCR OCR 5.3 Office for Civil Rights

OIG OIG 5.3 Office of Inspector General 

Acronyms and Definitions:

POC = Principal Operating Component; DM = Departmental Management; PA = Program Administration; OCR = Office for 

Civil Rights; and OIG = Office of Inspector General.

Goal 5 Mandatory Programs

No additional mandatory programs.
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93APPENDIX C. GLOSSARY OF ACRONYMS AND ABBREVIATIONS

APPENDIX C 

Glossary of Acronyms and Abbreviations

Acronym Definition

APG Agency Priority Goal

APHB American Printing House for the Blind

ARP American Rescue Plan Act of 2021

CARES Act Coronavirus Aid, Relief, and Economic Security Act

CTAE Career, Technical, and Adult Education

CTE Career and Technical Education

DGB Data Governance Board

DM Departmental Management

ED Education for the Disadvantaged

ELA English Language Acquisition

ESEA Elementary and Secondary Education Act of 1965

ESSER Elementary and Secondary School Emergency Relief

FAFSA® Free Application for Federal Student Aid®

FDSL Federal Direct Student Loan

FERPA Family Educational Rights and Privacy Act

FEVS Federal Employee Viewpoint Survey

FFEL Federal Family Education Loan

FSA Federal Student Aid

FSCS Full-Service Community Schools

FY Fiscal Year

GLBA Gramm-Leach-Bliley Act

GU Gallaudet University

HBCU Historically Black College and University

HE Higher Education

HEAL Health Education Assistance Loan

HEERF Higher Education Emergency Relief Fund

HSI STEM Hispanic Service Institution Science, Technology, Engineering, and Mathematics 

Articulation Program

I&I Innovation and Improvement

IA Impact Aid

IDEA Individuals with Disabilities Education Act
94FY 2023 ANNUAL PERFORMANCE PLAN AND FY 2021 ANNUAL PERFORMANCE REPORT

Acronym Definition

IE Indian Education

IES Institute of Education Sciences

IHE Institution of Higher Education

INF Infrastructure

K–12 Kindergarten Through Grade 12

MSI Minority-Serving Institution

MSIX Migrant Student Information Exchange

N/A Not Applicable

NES National Engagement Strategy

NTID National Technical Institute for the Deaf

OCR Office for Civil Rights

OCTAE Office of Career, Technical, and Adult Education

OELA Office of English Language Acquisition

OESE Office of Elementary and Secondary Education

OIG Office of Inspector General

OPE Office of Postsecondary Education

OSERS Office of Special Education and Rehabilitative Services

PA Program Administration

POC Principal Operating Component

PPRA Protection of Pupil Rights Amendment

REHAB Rehabilitation Services and Disability Research

SAA Student Aid Administration

SE Special Education

SFA Student Financial Assistance

SIP School Improvement Programs

SSCE Safe Schools and Citizenship Education

STEM Science, Technology, Engineering, and Mathematics

VR Vocational Rehabilitation
FY 2021 ANNUAL 

PERFORMANCE REPORT
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Strategic Framework 97

Strategic Framework

Strategic Process Building Blocks

The following graphic illustrates how the Department facilitates strategic planning, goal 

setting, reporting, and monitoring to improve operations and achieve the agency’s mission. 

Strategic Plan

Framework for implementing 

the Administration’s vision 

for improving education

Strategic Goals

What the Department 

wants to achieve

Strategic Objectives

Strategies the Department will 

undertake in pursuit of its Strategic Goals

Agency 

Priority Goals

Top performance 

improvement priorities 

with results to be 

achieved in 

FY 2020 and FY 2021

Performance 

Indicators

Quantifiable indicators to 

assess progress in meeting 

strategic objectives 

or Strategic Goals 
98 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

FY 2018–2022 Strategic Goals and Objectives

The following highlights the Department’s fiscal year (FY) 2018–FY 2022 Strategic Goals 

and objectives. 

Strategic Goal 1: Support state and local efforts to improve learning outcomes for all P–12 students 

in every community.

Strategic Objective 1.1 Increase high-quality educational options and empower students and parents 

to choose an education that meets their needs.

Strategic Objective 1.2 Provide all P–12 students with equal access to high-quality educational 

opportunities.

Strategic Objective 1.3 Prepare all students for successful transitions to college and careers by 

supporting access to dual enrollment; job skills development; and high-quality 

science, technology, engineering, and mathematics (STEM).

Strategic Objective 1.4 Support agencies and institutions in the implementation of evidence-based 

strategies and practices that build the capacity of school staff and families to 

support students’ academic performance.

Strategic Goal 2: Expand postsecondary educational opportunities; improve outcomes to foster 

economic opportunity; and promote an informed, thoughtful, and productive citizenry.

Strategic Objective 2.1 Support educational institutions, students, parents, and communities to 

increase access and completion of college; lifelong learning; and career, 

technical, and adult education.

Strategic Objective 2.2 Support agencies and educational institutions in identifying and using evidencebased strategies or other promising practices to improve educational opportunities 

and successfully prepare individuals to compete in the global economy.

Strategic Objective 2.3 Support agencies and educational institutions as they create or expand 

innovative and affordable paths to relevant careers by providing postsecondary 

credentials or job-ready skills.

Strategic Objective 2.4 Improve quality of service for customers across the entire student aid life cycle.

Strategic Objective 2.5 Enhance students’ and parents’ ability to repay their federal student loans by 

providing accurate and timely information, relevant tools, and manageable 

repayment options.

Strategic Goal 3: Strengthen the quality, accessibility, and use of education data through better 

management, increased privacy protections, and transparency.

Strategic Objective 3.1 Improve the Department’s data governance, data life cycle management, and 

the capacity to support education data.

Strategic Objective 3.2 Improve privacy protections for, and transparency of, education data both at 

the Department and in the education community.

Strategic Objective 3.3 Increase access to, and use of, education data to make informed decisions both 

at the Department and in the education community.

Strategic Goal 4: Reform the effectiveness, efficiency and accountability of the Department.

Strategic Objective 4.11 Improve regulatory processes.

Strategic Objective 4.2 Identify, assess, monitor, and manage enterprise risks.

Strategic Objective 4.3 Strengthen the Department’s cybersecurity by enhancing protections for its 

information technology infrastructure, systems, and data.

Strategic Objective 4.4 Improve the engagement and preparation of the Department’s workforce using 

professional development and accountability measures.

1

Strategic objective 4.1 was revised in FY 2021. On January 20, 2021, President Biden issued Executive 

Order (EO) 13992 (86 FR 7049), which revokes several prior EOs, including EOs 13771 and 13777. 

EOs 13771 and 13777 served as the basis for the original language of strategic objective 4.1.
Strategic Framework 99

FY 2020 and FY 2021 Agency Priority Goals

Agency Priority Goals (APGs) state results to be achieved in a 24-month period. Under its 

previous leadership, the Department identified five APGs for FY 2020 and FY 2021. The 

goals of these APGs were to increase education choices, enhance multiple pathways for 

student success in career and job-ready skills, improve the Department’s Federal Student 

Aid customer service, improve student privacy protection and cybersecurity at institutions 

of higher education, and provide regulatory relief and burden reduction to stakeholders.

APG: Education Freedom: Improve awareness of and access 

to high-quality K–12 education opportunities for students 

and families. Related Strategic Objective: 1.1

By September 30, 2021, the Department will increase both the 

number and percentage of total charter school students and total 

scholarship students nationwide:

• Charter school student enrollment will increase from 

3.29 million to 3.51 million (6.90 percent of all students in 

public schools).

• The number of scholarship students, including participants in 

state-based vouchers, tax-credit scholarships, and education 

savings accounts programs, will increase from 482,000 to 

579,250 (1.10 percent of the total school-age population).

• The number of parents who receive support and engagement 

through technical assistance and other resources will increase 

by 5 percent per year.

Increase high-quality educational 

options and empower students and 

parents to choose an education that 

meets their needs.

APG: Multiple Pathways to Success: Improve nationwide 

awareness of and access to career pathways that support job 

skills development and career readiness. 

Related Strategic Objectives: 

1.3 and 2.3

By September 30, 2021, the Department will, through programs 

such as the Career and Technical Education and Adult Education 

State Grants: 

• Support the creation and expansion of integrated education 

and training (IET) programs in all 50 states, Puerto Rico, and 

the District of Columbia. 

• Increase enrollment of participants in IET programs 

to 56,000.

• Support the enrollment of Career and Technical Education 

concentrators in science, technology, engineering and 

mathematics (STEM) fields. 

• Increase by 25,000 the number of federal financial aid 

recipients who earn a postsecondary credential in STEM.

Prepare all students for successful 

transitions to college and careers 

by supporting access to dual 

enrollment; job skills development; 

and high-quality science, 

technology, engineering, and 

mathematics (STEM).

Support agencies and educational 

institutions as they create or 

expand innovative and affordable 

paths to relevant careers by 

providing postsecondary 

credentials or job-ready skills.
100 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

APG: Federal Student Aid Customer Service: Leverage the 

Next Generation Financial Services Environment (Next Gen 

FSA) to improve and personalize customers’ experience with 

Federal Student Aid (FSA). Related Strategic Objective: 2.4

By September 30, 2021, FSA will transform its relationship 

with prospective and current customers through deployment 

of significant components of the Next Gen FSA that result in a 

personalized experience: 

• The number of individuals submitting a Free Application 

for Federal Student Aid® (FAFSA®) through a mobile device 

will increase to 2.6 million. 

• The overall customer satisfaction level throughout the 

student aid life cycle, as measured by the FSA Customer 

Satisfaction score1, will increase.

Improve quality of service for 

customers across the entire student 

aid life cycle.

1

The Federal Student Aid Customer Satisfaction Score is an annual composite metric that measures the 

overall customer satisfaction level throughout the student aid life cycle for FAFSA applicants (mobile 

and fafsa.gov), Title IV aid recipients in school, and borrowers in repayment. The score is based on the 

American Customer Satisfaction Index surveys.

APG: Student Privacy and Cybersecurity: Improve student 

privacy and cybersecurity at institutions of higher education 

(IHEs) through outreach and compliance efforts. Related Strategic Objective: 3.2

By September 30, 2021, the Department will participate 

in 12 engagements with sector-related non-governmental 

organizations to inform the development of five best practice 

programmatic improvements.

Improve privacy protections for, 

and transparency of, education data 

both at the Department and in the 

education community.

APG: Regulatory Reform: Provide regulatory relief to 

education stakeholders as necessary and appropriate. Related Strategic Objective: 4.1

By September 2021, the Department will provide regulatory 

relief for education stakeholders by taking no fewer than 

eight deregulatory actions, which includes reduction in 

paperwork burden.

Improve regulatory processes.
Strategic Framework 101

Cross-Agency Priority Goals

In addition to the APGs, the Department contributed to Cross-Agency Priority (CAP) Goals 

established by the previous Administration in the President’s Management Agenda (PMA) 

of March 2018. These CAP Goals were used to accelerate progress on Presidential priority 

areas that required active collaboration among multiple agencies to ensure successful 

implementation.

The PMA included 14 CAP Goals. The following three CAP Goals were identified as 

key drivers of transformation: (1) Information Technology (IT) Modernization; (2) Data, 

Accountability, and Transparency; and (3) People—Workforce for the Future. The remaining CAP Goals were organized as either cross-cutting or functional priority areas. The 

Office of Management and Budget (OMB) led various initiatives to advance all the CAP 

Goals and coordinated with agencies as appropriate.

The Department co-led efforts on CAP Goal 8 (Results-Oriented Accountability for Grants) 

and CAP Goal 10 (Improving Outcomes Through Federal IT Spending Transparency). 

The Department supported CAP Goal 8 through its participation in working groups. For 

example, the Single Audit Workgroup sought a unified solution for audit work across all 

federal agencies, with a focus on documenting the specific steps in the process (from intake 

through audit resolution and closure). The Department also worked with OMB and the 

American Institute of Certified Public Accountants to develop Single Audit guidance for 

independent certified public accountants who performed audits of state and local educational agencies and select school districts and provided instructions for the audit of the 

education stabilization funding made available by Congress. That funding was provided 

through the Coronavirus Aid, Relief, and Economic Security Act; the Coronavirus Response 

and Relief Supplemental Appropriations Act, 2021; and the American Rescue Plan Act of 

2021. The Office of Federal Financial Management published the relevant guidance in 

§ 84.425 in its July 2021 edition. Those funds were also given a designation of “high-risk” 

programs for Single Audit purposes. Additionally, the Department’s Technology Business 

Management Solution initiative directly supported CAP Goal 10. 

By understanding the total costs to run an application or business service, leadership 

continues to gain a better understanding of the costs and value received as the Department 

modernizes its IT through FY 2022. Using industry best practices, the federal government 

can leverage data decisions and analyze trade-offs between costs, quality, and value as it 

strategically modernizes its IT portfolio. In addition to supporting the CAP Goals it co-led, 

the Department contributed to other goals of the PMA. For example, the Department supported CAP Goal 2 by contributing leadership and staff for working groups developing the 

Federal Data Strategy, which articulated a vision for leveraging federal data as a strategic 

asset to better deliver on mission, served the public, and stewarded resources.
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Performance Assessment 103

Performance Assessment

STRATEGIC GOALS 

1. Support state and local efforts to 

improve learning outcomes for all 

P–12 students in every community.

2. Expand postsecondary educational 

opportunities; improve outcomes to 

foster economic opportunity; and 

promote an informed, thoughtful, 

and productive citizenry.

3. Strengthen the quality, 

accessibility, and use of 

education data through better 

management, increased privacy 

protections, and transparency.

4. Reform the effectiveness, 

efficiency, and accountability 

of the Department.

Performance Assessment Overview 

The following provides an overview of the Department’s performance across its four Strategic Goals.

Performance Indicator Overview

In fiscal year (FY) 2021, the Department assessed 48 performance 

indicators. Of those, 30 targets were met or exceeded, 1 showed 

improvement in performance from the prior year but did not meet the 

established targets, and 13 performed below both this year’s target and 

the prior year’s performance. Two performance indicators did not have 

an established target and baselined in FY 2021, and two are pending data.

1

2

3

4

5

6

7

8

9

10

11

12

Number of Indicators

13

14

15

16

17

18

19

20

21

22

Goal 1 Goal 2 Goal 3 Goal 4

23

Met or exceeded the FY 2021 target

Improved from prior year but did not meet the FY 2021 target

Did not meet the FY 2021 target or prior year performance 

FY 2021 baseline indicator

To be determined
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Support state and local efforts to improve learning 

outcomes for all P–12 students in every community.

Strategic Goal 1
106 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Goal 1 

Spotlight

GOAL LEADER: 

Assistant Secretary, Office of 

Elementary and Secondary 

Education

GOAL 1 OBJECTIVES: 

1.1 Increase high-quality educational 

options and empower students and 

parents to choose an education that 

meets their needs.

 1.2 Provide all P–12 students with 

equal access to high-quality 

educational opportunities.

1.3 Prepare all students for successful 

transitions to college and careers 

by supporting access to dual 

enrollment; job skills development; 

and high-quality science, 

technology, engineering, and 

mathematics (STEM).

1.4 Support agencies and institutions 

in the implementation of evidencebased strategies and practices that 

build the capacity of school staff 

and families to support students’ 

academic performance.

Performance Indicator Overview

In fiscal year (FY) 2021, the Department assessed 23 performance indicators 

for this Strategic Goal. Of those, 11 targets were met or exceeded, 1 showed 

improvement in performance from the prior year but did not meet the 

established targets, and 9 performed below this year’s target and the prior 

year’s performance. Two performance indicators are pending data. 

 
Performance Assessment—Goal 1 107

Goal 1 Discretionary Resources

The following figure and table show total budgetary resources and select major discretionary 

programs and activities supporting Goal 1, respectively.

Goal 1 Budgetary Resources

 

Major Discretionary Programs and Activities Supporting Goal 1 (in thousands)

POC ACCT Objective Program

FY 2020 

Appropriation

FY 2021 

Appropriation

OCTAE CTAE 1.3, 2.2 Career and Technical Education 

(Perkins V)

$1,282,598 $1,334,848

OCTAE CTAE 1.4 Adult Basic and Literacy Education 

State Grants

$656,955 $674,955

OESE I&I 1.3, 1.4 Education Innovation and Research $190,000 $194,000

OESE I&I 1.2, 1.4 Teacher and School Leader 

Incentive Grants

$200,000 $200,000

OESE I&I 1.2, 1.4 School Leader Recruitment 

and Support

N/A N/A

OESE ED 1.2, 1.3, 1.4 Title I Grants to Local Educational 

Agencies

$16,309,802 $16,536,802

OESE SIP 1.2, 1.4 State Assessments $378,000 $378,000

OESE SSCE 1.2 School Safety National Activities $105,000 $106,000

OESE SSCE 1.2, 1.4 Full-Service Community Schools $25,000 $30,000

OESE/

OELA

ELA 1.2, 1.4 English Language Acquisition $787,400 $797,400

OSERS SE 1.1, 1.2, 1.4 Special Education Grants to States $12,764,392 $12,937,457

Other N/A N/A All Other Programs $9,432,726 $9,534,361

Note:

Discretionary resources listed here include Department programs that may contribute to multiple Strategic Goals.

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FY = Fiscal Year; OCTAE = Office of Career, Technical, and Adult 

Education; CTAE = Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary Education; I&I = 

Innovation and Improvement; ED = Education for the Disadvantaged; SIP = Strengthening Institutions Program; SSCE = Safe 

Schools and Citizenship Education; OELA = Office of English Language Acquisition; ELA = English Language Acquisition; 

OSERS = Office of Special Education and Rehabilitative Services; SE = Special Education; and N/A = Not Applicable.
108 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Increase high-quality educational options and empower 

students and parents to choose an education that meets 

their needs.

Strategic Objective 1.1

STRATEGIC OBJECTIVE LEADER: 

Deputy Assistant Secretary for Policy and Programs, Office of Elementary and 

Secondary Education

Overview

In fiscal year (FY) 2021, the Department continued to support greater state and local flexibility 

in elementary and secondary education and encouraged state educational agencies (SEAs) 

and local educational agencies (LEAs) (school districts) to provide students and families 

with educational options that fit individual students’ needs. However, the persistence of the 

COVID-19 pandemic had a significantly adverse impact on many states, SEAs, LEAs, and 

related school districts. In-person instruction was severely disrupted, and virtual instruction 

was inconsistent across the nation.

Before the onset of the COVID-19 pandemic and the March 2020 enactment of the

Coronavirus Aid, Relief, and Economic Security (CARES) Act, the Department supported 

efforts to improve learning outcomes for prekindergarten through grade 12 students by 

awarding approximately $40 billion annually in formula and discretionary grants (through 

a competitive process) to states, school districts, and nonprofit organizations. States can 

support increased educational options through a variety of ways, including open enrollment 

policies, virtual schools, homeschooling, customized learning, and dual enrollment.

Several offices across the Department supported this strategic objective, including the 

Office of Elementary and Secondary Education; the Office of Special Education and Rehabilitative Services; the Office for Civil Rights; the Office of Career, Technical, and Adult 

Education; and the Institute of Education Sciences (IES).

Performance Analysis

There are nine performance indicators in this strategic objective. Of the nine, five met 

or exceeded their annual target. These included performance indicators 1.1.A and 1.1.B, 

which gauge the number of operating charter schools supported by the Charter Schools 

Program (CSP) and the number of students enrolled in those charter schools, respectively. 
Performance Assessment—Goal 1 109

Also included is performance indicator 1.1.C, which gauges the number of evidence-based 

resources on school choice that the Department releases each year. Performance indicators 

1.1.E and 1.1.F, which gauge the number of operating public charter schools and the number 

of students enrolled, also met or exceeded their annual targets. Two performance indicators 

did not meet their targets. These included performance indicators 1.1.D and 1.1.I, which gauge 

the number of students enrolled in schools supported by the Department’s federal program 

for magnet schools and the number of parents receiving support and engagement on school 

options through technical assistance and other resources, respectively. Two performance 

indicators did not have data available at the time of publishing. 

Key Successes and Opportunities

Charter Schools

In FY 2021, CSP and its National Charter School Resource Center continued to provide 

grantees and the broader charter school sectors with valuable tools and resources to realize 

their respective goals. Because physically meeting was not practical due to the COVID-19 

pandemic, CSP hosted a virtual Project Directors’ Meeting for nearly 300 grantee 

representatives from February 17–25, 2021. The meeting offered content based on the 

individual needs of each grant program, supported grantees in being effective stewards 

of federal funding, and fostered peer-to-peer collaboration. Additionally, to support peerto-peer collaboration and share regular updates on resources for grantees responding to 

and recovering from changes in the charter school sector during COVID-19, an online 

community of practice for state entity grantees was established. 

One goal of the Every Student Succeeds Act is to expand opportunities for students with 

disabilities to attend charter schools and meet challenging state academic standards. To 

assist CSP grantees in complying with laws applicable to serving students with disabilities 

as well as providing oversight related to admissions, recruitment, enrollment, and retention, 

in March 2021, the National Charter School Resource Center hosted a webinar that provided 

participants with an understanding of CSP grantee responsibilities for serving students 

with disabilities and ideas for addressing challenges. Additionally, an introductory primer 

was released for charter school stakeholders to help support them in serving students with 

disabilities. The primer includes an overview of the responsibilities of charter schools 

for the provision of a free appropriate public education for students with disabilities and 

resources for providing services for students with disabilities in charter schools.

In April 2021, the National Charter School Resource Center released Logic Model Toolkit: 

A Resource for Current and Prospective Grantees of Charter School Programs. The toolkit 

is designed to help prospective and current CSP grantees develop and revise logic models 

to guide project implementation and monitor progress. The toolkit also includes numerous 

Strategic Objective 1.1
110 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

examples from CSP-funded grantees, including state entities, SEAs, charter management 

organizations, and developers.

To encourage charter schools to develop and maintain community partnerships, which can 

strengthen charter schools’ capacity to serve the needs of students, families, and staff, in 

June 2021, the National Charter School Resource Center released How Charter Schools Can 

Leverage Community Assets Through Partnerships, a resource that summarizes the partnership-building efforts of four charter school organizations, identifies seven factors that can 

help build successful partnerships, and provides a four-step guide, Getting Started: How to 

Turn Your Community Partnerships Vision Into Reality.

Magnet Schools

The Department’s Magnet Schools Assistance Program (MSAP) provides grants to eligible 

LEAs to establish and operate magnet schools that are operated under a court-ordered 

or federally approved voluntary desegregation plan. On April 14, 2021, MSAP awarded 

nine new grants based on an FY 2020 competition. The new awardees are creating or 

revitalizing 33 magnet schools across 7 states in a variety of settings. The group includes 

one consortium project across three community school districts in New York City and 

Brooklyn. The magnet schools will focus on a variety of themes, including science, 

technology, engineering, and mathematics (STEM); career and technical programs with a 

focus on the health sciences; language immersion programs; and the arts.

Magnet schools are an important part of state and local efforts to eliminate, reduce, and 

prevent racial and socio-economic segregation and isolation. Some districts use magnet 

schools to improve achievement and diversity in their schools by aiming to attract students 

from outside their neighborhood or those from the neighborhood who would likely attend 

other schools. IES published Drawing Across School Boundaries: How Federally Funded 

Magnet Schools Recruit and Admit Students as part of its impact study on MSAP. Some of 

the findings of the study include that MSAP-funded schools report using a variety of strategies to recruit students, perceived stigma of low academic quality and lack of diversity are 

top reported obstacles to recruiting students, and preference in admissions are likely given 

to students from affiliated families or communities. 

Outreach and Technical Assistance

To promote the use of technology to empower learning, engage and motivate students, and 

help make learning more interactive, in March 2021, the Department released the Parent 

and Family Digital Learning Guide, a resource to help parents and guardians understand 

how digital tools can provide tailored learning opportunities, engage students with course 

materials, encourage creative expression, and enrich the educational experience. The guide 

includes advice and best practices about topics, such as how to leverage flexibilities and 
Performance Assessment—Goal 1 111

Strategic Objective 1.1

innovations of technologies, and digital tools, such as accessibility options to meet the 

unique needs of every learner; steps parents can take to keep their children safe online and 

foster safe digital behavior, such as accessing security features on a child’s device, tracking 

log-on information, and monitoring videoconferencing; how competency-based learning, 

which measures a student’s knowledge of a subject rather than time spent on the subject, 

can harness technology for the benefit of students; and simple primers on major federal laws 

governing student privacy and safety.

The CARES Act and the Coronavirus Response and Relief Supplemental Appropriations Act, 

2021 provided funding for the Education Stabilization Fund. The Education Stabilization 

Fund-Rethink K–12 Education Model (ESF-REM) grants provide support to SEAs in states 

with the highest COVID-19 burden to address specific educational needs of students and 

their parents and teachers in public and nonpublic elementary and secondary schools. A 

community of practice was established for ESF-REM grantees, and the first meeting was 

held in January 2021, which included a discussion of statewide virtual learning and course 

access programs along with demonstrations of Rhode Island’s and North Carolina’s course 

access platforms. In January and February 2021, the Department conducted technical 

assistance calls with grantees to finalize project budgets, performance indicators, and 

management plans. The Department also developed a protocol for quarterly update calls to 

monitor program compliance and assess grant progress.
112 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Provide all P–12 students with equal access to 

high-quality educational opportunities. 

Strategic Objective 1.2

STRATEGIC OBJECTIVE LEADER: 

Assistant Secretary, Office of Special Education and Rehabilitative Services

Overview

Every child, regardless of ZIP code or family income, should have access to a high-quality 

education. With schools closed due to the COVID-19 pandemic, access to a high-quality 

education often requires that students have access to high-speed internet and that schools 

use technology accessible to all students. The National Center for Education Statistics 

(NCES) reported that in 2018, 88 percent of 3- to 18-year-olds had home internet access 

through a computer, an additional 6 percent had home internet access only through a smartphone, and the remaining 6 percent had no internet access at home. Access varied by race 

and family income. The Department is committed to improving access to high-quality 

prekindergarten through grade 12 educational opportunities for every student, and it will 

support educational institutions, parents, and communities in developing such opportunities as well as their capacity to improve the outcomes for every student. 

Access to internet and computers significantly affected the ability of students to access 

online instruction during the COVID-19 pandemic and affected the Department’s ability to 

track and monitor state assessments. The modes and quality of educational instruction were 

constantly changing, making assessment of progress against planned targets and gradelevel benchmarks challenging. According to NCES’ National Assessment of Educational 

Progress 2021 Monthly School Survey, the percentage of public school fourth and eighth 

graders enrolled for full-time in-person instruction ranged from 33 percent in January 2021 

to 50 percent in May 2021 and varied considerably across the nation. As a result, the Department granted one-time waivers of state assessments and collection requirements deemed 

impractical to either gather or rely on in such an extraordinary and incomparable school 

year. An immediate impact on the strategic plan was that certain indicators, which highlight 

three school year trends in the percentage of students that are deemed proficient on reading 

and mathematics assessments, respectively, could not be reported given the waiving of the 

school year (SY) 2019–2020 state assessments. 
Performance Assessment—Goal 1 113

Several offices across the Department support this strategic objective, including the Office 

of Elementary and Secondary Education (OESE); the Office of Special Education and 

Rehabilitative Services (OSERS); the Office for Civil Rights (OCR); the Office of Career, 

Technical, and Adult Education; the Office of Planning, Evaluation, and Policy Development; and the Institute of Education Sciences (IES).

Performance Analysis

Five performance indicators in this strategic objective were assessed in fiscal year 

(FY) 2021. Of those, four met or exceeded their annual target. Those included 1.2.D, which 

gauges the availability of high-speed internet in kindergarten through grade 12 schools; 

1.2.E, which gauges rural schools connected to broadband infrastructure that are capable 

of scaling to 10 gigabits per second; 1.2.F, which gauges the percentage of states publishing report cards on the preceding school year in a timely manner; and 1.2.G, which gauges 

the percentage of monitored states publicly reporting information on each indicator in the 

state’s accountability system, including the list of schools identified for comprehensive or 

targeted support and improvement. One performance indicator in this strategic objective

(1.2.C), which gauges the percentage of states with 80 percent or more of preschoolers with 

disabilities that show greater than expected growth in social-emotional skills by the time they 

exit certain disability services, did not meet its annual target. 

As a result of the COVID-19 pandemic, on March 20, 2020, the Department issued an 

invitation to states to request a waiver for state assessments conducted for SY 2019–2020. 

All states and entities requested and were granted waivers following that time. As a result, 

the Department will not provide FY 2021 results for performance indicators 1.2.A and 1.2.B, 

which are related to states improving proficiency in reading and mathematics, respectively, 

and are based on state-administered tests. The Department did not provide state assessment 

waivers for SY 2020–2021 or SY 2021–2022.

Key Successes and Opportunities

Reopening Schools

Throughout the COVID-19 pandemic, the nation has considered how and when to safely 

return students to in-person learning. The Department launched the Safer Schools and Campuses Best Practices Clearinghouse on April 30, 2021, to highlight best practices in safely 

continuing to reopen schools, early childhood centers, and institutions of higher education 

(IHEs). Through a notice in the Federal Register, the Department solicited submissions, 

reviewed and vetted the submissions, and made the submissions publicly available via 

a searchable resource library. In addition to submissions from stakeholders, the Department curated and included in the site’s resource library evidence-based resources from the 

Department’s technical assistance centers, including the Regional Educational Laboratories 

Strategic Objective 1.2
114 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

administered by IES and the centers administered by OSERS and OESE. The clearinghouse includes evidence-based resources from federal partners, including the Centers for 

Disease Control and Prevention (CDC), the Department of Health and Human Services, 

and the Environmental Protection Agency. Through the resources on the clearinghouse, 

the Department continues to support in-person instruction that ensures student and staff 

physical safety; addresses the social, emotional, and mental health needs of students and 

staff; and works to mitigate the impact of lost instructional time for all students and particularly those students most impacted by the COVID-19 pandemic. 

In February 2021, the Department released Volume 1 of the ED COVID-19 Handbook: 

Strategies for Safely Reopening Elementary and Secondary Schools. The handbook supports 

the education community with implementation guidance, strategies, and considerations to 

help reopen schools safely. Volume 2 of the handbook, ED COVID-19 Handbook: Roadmap 

to Reopening Safely and Meeting All Students’ Needs, was released in April 2021. It 

provides strategies to address the extraordinary disruption created by COVID-19 pandemic 

for students, educators, and parents—especially for historically underserved students and 

communities that preliminary data suggest have been hit hardest by the pandemic. Volume 3 

of the handbook, ED COVID-19 Handbook: Strategies for Safe Operation and Addressing 

the Impact of COVID-19 on Higher Education Students, Faculty, and Staff, was released 

in June 2021. It provides additional strategies for IHEs and communities as they work to 

reopen for in-person instruction safely and equitably.

States received access to two-thirds of their 

American Rescue Plan Act of 2021 Elementary and Secondary School Emergency 

Relief (ARP ESSER) funds (approximately $81 billion) in April 2021, which 

have been made available to districts, to 

support efforts to reopen schools safely 

for in-person learning, keep schools safely 

open once students return, and address 

the needs of students. The remaining 

$41 billion became available upon Department review and approval of state plans 

describing how states will use the funds. 

The state plan review is completed, and 

all approved plans are now available for 

review on the ARP ESSER website. 

OESE, in collaboration with the CDC and the federally funded National Center on 

Safe Supportive Learning Environments, hosts a regular webinar series, Lessons from 

“We’re thrilled to see that states are 

directing the unprecedented resources 

from the American Rescue Plan 

toward addressing student needs and 

quickly and safely reopening our 

schools, so we can give every student 

the opportunity to learn full-time, 

in-person.”

U.S. Secretary of Education 

Miguel A. Cardona
Performance Assessment—Goal 1 115

Strategic Objective 1.2

the Field Webinar Series, focused on providing information and much-needed resources 

to educators and staff on strategies for safely reopening schools and sustaining in-person 

instruction in schools, early childhood programs, and IHEs. 

In alignment with the Administration’s priorities and the Executive Order on 

Supporting the Reopening and Continuing Operation of Schools and Early Childhood 

Education Providers, OSERS has modified its approach to Differentiated Monitoring and 

Support (DMS) 2.0. DMS, which is focused on grantee compliance and improving results 

for children with disabilities, is used to fulfill the Department’s responsibility to monitor grantees, address state-specific needs, and allocate resources. The updated approach to 

DMS, known as “DMS Pivot,” is focused on providing universal and targeted support to 

states regarding reopening schools and resuming early intervention services for children 

with disabilities. Additionally, OSERS released return to school guidance that is focused 

on the rights of children with disabilities under the Individuals with Disabilities Education 

Act. The guidance includes multiple documents that address state obligations related to 

ensuring that, regardless of the COVID-19 pandemic or the mode of instruction, children 

with disabilities receive a free appropriate public education and that infants and toddlers 

with disabilities and their families receive early intervention services.

Responding to the Impacts of COVID-19 

As the nation’s schools reopened, the Department provided resources to address the impacts 

of COVID-19 on the education community and to share best practices and strategies of 

reopening and keeping schools open. OESE launched the Responding to the COVID-19 

Pandemic webpage, which contains resources for grantees, states, districts, schools, 

IHEs, and communities focused on improving school climate and conditions for learning, 

including mental health support, due to COVID-19. Topics on the website include supporting 

students’ mental, emotional, and behavioral health; addressing the COVID-19 pandemic 

in higher education; and supporting the well-being of educators and professional staff.

In March 2021, the Department hosted a National Safe School Reopening Summit and 

initiated the Summer Learning & Enrichment Collaborative. The collaborative is a 

partnership among the Department, the Comprehensive Center Network, and national 

partners representing states, local school systems, educators, and community-based 

organizations. The collaborative supports states in using American Rescue Plan Act of 2021

(ARP) funding for effective summer programs that can help to address lost instructional 

and extracurricular time during the pandemic. The national convening included sessions on 

using evidence to inform summer programs and using federal funding to promote equity 

through summer enrichment opportunities that support social, emotional, and academic 

development.
116 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

In May 2021, OCR published Questions and Answers on Civil Rights and School Reopening 

in the COVID-19 Environment, which offers answers to common questions about operating 

safe schools free from discrimination and harassment during the COVID-19 pandemic. 

OCR also released a fact sheet with the U.S. Department of Justice, Confronting COVID-19-

Related Harassment in Schools, to help families understand the types of incidents OCR can 

investigate and the process OCR follows to resolve complaints of unlawful discrimination 

and harassment. 

In July 2021, OCR and OSERS issued Long COVID under Section 504 and the IDEA: 

A Resource to Support Children, Students, Educators, Schools, Service Providers, and 

Families. This resource includes information about the obligations of elementary and 

secondary schools, public agencies, and postsecondary institutions to children and students 

with long COVID.

To provide guidance and assistance related 

to the use of ARP funds, in July 2021, the 

Department published Frequently Asked 

Questions: Using American Rescue Plan 

Funding to Support Full-Service Community Schools & Related Strategies. In 

August 2021, the Department published 

Strategies for Using American Rescue 

Plan Funding to Address the Impact of 

Lost Instructional Time, which includes 

topics focused on reengaging students, 

supporting parents and caregivers, and 

using high-quality assessments to support 

student learning. 

Increasing Access to Technology 

Recognizing the importance of access 

to internet service, especially during the 

COVID-19 pandemic when many schools transitioned to online or hybrid (online and 

in-person) learning formats, the Department collaborated with the Federal Communications Commission on the development of the Emergency Broadband Benefit Program. The 

Department also participated in the development and dissemination of outreach materials 

to inform communities of the program, which provided discounts on access to broadband 

service for eligible households.

To further support access to the internet to keep students connected and learning, in June 

2021, the Department’s Office of Educational Technology (OET) released Keeping Students 

“The approval of these plans enables 

states to receive vital additional 

American Rescue Plan funds to 

quickly and safely reopen schools for 

full-time, in-person learning; meet 

students’ academic, social, emotional, 

and mental health needs; and address 

disparities in access to educational 

opportunity that were exacerbated by 

the coronavirus pandemic.”

U.S. Secretary of Education 

Miguel A. Cardona
Performance Assessment—Goal 1 117

Strategic Objective 1.2

Connected and Learning, which provides strategies for deploying school district wireless networks as a sustainable solution to connect students at home. Lack of high-speed 

broadband access is disproportionately common in low-income, rural, tribal, and other 

under-resourced communities. The lack of access, which is often required for learning, 

results in significant consequences for students, such as lack of digital skills and lower 

academic achievement. The OET brief shows examples of how some school districts have 

taken diverse approaches to build off-campus networks. Additionally, in July 2021, OET 

released the Home Access Playbook, which outlines strategies that state leaders are taking 

to address issues of home internet and device access for students.
118 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Prepare all students for successful transitions to college 

and careers by supporting access to dual enrollment; job 

skills development; and high-quality science, technology, 

engineering, and mathematics (STEM).

Strategic Objective 1.3

STRATEGIC OBJECTIVE LEADER: 

Assistant Secretary, Office of Career, Technical, and Adult Education

Overview

In May 2021, the National Center for Education Statistics’ data on graduation rates from 

school year (SY) 2018–2019 indicated that 86 percent of public high school students 

graduated within four years of starting high school. To take full advantage of the growing 

universe of opportunities available to them following graduation, the nation’s elementary and 

secondary school students need stronger preparation in science, technology, engineering, and 

mathematics (STEM) and more options, such as youth apprenticeship and dual enrollment, 

to get a head start on achieving their goals.

To support this strategic objective, the Department worked to expand the practical and 

affordable options available to students and parents for successful transition from high school 

to postsecondary education and careers, including dual or concurrent enrollment programs; 

access to accelerated coursework, such as Advanced Placement (AP) and International 

Baccalaureate courses to earn postsecondary credit while still in high school; high-quality 

STEM instruction, including computer science; and job skills development through career, 

technical, and adult education programs. These options are critical for students as they 

prepare for the transition to college and careers and the quickly changing demands of the 

technology-driven global economy.

Several offices across the Department supported this strategic objective, including the Office 

of Career, Technical, and Adult Education (OCTAE); the Office of Elementary and Secondary Education; the Office of Planning, Evaluation, and Policy Development; the Office for 

Civil Rights; the Office of Postsecondary Education; the Office of Special Education and 

Rehabilitative Services; and the Institute of Education Sciences (IES).

Performance Analysis

There are eight performance indicators in this strategic objective. Of those, two met or 

exceeded their annual targets, including 1.3.H, which gauges the number of Workforce 
Performance Assessment—Goal 1 119

Innovation and Opportunity Act adult education participants who advance one educational functioning level in mathematics, and 1.3.J, which gauges the number of secondary 

career and technical education (CTE) concentrators enrolling in STEM. The remaining 

six performance indicators in this strategic objective did not meet their annual targets. Of 

those, one gauges the number of discretionary grant notices with STEM (1.3.A); two gauge 

the participation of high school students taking AP exams in STEM courses (1.3.B and 

1.3.C); and the remaining three performance indicators gauge adult participants achieving 

skill gains (1.3.D), adult education participants receiving diplomas (1.3.E), and adult 

education participants enrolled in integrated education and training (1.3.G).

Key Successes and Opportunities

Improving Instruction in Adult Education

Fiscal year (FY) 2021 continued to 

present challenges in the delivery of adult 

instruction. Many adult learners faced 

employment and housing uncertainty in 

addition to the challenges of continuing 

education. The Department supported 

and encouraged programs to continue 

engagement and provide flexibilities for 

adult learners. Continuing its work that 

began in FY 2020, OCTAE worked with 

10 adult education programs in 4 states 

on a technology-based coaching project 

through June 2021. OCTAE conducted 

three webinars and periodic check-in 

meetings with each of the programs to prepare staff to implement technology-based coaching 

in the form of text messaging with adult learners. Each state continues to use technologybased coaching strategies to support student retention and outcomes while programs operate 

remotely and in-person during the COVID-19 pandemic. 

Efforts continued in the development of new training materials and an online version of the 

redesigned Adult Numeracy Initiative training for adult education teachers to begin pilot 

testing in October 2021. Through this $2.4 million technical assistance investment, OCTAE 

seeks to assist states in improving the quality of mathematics instruction in adult education. 

This redesign work builds on available evidence on high-quality professional development 

and mathematics instruction.

“We must deploy every resource 

to bear to make sure all higher 

education students can reengage with 

their school communities, continue 

their education, and graduate ready 

to pursue their dreams.”

U.S. Secretary of Education 

Miguel A. Cardona

Strategic Objective 1.3
120 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Additionally, in July 2021, the Department announced the expansion of Second Chance 

Pell experiment for the 2022–2023 award year, which will provide education opportunities 

for thousands of justice-involved individuals who previously have been unable to access 

federal need-based financial aid. The expansion will allow up to 200 colleges and universities to offer their prison education programs with support from the Pell Grant Program.

Other College and Career Readiness Activities

The COVID-19 pandemic affected the preparation of students for postsecondary education. 

IES’ Regional Educational Laboratory Program works with educational stakeholders to 

use data and research to improve academic outcomes for students. The program published 

more than a dozen studies related to high school CTE, dual enrollment programs, and the 

use of data to predict college readiness. One study published in April 2021, Advanced 

Placement Participation, Staffing, and Staff Training in the District of Columbia Public 

Schools, examined students’ AP exam taking and passing rates in schools that mandate 

AP course enrollment and in schools that do not. The study found that three of the four 

high schools that adopted a mandate on AP course enrollment during the study period 

had higher AP exam taking and passing rates after their mandate went into place. Many 

colleges and universities grant credits to high school students who score well on AP exams, 

giving students a head start in their postsecondary education. The number of students taking 

an AP exam increased every year until SY 2019–2020, when the participation rate for 

AP exams dropped to below the SY 2015–2016 level.

IES’ Regional Educational Laboratory Program also published Examining High School 

Career and Technical Education Programs and the Postsecondary Outcomes of Career 

and Technical Education Students in the Round Rock Independent School District, a study 

on the alignment of CTE programs with high-wage, in-demand career pathways and the 

percentages of graduates who completed programs of study aligned with those pathways. 

The study found that more than 80 percent of graduates enrolled in two- or four-year 

colleges or were employed within one year of high school graduation. This study can be 

used to encourage participation in CTE by all student groups and encourage other education 

communities to adopt similar programs.

In FY 2021, IES’ National Center for Education Research invested more than $11.5 million 

in seven new awards to build knowledge about successful strategies in CTE. Two of the 

grants were in the category of using State Longitudinal Data Systems to support state 

policymaking, and five of the grants were under the topic of the Education Research Grants 

Program.
Performance Assessment—Goal 1 121

Support agencies and institutions in the implementation 

of evidence-based strategies and practices that build the 

capacity of school staff and families to support students’ 

academic performance.

Strategic Objective 1.4

STRATEGIC OBJECTIVE LEADER: 

Assistant Secretary, Office of Planning, Evaluation, and Policy Development

Overview

Focusing on evidence that what works will better serve students, families, and communities, 

this strategic objective aims to support the development of evidence about what works in 

prekindergarten through grade 12 (P–12) education, primarily through expanded supports 

for states and local educational agencies as they implement provisions in the Every Student 

Succeeds Act that require the use of evidence-based interventions whenever practicable.

Several offices across the Department supported this strategic objective, including the 

Office of Planning, Evaluation, and Policy Development; the Office of Special Education 

and Rehabilitative Services; the Office of Elementary and Secondary Education; the Office 

of English Language Acquisition; and the Institute of Education Sciences (IES).

Performance Analysis

There is only one performance indicator for this strategic objective (1.4.A), which gauges 

the number of technical assistance engagements, events or related activities, or products 

focused on grantees’ use of evidence in P–12 education. This performance indicator did not 

meet its annual target.

Key Successes and Opportunities

Providing Resources to Enhance Outcomes

As students and educators return to in-person instruction, it is important to create learning 

environments in which students feel safe and academic success is encouraged. The 

Department developed the National Center on Safe Supportive Learning Environments, a 

collection of resources to support teachers and school and district leaders as they welcome 

students back into classrooms and provide support to meet students’ needs. Although 

initially created more than 10 years ago and continuously funded by the Office of Safe and 
122 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Supportive Schools, this website and its plentiful resources were intentionally repurposed 

in September 2021 to add and leverage more value for those currently grappling with 

reopening schools safely and provide technical assistance during the ongoing COVID-19 

pandemic.

Numerous relevant topics are presented on the site, including strategies for reengaging 

P–12 students upon reopening; supporting COVID-19 vaccination efforts; supporting staff; 

and supporting mental health, physical safety, emotional safety, and emergency management 

and readiness. The popular Lessons from the Field Webinar Series is also archived on the site 

as a ready trove of best practices for educators and administrators to learn from peers and 

colleagues who are also undertaking the important work of reopening and reentry. Finally, 

those resources also include School Climate Improvement Action Guides, which provide 

information on how the education community can support school climate improvements, 

and Creating a Safe and Respectful Environment in Our Nation’s Classrooms, which 

provides information on reducing bullying behavior and other materials and links to multitiered systems of supports to help address students’ emotional and behavioral needs during 

the COVID-19 pandemic. 

IES’ Regional Educational Laboratory Program also produced a series of evidence-based 

resources and guidance about teaching and learning in a remote environment, as well 

as other considerations brought about by the COVID-19 pandemic. Resources include 

information on topics such as accountability and assessments, equitable learning 

opportunities, returning to school, social and emotional learning and mental health, and 

students with disabilities.

Using Data to Assess Activities

IES’ National Center for Education Statistics launched the National Assessment of 

Educational Progress 2021 Monthly School Survey and the School Pulse Panel to capture 

information about the operating status of kindergarten through grade 12 (K–12) schools 

nationwide. Data include information on the “instructional mode” (i.e., fully in-person, 

hybrid, or remote only) offered by schools, the instructional mode that students enrolled 

in, and the policies and programs schools are providing to support students in response to 

the pandemic. IES also launched Implementation of Key Federal Policies in the Wake of 

the Coronavirus Pandemic, which will provide a national portrait of practices employed 

by states and districts to respond to COVID-19. Taken together, these studies will provide 

useful information to stakeholders across the Department about the types of evidence-based 

support that states, districts, and school leaders need to address the varied impacts of the 

pandemic on the nation’s K–12 students.
Expand postsecondary educational opportunities; improve outcomes 

to foster economic opportunity; and promote an informed, thoughtful, 

and productive citizenry.

Strategic Goal 2
124 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Goal 2 

Spotlight

GOAL LEADER: 

Assistant Secretary, Office of 

Postsecondary Education

GOAL 2 OBJECTIVES: 

2.1 Support educational institutions, 

students, parents, and communities 

to increase access and completion 

of college; lifelong learning; 

and career, technical, and adult 

education.

2.2 Support agencies and educational 

institutions in identifying and using 

evidence-based strategies or other 

promising practices to improve 

educational opportunities and 

successfully prepare individuals to 

compete in the global economy.

2.3 Support agencies and educational 

institutions as they create or expand 

innovative and affordable paths 

to relevant careers by providing 

postsecondary credentials or 

job-ready skills.

2.4 Improve quality of service for 

customers across the entire 

student aid life cycle.

2.5 Enhance students’ and parents’ 

ability to repay their federal student 

loans by providing accurate and 

timely information, relevant tools, 

and manageable repayment options.

Performance Indicator Overview

In fiscal year (FY) 2021, the Department assessed 17 performance indicators 

for this Strategic Goal. Of those, 12 targets were met or exceeded, and 

4 performed below this year’s target and the prior year’s performance. 

One performance indicator did not have an established target and was 

baselined in FY 2021. 

 
Performance Assessment—Goal 2 125

Goal 2 Discretionary Resources

The following figure and table show total budgetary resources and select major discretionary 

programs and activities supporting Goal 2, respectively.

Goal 2 Budgetary Resources

Major Discretionary Programs and Activities Supporting Goal 2 (in thousands)

POC ACCT Objective Program

FY 2020 

Appropriation

FY 2021 

Appropriation

FSA SFA 2.1, 2.3 Federal Pell Grants: Discretionary $22,475,352 $22,475,352

OCTAE CTAE 2.1, 2.3 Career and Technical Education 

State Grants

$1,282,598 $1,334,848

OCTAE CTAE 2.1, 2.3 Adult Basic and Literacy Education 

State Grants

$656,955 $674,955

OPE HE 2.1 Aid for Institutional Development $616,270 $639,847

OPE HE 2.1, 2.2, 2.3 Federal TRIO Programs $1,090,000 $1,097,000

Other N/A N/A All Other Programs $6,467,752 $6,665,794

Note:

Discretionary resources listed here include Department programs that may contribute to multiple Strategic Goals. 

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FY = Fiscal Year; FSA = Federal Student Aid; SFA = Student 

Financial Assistance; OCTAE = Office of Career, Technical, and Adult Education; CTAE = Career, Technical, and Adult 

Education; OPE = Office of Postsecondary Education; HE = Higher Education; and N/A = Not Applicable.
126 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Support educational institutions, students, parents, and 

communities to increase access and completion of college; 

lifelong learning; and career, technical, and adult education.

Strategic Objective 2.1

STRATEGIC OBJECTIVE LEADER: 

Assistant Secretary, Office of Postsecondary Education

Overview

The Department continues to recognize that effective grant-making is in the best interests 

of the students the grants serve, is critical to responsible stewardship of public dollars, and 

can yield measurable returns to society in the long term. In fiscal year (FY) 2021, the Office 

of Postsecondary Education (OPE) issued more than 6,000 discretionary grants designed 

to strengthen the capacity of colleges and universities to promote reform, innovation, and 

improvement in postsecondary education; promote and expand access to postsecondary 

education; and increase college completion rates for America’s students. These grants also 

supported programs that broadened global competencies that drive the economic success 

and competitiveness of the nation.

Several offices across the Department contributed to this strategic objective, including 

OPE; Federal Student Aid (FSA); the Office of Career, Technical, and Adult Education; 

and the Office of Special Education and Rehabilitative Services.

Performance Analysis

There are three performance indicators in this strategic objective. Of these, two met 

their targets, including 2.1.A, which gauges the percentage of Gaining Early Awareness 

and Readiness for Undergraduate Programs participants who obtain a secondary school 

diploma or its equivalent and, within one year, are enrolled in postsecondary education, 

and 2.1.C, which gauges the persistence among first-time filing aid recipients. The third 

performance indicator, 2.1.B, which gauges the percentage of first-time Free Application 

for Federal Student Aid® (FAFSA®) filers among high school seniors, did not meet 

its target. 
Performance Assessment—Goal 2 127

Key Successes and Opportunities

Regulatory Activities

The Administration and the Department 

continue to take steps to support students 

and borrowers such as by extending the 

pause on student loan repayment, interest, 

and collections and expanding it to 

include additional borrowers. This action 

helped more than 42 million borrowers 

save billions of dollars per month. As of 

the end of FY 2021, the Biden–Harris 

Administration also approved more than 

$13 billion in student loan discharges.

In August 2021, the Department announced

a new regulation that allows borrowers 

who have a total and permanent disability to have their student loans discharged. The regulation allows the Department to provide automatic total and permanent disability discharges 

for borrowers who are identified through administrative data matching with the Social Security Administration. This regulation resulted in 360,000 borrowers receiving $6.5 billion in 

automatic discharges, with additional discharges expected each quarter. In conjunction with 

the new regulation, the Department announced it indefinitely extended the policy to stop 

asking these borrowers to provide information on their earnings—a process that resulted 

in the reinstatement of loans if and when borrowers did not respond—beyond the end of 

the national emergency. Additionally, the Department engaged stakeholders in a negotiated 

rulemaking panel to discuss regulations related to total and permanent disability discharges 

in fall 2021, which resulted in consensus on several improvements, including eliminating 

the three-year monitoring period and expanding the categories used by the Social Security 

Administration that would qualify a borrower for a discharge. 

OPE continues to develop federal postsecondary education policy and regulations that 

support students through the economic challenges of the COVID-19 pandemic and ensure 

their basic needs are met; help colleges take necessary precautions to reduce the risk of 

COVID-19 transmission; mitigate the negative consequences on learning and educational 

attainment; and support colleges’ fiscal stability and role as major employers. For example, 

in May 2021, the Department announced a final regulation that ensured all students who are 

Strategic Objective 2.1

“As our nation’s economy continues 

to recover from a deep hole, this 

final extension will give students 

and borrowers the time they need to 

plan for restart and ensure a smooth 

pathway back to repayment.”

U.S. Secretary of Education 

Miguel A. Cardona
128 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

or were enrolled in an institution of higher education during the COVID-19 pandemic are 

eligible for emergency financial aid grants from the Higher Education Emergency Relief 

Fund (HEERF) regardless of whether they completed a FAFSA or are eligible for Title IV. 

Ensuring colleges can prioritize emergency funds to all students with the greatest need 

helped further support an equitable recovery. Additionally, the Department acted quickly 

to correct a technical oversight in the Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021, which authorizes additional assistance for eligible Historically 

Black Colleges and Universities (HBCUs) under two programs authorized by the Higher 

Education Act of 1965, as amended: the Strengthening HBCUs Program and the HBCU 

Master’s Program. The Calculation of the Endowment Factor for Allocations to Historically 

Black Colleges and Universities Under Section 314(a)(2)(A) of the Coronavirus Response 

and Relief Supplemental Appropriations Act, 2021 specifies the formula used to determine 

how funds are allocated to each HBCU and allowed funds to quickly flow to colleges. 

The regulation was published in the Federal Register in April 2021. 

The Policy, Planning, and Innovation division in OPE also developed a rule reflecting the 

repeal of the subsidized usage limit restriction pursuant to the Consolidated Appropriations 

Act, 2021, and the Repeal of the William D. Ford Federal Direct Loan Program Subsidized 

Usage Limit Restriction was published in the Federal Register in June 2021. The regulation 

removes the subsidized usage loan limit restriction for any borrower who receives a Federal 

Direct Stafford Subsidized Loan first disbursed on or after July 1, 2021, regardless of 

the award year associated with the loan. Additionally, subsidy benefits will be reinstated 

retroactively to the date on which the loss of subsidy was applied.

Outreach

Many students use some form of financial aid to fund their postsecondary education. 

Enhancing the education community’s knowledge of available financing options can 

contribute to more students having access to postsecondary education. In October 2020, FSA 

hosted virtual Financial Aid Bootcamps designed for students, parents, guidance counselors, 

college access professionals, and other members of the financial aid community to enhance 

their familiarity with the financial aid process. The bootcamps provided information about 

the financial aid process and how to complete the 2021–2022 FAFSA form as well as how 

to use the College Scorecard and Loan Simulator tools. Participants also received tips and 

best practices to resolve unique circumstances during the COVID-19 pandemic.

FSA also partnered with multiple states to host virtual partner summits for invited student 

support organizations to increase awareness of resources that support FAFSA form completion and postsecondary success. The summits included presentations on financial aid 

changes by FSA outreach staff and information on best practices from state and local community organizations. The summits laid the foundation for establishing greater collaboration 

among participants within federal, state, and local networks. 
Performance Assessment—Goal 2 129

Strategic Objective 2.1

Additionally, FSA took many steps to increase FAFSA filing among high school seniors, 

including engaging more than 500 media outlets, conducting outreach to specific states 

that are struggling the most with high school senior FAFSA filing, posting more than 

250 social media posts, and conducting email campaigns that reached more than 41 million 

customers who previously completed the FAFSA. These strategies enhanced outreach to 

local media outlets and to key states about the importance of FAFSA filing, which contributed to increases in the filing results in these areas. Social media outreach continued to be 

a promising method for raising awareness as well. For much of the cycle, FAFSA submissions by returning filers exceeded rates of filing for this population when compared to the 

previous year.

Through Project Success, FSA worked to improve student retention, graduation, and 

cohort default rates at more than 247 minority-serving institutions. These services, which 

are provided by guaranty agencies without additional charge to participating schools, 

include tools, programs, and other resources that seek to help students increase their 

financial literacy and achieve their postsecondary education goals. FSA is also committed 

to continuing its work beyond Project Success to provide robust regulatory training and 

technical assistance to minority-serving institutions.

The Department’s team responsible for 

management and implementation of the 

HEERF III, as authorized by section 2003 

of the American Rescue Plan Act of 2021, 

used outreach activities to support goals 

of this objective, which include (1) prioritizing institutions with the greatest need, 

(2) ensuring equitable access to emergency 

aid for students, (3) addressing systemic 

barriers to retention and completion exacerbated by the COVID-19 pandemic, and 

(4) ensuring that funds were dispersed to 

students and institutions expeditiously. 

The Department worked hard to provide clear, comprehensive guidance to 

institutions; actively engage with key 

stakeholders, particularly from institutions themselves; and strengthen internal controls in 

monitoring the program. The Department continues to monitor spending patterns closely, 

work with grantees to identify impediments to the effective use of funds, and clarify 

allowable uses of funds whenever necessary. The Department has conducted dozens of listening sessions with institutions of higher education and college associations representing 

“One of my first priorities is to 

ensure that institutions of higher 

education have the financial support 

and resources needed to support 

their students and mitigate the 

challenges brought on by the COVID19 emergency. Our latest actions 

will help campuses address those 

challenges.”

U.S. Secretary of Education 

Miguel A. Cardona
130 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

thousands of institutions. Additionally, the Department hosted webinars and published new 

guidance and frequently asked questions documents. The Department also facilitated more 

than 60 partnerships between community colleges and the Department of Health and Human 

Services to create vaccination sites for students, faculty, staff, and community members, and 

providers, and the Federal Retail Pharmacy Program provided many more on-site clinics 

for colleges and universities across the nation.
Performance Assessment—Goal 2 131

Support agencies and educational institutions in identifying 

and using evidence-based strategies or other promising 

practices to improve educational opportunities and successfully 

prepare individuals to compete in the global economy.

Strategic Objective 2.2

STRATEGIC OBJECTIVE LEADER: 

Assistant Secretary, Office of Planning, Evaluation, and Policy Development

Overview

The Department is committed to improving educational opportunities for the existing and 

future workforce. As such, through this strategic objective, the Department promoted the 

identification and use of evidence in federal programs that provided educational opportunities, training, and support services focused on the workforce. It is also essential that the 

Department fulfills its commitment to individuals with disabilities by working with state 

and local agencies to provide job-driven training and support services consistent with the 

Workforce Innovation and Opportunity Act (WIOA).

To increase the likelihood that these programs achieved their goals, the Department supported 

the use of evidence across multiple programs that addressed postsecondary education and 

workforce outcomes.

Several offices across the Department supported this strategic objective, including the Office 

of Postsecondary Education; the Office of Planning, Evaluation, and Policy Development; 

the Institute of Education Sciences (IES); the Office of Special Education and Rehabilitative 

Services; the Office of English Language Acquisition; and the Office of Career, Technical, 

and Adult Education (OCTAE).

Performance Analysis

There are four performance indicators in this strategic objective. Of those, two met their 

targets, including 2.2.B, which gauges the percentage of WIOA adult education program 

participants who are in unsubsidized employment during the second quarter after exit 

from the program, and 2.2.D, which gauges the percentage of Vocational Rehabilitation 

(VR) Program participants who, during a program year, are in an education or training 

program that leads to a recognized postsecondary credential or employment and who are 

achieving measurable skill gains (defined as documented academic, technical, occupational, 
132 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

or other forms of progress) toward such a credential or employment. The third performance 

indicator, 2.2.A, which gauges the number of technical assistance events or activities and 

products focused on the use of evidence in federal programs that promote educational 

opportunities, training, and support services for the workforce, did not meet its target. 

The last performance indicator, 2.2.C, which gauges the percentage of VR Program 

participants who were in unsubsidized employment during the second quarter after exiting 

the program, was baselined in fiscal year (FY) 2021.

Key Successes and Opportunities

Outreach and Technical Assistance or Providing Evidence of 

What Works

OCTAE’s National Reporting System for Adult Education (NRS) is the accountability 

system for the federally funded adult education program and provides outcome-based 

reporting. In FY 2021, the NRS Evaluation Learning Community concluded a yearlong professional development activity designed to promote understanding of evaluation 

methods and provide state participants the opportunity to conduct their own evaluation 

research on specific topics. An NRS Evaluation Learning Community webinar highlighted 

four states (Illinois, Pennsylvania, Texas, and Virginia) that spent the year conducting 

research on two key topics: (1) professional development for implementing standards-based 

or integrated education and training programming and (2) comprehensive intake strategies. 

The webinar allowed states to learn about the research designs, methods, and findings from 

these four states and allowed other states to share their experiences on the study topics.

IES’ Career & Technical Education Research Network (CTERN), in its efforts to improve 

awareness of evidence-based practices that improve outcomes for career and technical 

education (CTE) students, is increasing the number of CTE impact studies and promoting 

the use of CTE research, such as a two-year study, Exploring the Role and Effects of 

High School Advising on CTE Students’ Transitions to Postsecondary Education and the 

Workforce. Additional resources include webinars, studies, and trainings that provide 

beneficial information to CTE practitioners. For example, because many hands-on and 

team-based CTE programs were heavily impacted by the COVID-19 pandemic, in 

September 2021, CTERN published a report, CTE Programs and the COVID-19 Pandemic: 

Responses, Innovations, and Implications for Future Research, that identified challenges, 

lessons learned, and innovations developed to help other CTE teachers, administrators, and 

curriculum developers. 

IES’ What Works Clearinghouse continued to focus on high-quality research to answer the 

question, “What works in education?” The clearinghouse highlighted seven postsecondaryfocused studies through its Postsecondary Studies of the Month email newsletter. Focal 

topics included early college high schools; dual enrollment and CTE programs; light-tough 
Performance Assessment—Goal 2 133

Strategic Objective 2.2

supports for college-going, grant, and scholarship programs; and summer enrollment. In 

March 2021, the clearinghouse also released a new postsecondary-focused practice guide, 

Designing and Delivering Career Pathways at Community Colleges, that includes specific 

recommendations for supporting occupational skills training through career pathways. 

Additionally, a webinar and supporting videos were released supporting the practice 

guide’s use.
134 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Support agencies and educational institutions as they 

create or expand innovative and affordable paths to 

relevant careers by providing postsecondary credentials 

or job-ready skills.

Strategic Objective 2.3

STRATEGIC OBJECTIVE LEADER:

Assistant Secretary, Office of Career, Technical, and Adult Education

Overview

It is critical that the Department help ensure that the nation’s workforce is prepared to meet 

the challenges of tomorrow with the skills and credentials employers require. Postsecondary 

credentials and job-ready skills for in-demand industries may be obtained by students through 

a wide variety of education providers, such as traditional institutions of higher education 

(IHEs), non-traditional education providers, and providers of self-guided learning. Through 

this strategic objective, the Department provided grant funding and technical assistance 

resources to develop, evaluate, and replicate practices and programs that expand access to 

viable education and career pathways.

Several offices across the Department supported this strategic objective, including the 

Office of Career, Technical, and Adult Education (OCTAE); the Office of Postsecondary 

Education; and the Office of Special Education and Rehabilitative Services.

Performance Analysis

There are two performance indicators in this strategic objective; both met their targets. 

Performance indicator 2.3.A gauges the number of technical assistance activities sponsored 

by the Department intended to expand or enhance the integration of workforce preparation activities within academic instruction in adult education classrooms, and 2.3.C gauges 

the number of postsecondary science, technology, engineering, and mathematics (STEM) 

degrees and certificates conferred.

Key Successes and Opportunities

Job Skills Development or Expanding Career Pathways

The Department continues its support for multiple pathways to high-demand careers for 

students. In late fiscal year (FY) 2020, OCTAE launched its REthink Adult Ed Challenge, 
Performance Assessment—Goal 2 135

Strategic Objective 2.3

a $2.1 million technical assistance 

investment that includes a $750,000 prize 

pool. Response to the launch exceeded 

expectations, with more than 720 interested 

parties registered for an informational 

webinar, resulting in 203 application 

submissions covering a range of industries, 

including manufacturing, health care, 

and technology. The challenge targeted 

the development of 100 or more new 

pre-apprenticeship programs involving 

partnerships between adult education 

providers, sponsoring apprenticeship organizations, and employers. In January 2021, the 

Department announced 95 finalists for the challenge following a competitive panel review 

process. The finalists came from a variety of institutions, including IHEs, local educational 

agencies, community or faith-based organizations, and correctional facilities. The finalists 

participated in and completed the virtual accelerator technical assistance, during which 

they received access to a range of digital resources, such as case studies, activities, and 

three webinars with subject matter experts, to help them develop detailed program proposals. 

In addition to the 95 finalists receiving intensive technical assistance, the 108 Stage 1 

applicants who were not selected to move on to Stage 2 received technical assistance and 

were provided with selected materials and evidence-based resources to access in further 

development of their pre-apprenticeship programs. At the conclusion of the challenge 

in September 2021, one grand prize and four runner-up awards between $100,000 and 

$250,000 were awarded to fund model implementation.

OCTAE’s Literacy Information and Communication System (LINCS) continued to support 

the adult education and literacy field of practitioners by providing and conducting virtual 

trainings during the COVID-19 pandemic aligned to the goal of workforce development 

preparation. These trainings supported teachers in delivering online instruction that builds 

adult learner digital literacy and technology skills, employability skills, and/or English 

language skills. Enrollment in and completion of LINCS’s five self-paced online courses 

directly related to the integration of workforce preparation activities doubled from Quarter 

4 of FY 2020 to Quarter 1 of FY 2021. LINCS continues to make the integration of workforce preparation activities into academic instruction a priority in adult education. LINCS 

also launched Integrated Education and Training (IET) in Corrections Technical Assistance, 

a two-year project with the goal of identifying and developing models for IET programs 

in corrections agencies and documenting and disseminating these models for replication 

across the country to scale opportunities for students who are incarcerated to improve their 

education, obtain employment, reconnect with family, and reengage with their communities. This project targets the 2 million people currently incarcerated in state and federal 

“The Rethink Adult Ed Challenge 

proved the demand for training 

opportunities that are responsive 

to the evolving needs of American 

businesses—and our adult learners.”

U.S. Secretary of Education 

Miguel A. Cardona
136 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

correctional facilities and the 11 million people who cycle in and out of local jail facilities 

every year. This project aims to enhance and accelerate learning opportunities for incarcerated individuals and is particularly important for learners in jails, as they may be released 

prior to completing linear programming (i.e., adult basic education to high school/school 

equivalency to workforce training). The project also seeks to provide career pathways that 

are aligned with programs in the community, improve post-release employment opportunities, and reduce recidivism. The project began with a virtual learning series for interested 

correctional educational stakeholders. In June 2021, six project participant sites (Indiana, 

Maryland, Minnesota, Mississippi, Texas, and West Virginia) were selected and announced. 

The participants represented six jurisdictions and included local jails and state prisons. 

Project participants had four virtual technical assistance sessions, looking at researching 

and assessing IET programs as well as designing and planning an IET program. The project 

will conduct technical assistance activities aligned to the goal of workforce development 

preparation through September 30, 2022.

CTE CyberNet is a national professional development initiative for high school 

cybersecurity teachers funded by Perkins Act national activities funds and administered 

by OCTAE. It addresses the urgent and growing demand for qualified high school cybersecurity teachers that are pivotal to the security of our nation’s critical infrastructure and 

prosperity. Through a local academy model, the initiative provided intensive professional 

development to an initial cohort of 30 high school career and technical education (CTE) 

teachers across three locations. The 2020–2021 CTE CyberNet Academies provided 

teachers with an 80-hour summer intensive session during June 2020 and a technical 

assistance accelerator period from September 2020 to June 2021. The three CTE CyberNet sites were led by Center of Academic Excellence (CAE) Regional Resource Centers 

designated by the National Security Agency (NSA) and the Department of Homeland 

Security to teach postsecondary cybersecurity aligned with NSA, CAE, and National 

Initiative for Cybersecurity Education frameworks. On June 3, 2021, OCTAE recognized 

the completion of the first CTE CyberNet Academy cohort of 30 teachers as Distinguished 

Cybersecurity Educators. 

OCTAE launched the CTE CyberNet Expansion Accelerator in September 2021 to expand 

the models to five sites for providing intensive professional development that were developed collaboratively by the three CTE CyberNet sites. The locally developed programs 

are specifically designed to provide intensive professional development for high school 

CTE teachers during summer 2022 and ongoing support throughout the year. 

Additionally, in FY 2021, OCTAE supported Year 2 of projects under the Perkins 

Innovation and Modernization Program (Perkins I&M), which is intended to identify, 

support, and rigorously evaluate evidence-based and innovative strategies and activities to 

improve and modernize CTE and to ensure workforce skills taught in CTE programs funded 
Performance Assessment—Goal 2 137

Strategic Objective 2.3

under the Carl D. Perkins Career and Technical Education Act of 2006, as amended by 

the Strengthening Career and Technical Education for the 21st Century Act (Perkins V), 

are in alignment with labor market needs. Each of the nine Perkins I&M grant recipients 

successfully completed Year 2 of the three-year project period; funding for Year 3 was 

effective October 1, 2021.
138 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Improve quality of service for customers across the entire 

student aid life cycle.

Strategic Objective 2.4

STRATEGIC OBJECTIVE LEADER: 

Chief Operating Officer, Federal Student Aid

Overview

The Department’s Federal Student Aid (FSA) manages one of the largest loan portfolios in 

the nation and delivers more than $120 billion in financial aid each year to students and their 

families. FSA also has the responsibility for oversight of approximately 5,600 postsecondary 

institutions that receive Title IV aid. Over the past year, FSA has worked diligently to modernize its systems and operations to deliver world-class customer experiences and partner 

engagement. This effort is not only to improve the quality of service for customers but also 

to be the most trusted and reliable source of student financial aid information and services 

in the nation.

FSA led the effort for this strategic objective with support from several offices across the 

Department, including the Office of the Under Secretary and the Office of Postsecondary 

Education.

Performance Analysis

There are eight performance indicators in this strategic objective. Of those, six met their 

targets. These include 2.4.A, which gauges the average speed to answer incoming calls to 

FSA’s call center; 2.4.B, which gauges the average abandon rate for incoming calls to FSA’s 

call centers; 2.4.D, which gauges the number of downloads of the myStudentAid mobile app; 

2.4.E, which gauges the number of customers checking loan balances via the myStudentAid 

mobile app; 2.4.G, which gauges the number of visits (sessions) demonstrating adoption of 

the updated StudentAid.gov site; and 2.4.H, which gauges the number of users of “Aidan®,” 

the StudentAid.gov virtual assistant. Two performance indicators did not meet their targets: 

2.4.C, which gauges composite score of the American Customer Satisfaction Index Aid 

Life Cycle Surveys; and 2.4.F, which gauges the number of customers submitting a Free 

Application for Federal Student Aid® (FAFSA®) via a mobile platform.
Performance Assessment—Goal 2 139

Strategic Objective 2.4

Key Successes and Opportunities

Enhancing Customer Service 

FSA conducts monthly customer listening sessions to gather, analyze, and report on customer 

behavior, issues, and feedback to inform and make improvements. The sessions cover web 

analytics, complaints, social media, and customer experience surveys. As a result, FSA has 

made enhancements to information on its digital platforms, redesigned email templates, and 

identified process improvements. 

Customer service to students and borrowers has also been enhanced by adopting a more 

service-oriented and streamlined approach at contact and loan servicing centers. To provide 

customers with clear information that resolves requests, questions, and issues quickly and 

accurately, FSA consolidated contact center activities to five Business Process Operation 

vendors. This achievement advances FSA’s vision to provide an enterprise-wide contact 

center operating solution, which will provide more robust customer support and improve 

outcomes.

Call Servicers Who Answer Customer Telephone Calls and Inquiries

The average speed to answer incoming calls to FSA’s call centers has been heavily influenced 

by the COVID-19 emergency relief flexibilities that have significantly lowered call volumes 

to call centers. Call volume is expected to increase as millions of borrowers prepare to 

return to repaying their student loans when the payment pause expires. Throughout fiscal 

year 2021, some call centers improved capability, adding features such as interactive voice 

response callback and chat bots to handle inbound calls. 

Digital Enhancements to Improve Customer Service

FSA has continued to enhance customers’ experiences with the myStudentAid mobile app, 

making the platform more user-friendly and adding features to provide more information to 

borrowers. Enhancements included the addition of a personalized dashboard for customers, 

where they can view a summary of their current aid, loan balances, and additional details 

about their loans and complete key tasks on the device of their choosing. The Public Service 

Loan Forgiveness Help Tool redesign, integration of the borrower defense application, 

and addition of the “borrow more” simulation to the student loan simulator tool were also 

completed based on customer feedback and user experience best practices. In May 2021, 

“Aidan®,” the virtual assistant that can answer common questions about federal student aid, 

became available to all StudentAid.gov website visitors and on the myStudentAid mobile 

app. Previously, the tool was only available to logged-in website visitors. FSA will continue 

to improve the user experience by adding new content, developing new capabilities, and 

refining the artificial intelligence model.
140 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

The myStudentAid mobile app now provides greater access for families to complete the 

FAFSA on a mobile device or tablet. This was beneficial during the COVID-19 pandemic 

when the availability of public computers was limited. FSA’s social media team spread 

awareness of the added functionality and provided content that promoted the completion 

of the FAFSA via the mobile app.

In September 2021, FSA launched the Federal Student Aid Estimator on StudentAid.gov. 

This free online tool, which is also available in Spanish, helps students calculate an estimated nonbinding Expected Family Contribution and an estimated eligibility for Federal 

Pell Grants, work-study funds, and federal student loans. The tool also links to the College 

Scorecard to help students find the college or career school that is the best fit.
Performance Assessment—Goal 2 141

Enhance students’ and parents’ ability to repay their federal 

student loans by providing accurate and timely information, 

relevant tools, and manageable repayment options.

Strategic Objective 2.5

STRATEGIC OBJECTIVE LEADER: 

Chief Operating Officer, Federal Student Aid

Overview

In fiscal year (FY) 2021, the Department continued to execute its comprehensive framework for student aid management that allows students to understand and access information 

about college options and associated costs, loan counseling and guidance, loan repayment 

options, and borrower benefits.

Through increased collaboration and collective action, the Department enhanced information and materials that inform students and parents about federal student loan repayment 

options, both before and throughout the student aid life cycle. 

Federal Student Aid (FSA) led the effort for this strategic objective with support from 

several offices across the Department, including the Office of the Under Secretary and the 

Office of Postsecondary Education.

Performance Analysis

There are two performance indicators in this strategic objective, 2.5.A and 2.5.B, which 

gauge the percentage of borrowers who 

are more than 30 days and 90 days delinquent, respectively. Due to the COVID-19 

emergency relief student loan payment 

suspension, these performance indicators 

were not assessed in FY 2021.

Key Successes and 

Opportunities

Mitigating Delinquency

FSA uses data analytics to track customer 

trends and offer proactive support and 

“Helping more students afford 

college is a top priority, and effective 

collaboration among the states and 

federal government is the best way to 

ensure that student loan borrowers 

get the best possible service.”

U.S. Secretary of Education 

Miguel A. Cardona
142 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

interventions to help improve overall student loan repayment. FSA developed an “always-on” 

continuous email campaign to mitigate delinquency when borrowers in forbearance return 

to repayment. The emails will communicate with borrowers when they miss payments and 

will send positive feedback to high-risk borrowers when they make payments as well.
Strengthen the quality, accessibility, and use of education data through 

better management, increased privacy protections, and transparency.

Strategic Goal 3
144 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Goal 3 

Spotlight

GOAL LEADER: 

Chief Data Officer

GOAL 3 STRATEGIC

OBJECTIVES:

3.1 Improve the Department’s data 

governance, data life cycle 

management, and the capacity 

to support education data.

3.2 Improve privacy protections for, 

and transparency of, education 

data both at the Department and 

in the education community.

3.3 Increase access to, and use of, 

education data to make informed 

decisions both at the Department 

and in the education community.

Performance Indicator Overview

In fiscal year (FY) 2021, the Department assessed five performance indicators 

for this Strategic Goal. Of those, all targets were met or exceeded. 

 
Performance Assessment—Goal 3 145

Goal 3 Discretionary Resources

The following figure and table show total budgetary resources and select major discretionary 

programs and activities supporting Goal 3, respectively.

Goal 3 Budgetary Resources

 

Major Discretionary Programs and Activities Supporting Goal 3 (in thousands)1

1

In addition to the resources noted in the table, the Coronavirus Response and Relief Supplemental 

Appropriations Act, 2021 provided the Institute of Education Sciences (IES) with $28 million in 

supplemental discretionary resources to mitigate the additional expenses caused by the COVID-19 

pandemic for administering the National Assessment of Educational Progress, and the American Rescue 

Plan Act of 2021 provided IES with $100 million in supplemental mandatory resources to support research 

related to learning loss due to the COVID-19 pandemic.

POC ACCT Objective Program

FY 2020 

Appropriation

FY 2021 

Appropriation

IES IES 3.3 Research, Development, and 

Dissemination

$195,877 $197,877

IES IES 3.1, 3.2, 3.3 Statistics $110,500 $111,500

IES IES 3.1, 3.2, 3.3 National Assessment $153,000 $165,000

Other N/A N/A All Other Programs $97,245 $99,745

Note:

Discretionary resources listed here include Department programs that may contribute to multiple Strategic Goals.

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FY = Fiscal Year; IES = Institute of Education Sciences; and N/A = 

Not Applicable.
146 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Improve the Department’s data governance, data 

life cycle management, and the capacity to support 

education data.

Strategic Objective 3.1

STRATEGIC OBJECTIVE LEADER: 

Associate Commissioner, Administrative Data Division, National Center for 

Education Statistics’ Institution of Education Sciences

Overview

This strategic objective focuses primarily on opportunities to develop the Department’s 

data management framework and internal capacity regarding collected and acquired data. 

The main goal of improving data management is to define the common standards, operating 

policies, implementation roles, and procedures needed across the Department to improve 

the integrity and quality of the data used by the Department and released to the public.

Although this strategic objective is supported by all principal offices across the Department, 

two offices steer the efforts: the National Center for Education Statistics (NCES) within the 

Institute of Education Sciences and the Office of the Chief Data Officer (OCDO) within the 

Office of Planning, Evaluation, and Policy Development.

Performance Analysis

There is only one performance indicator in this strategic objective, 3.1.A, which gauges 

the percentage of principal offices assessed as having higher data maturity year over year 

based on the Department’s data maturity assessment tool. It was baselined in fiscal year 

(FY) 2020, and it met its FY 2021 performance target. The FY 2021 Data Maturity score 

was the first point at which improvement over baseline could be measured. The year-overyear improvement target was pursued by way of principal operating component action plans 

developed in coordination with OCDO, supporting the implementation of the Department’s 

Data Strategy Goal 1 to strengthen agency-wide data governance.

Key Successes and Opportunities

Enhancing Data Governance

In December 2020, the Department completed and published its inaugural Data Strategy, 

which provides a roadmap for the agency to improve education outcomes and lead the 
Performance Assessment—Goal 3 147

nation through evidence-based policy and data-driven decisions. The Data Strategy also 

recognizes that the Department can, should, and will do more to improve student outcomes 

through more strategic use of data. The Department’s Data Governance Board (DGB) guided 

the development of four interdependent goals within the Data Strategy: (1) strengthening 

agency-wide data governance; (2) building human capacity to leverage data; (3) advancing 

the strategic use of data; (4) and improving data access, transparency, and privacy. The 

goals are supported by 19 cross-cutting objectives that require collaborative effort across 

the Department.

In support of Goal 1 in the Data Strategy (strengthen agency-wide data governance), OCDO 

and DGB worked to implement the new data governance policies that evolve and align 

structures, policies, and procedures. The work included the creation of the Data Coordinator 

Council, which is tasked with developing common solutions to data management problems 

and facilitating execution of the Data Strategy, support for data maturity improvements, 

and tactical challenges assigned by DGB. 

OCDO used results from the data maturity assessment conducted in FY 2020 to formalize 

data management functions and advance the maturity of the functions through implementation activities. This resulted in a new data governance policy on offices’ data management 

functions tailored for office and enterprise functions. In FY 2021, the second annual data 

maturity assessment was conducted, with 93 percent of offices demonstrating improved 

data maturity, with the most improvement in the areas of data management strategy, data 

management function, and business cases.

DGB approved a data governance policy that formalized the data management life cycle and 

developed a holistic agency-wide framework with established data governance structures, 

functions, roles, policies, and procedures. DGB collaborated with the Department’s Office 

of Human Resources to circulate the first version of the Department’s data workforce plan 

and data competency framework and developed position descriptions for data coordinators. 

These efforts have advanced the Data Strategy’s Goal 2 (build human capacity to leverage 

data) and helped make progress in developing the data workforce plan.

To further demonstrate that improving data quality is a priority for the Department, OCDO 

continued working with principal offices to review systems and identify needs important 

to analysis of program data. OCDO worked with agency data experts to form working 

groups to develop a common data standards glossary and a data quality playbook outlining 

authorities, tools, and resources for grant program managers. OCDO also began to develop 

a framework for reviewing existing Government Performance Reporting Modernization 

Act indicators, create a data quality checklist, identify indicators that may be used across 

programs, and revise the information collection request process to include data quality 

planning as a key component as identified in the Data Strategy’s Goal 3 and Goal 4.

Strategic Objective 3.1
148 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Enhancing Data Collection

In an effort to provide clear and transparent reporting on the implementation of the 

Coronavirus Aid, Relief, and Economic Security (CARES) Act and the Coronavirus Response 

and Relief Supplemental Appropriations Act, 2021, the Education Stabilization Fund (ESF) 

Transparency Portal was launched. The portal allows the Department to track performance, 

hold grantees accountable, and provide transparency to taxpayers and oversight bodies. The 

portal builds on work from NCES to meet data reporting requirements for the primary ESF 

programs, including the Higher Education Emergency Relief Fund (HEERF), Elementary 

and Secondary School Emergency Relief (ESSER) funds, Governor’s Emergency Education 

Relief (GEER) funds, and equivalent Outlying Area funds.

OCDO completed its first collection of annual performance reports (APRs) from organizations that received CARES Act grants, using capabilities within the ESF Transparency 

Portal toenable grantees to submit APRs on funding authorized through HEERF, ESSER 

funds, and GEER funds. Working in partnership with the Office of Postsecondary Education and the Office of Elementary and Secondary Education, OCDO was able to achieve a 

99.7 percent response rate from almost 4,900 HEERF grantees and a 100 percent response 

rate from ESSER and GEER fund grantees, ensuring comprehensive data on the use of 

funds to support student learning during the pandemic. In summer 2021, the 2020 APRs 

for HEERF, GEER funds, ESSER funds, and equivalent Outlying Area funds grantees were 

made publicly accessible on the portal.
Performance Assessment—Goal 3 149

Improve privacy protections for, and transparency 

of, education data both at the Department and in 

the education community.

Strategic Objective 3.2

STRATEGIC OBJECTIVE LEADER: 

Chief Information Officer

Overview

The Department is committed to protecting student privacy. Although education data 

can be used to inform and drive transformative efforts, the vast amount and sensitivity 

of these data make it imperative that the Department and the educational institutions that 

maintain student data take steps to adequately protect the data. Through this strategic 

objective, the Department focused on improving student privacy protections through 

the administration of the Family Educational Rights and Privacy Act; developing and 

disseminating privacy and security training; making technical assistance available to 

states, districts, and institutions of higher education (IHEs); and improving student 

privacy and cybersecurity at IHEs.

All Department offices have a role in supporting this strategic objective. Primary stakeholder offices include the Office of the Chief Information Officer; the Office of Planning, 

Evaluation, and Policy Development, specifically the Student Privacy Policy Office (SPPO) 

and the Office of the Chief Data Officer; Federal Student Aid (FSA); the Institute of 

Education Sciences; and the Office of the General Counsel.

Performance Analysis

All of three performance indicators in this strategic objective met their targets. These 

include performance indicator 3.2.A, which gauges the number of IHEs that have an audit 

of Gramm-Leach-Bliley Act (GLBA)-related information security safeguards that result 

in no significant findings; performance indicator 3.2.B, which gauges the number of outreach activities targeting data privacy and information technology security requirements of 

IHEs, and performance indicator 3.2.C, which gauges the percentage of local educational 

agency (LEA) websites from a statistically representative sample reviewed for inclusion of 

transparency best practices.
150 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Key Successes and Opportunities

Student Privacy and Information Disclosures at K–12 Schools

SPPO continued progress on its goal to review 1,504 LEA websites to assess their inclusion 

of transparency best practices by the end of fiscal year (FY) 2022. By the end of FY 2021, 

85 percent of reviews had been completed, which reflects a cumulative total of 1,278. 

The goal represents approximately 10 percent of operational LEA websites in the country. 

Throughout the reviews and during the development of year-end annual reports, SPPO 

identifies trends to facilitate the delivery of targeted technical assistance. In completing 

the review of the statistically representative sample, SPPO will use the results to generate 

an overall summary report and consider the need for additional guidance or best practices 

in terms of transparency. Annual and overall summary reports are available on the 

SPPO website. 

Cybersecurity Issues at Institutions of Higher Education

The Department continues to collaborate with IHEs to prevent unauthorized access of 

sensitive student information. In FY 2021, FSA engaged with nearly 1,000 schools to share 

information, collaborate, and improve the security of student financial and privacy data. 

This engagement has led to improvements in outcomes, reduction of risks, and impacted 

cybersecurity and student data privacy. FSA also held its annual training conference in 

December 2020, during which more than 4,500 individuals participated in two sessions 

on cybersecurity and National Institute of Standards and Technology Special Publication 

800-171, Protecting Controlled Unclassified Information in Nonfederal Systems and 

Organizations.

FSA’s postsecondary cybersecurity team, which can disable an institution’s access to 

Department systems if there is a substantial risk to the security of student information, 

conducted more than 70 outreach activities in response to breach incidents and to improve 

compliance with cybersecurity safeguards. FSA also conducted an outreach initiative 

to more than 500 IHEs in response to Microsoft Exchange Vulnerability to ensure that 

IHEs were aware of the vulnerability and took appropriate actions to remediate or prevent 

potential exposure. FSA initialized the GLBA cybersecurity workstream and performed an 

outreach initiative to address IHE GLBA noncompliance. As part of this effort, FSA sent 

initial contact letters to IHEs with GLBA findings informing them of the need to establish 

a corrective action plan to address the findings. 

Further activities to protect student data include SPPO’s Privacy Technical Assistance 

Center, providing several outreach activities targeting IHEs. In February 2021, technical 

assistance was presented at the Southern Association of Student Financial Aid Administrators 

(SASFAA) Conference. The virtual presentation provided in-depth Family Educational 

Rights and Privacy Act and data security training to more than 800 members of SASFAA. 
Performance Assessment—Goal 3 151

In March 2021, FSA posted an electronic announcement, Technology Security Alert–

Threat Actors Exploiting On-Premises Microsoft Exchange Vulnerabilities (EA ID: 

GENERAL-21-16). Also in March 2021, FSA held a meeting with EDUCAUSE to discuss 

the December 2020 electronic announcement, Protecting Student Information–Compliance 

with CUI and GLBA and to renew discussions about cybersecurity collaboration. 

Additionally, presentations were made to the Alabama Association of Student Financial 

Aid Administrators, the Virginia Association of Student Financial Aid Administrators, and 

the Future Privacy Forum Privacy Panel. FSA also shared information on privacy concepts 

and trends impacting colleges and universities.

Strategic Objective 3.2
152 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Increase access to, and use of, education data to 

make informed decisions both at the Department 

and in the education community.

Strategic Objective 3.3

STRATEGIC OBJECTIVE LEADER: 

Deputy Chief Data Officer for Governance and Strategy, Office of the Chief 

Data Officer

Overview

For education data to inform decisions, the Department must continue to develop and implement methods to analyze, interpret, and disseminate education data and support education 

stakeholders in doing the same. This strategic objective focuses on increasing access to 

education data at all levels and improving the tools necessary to support the appropriate use 

of education data for decision-making by the Department and its stakeholders.

Several principal offices across the Department supported this strategic objective, including 

the Institute of Education Sciences (IES); the Office of Planning, Evaluation, and Policy 

Development (OPEPD); OPEPD’s Office of the Chief Data Officer and Office of Educational Technology; IES’ National Center for Education Statistics (NCES); the Office for 

Civil Rights; and the Office of Special Education and Rehabilitative Services.

Performance Analysis

The only performance indicator for this strategic objective, 3.3.A, which gauges the number 

of data assets listed in a comprehensive data inventory that are made available to the 

Federal Data Catalogue with official determinations regarding “open-by-default” 

requirements, met its annual target.

Key Successes and Opportunities

Data at the Department

The Open Data Platform continues to grow and operationalize the Department’s comprehensive data inventory while progressing on open data requirements of the Open, Public, 

Electronic, and Necessary Government Data Act and the Department’s Data Strategy 

Goal 4 to improve data access, transparency, and privacy. The platform provides the 

Department’s public data in an accessible and user-friendly manner and also defines what 
Performance Assessment—Goal 3 153

Strategic Objective 3.3

data are maintained but are not publicly available. Several improvements were made to 

the Open Data Platform to simplify maintaining the data inventory. Data files uploaded 

to the system are now automatically translated into an open format, if needed, promoting 

compliance with provisions of the OPEN Government Data Act without adding burden to 

data stewards. The abilities to copy data profiles, organize data profiles hierarchically, and 

designate other relationships between data profiles were implemented, both reducing the 

burden on data stewards to create new inventory entries and enabling a richer description 

of the underlying data. By the end of fiscal year (FY) 2021, the Open Data Platform, with 

619 public datasets, continued to grow and operationalize the Department’s comprehensive 

data inventory, incorporating hundreds of data profiles and thousands of individual datasets 

into the Federal Data Catalogue.

Data in the Education Community

In December 2020, NCES published Trends in International Mathematics and Science 

Study (TIMSS) 2019 U.S. Results. TIMSS is administered every four years and is used to 

compare the mathematics and science knowledge and skills of fourth and eighth graders 

over time. The focus of the report is on the mathematics and science achievement of U.S. 

students relative to their peers in other education systems in 2019. As 2019 TIMSS results 

show, the United States had higher average scores than most participating countries in both 

mathematics and science in both grades 4 and 8. However, in 2019, the United States had 

relatively large score gaps between the top- and bottom-performing students in both TIMSS 

subjects and grades. Moreover, except in grade 4 science, the U.S. score gaps increased 

from most prior administrations of TIMSS, related, in part, to drops in the 2019 performance 

of the bottom performers from the prior two administrations.

In May 2021, NCES published results from the National Assessment of Educational 

Progress (NAEP) grades 4, 8, and 12 science assessments administered in 2019. These 

assessments are administered every four to six years. The average science score for fourth 

graders in the nation declined from 2015 to 2019, whereas scores for eighth graders and 

12th graders did not change. As seen on other large-scale assessments in recent years, 

the score trends diverged between lower-performing and higher-performing fourth and 

eighth graders: scores declined for lower-achieving students and held steady for their 

higher-achieving peers.

NCES developed a new survey collection of data on schools’ approaches to learning during 

the pandemic, as directed by Executive Order 14000, Supporting the Reopening and Continuing Operation of Schools and Early Childhood Education Providers, and to help safely 

reopen America’s schools and promote educational equity. From January through May 

2021, IES surveyed approximately 3,500 schools with grades 4 and 8 about school operations and provided data on the NCES NAEP 2021 Monthly School Survey Dashboard. The 
154 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

data included information on the mode of instructional delivery, enrollment, and attendance 

rates and will be used to add contextual factors to the FY 2022 NAEP data.

Several improvements were made to the process for releasing and making available 

components of the Common Core of Data, the Department’s primary database for public 

elementary and secondary education. Final files for school year (SY) 2019–2020 were 

posted on the NCES website, and the information was loaded into NCES online data tools. 

SY 2019–2020 data were posted earlier in FY 2021 than SY 2018–2019 data in FY 2020. 

Preliminary files documenting the directory of schools and districts for SY 2020–2021 and 

information on student enrollment at the state level also were posted. Information was also 

added to the data files page, including anticipated release dates to improve transparency for 

external users.

The College Scorecard team improved the functionality of the tool to allow users to find, 

compare, and contrast different fields of study more easily; access expanded data on the 

typical earnings of graduates two years post-graduation; view median parent PLUS loan 

debt at specific institutions; and learn about the typical amount of federal debt taken on by 

students who transfer. OCDO facilitated reconsideration of Internal Revenue Service risk 

assumptions to enhance data coverage and utility while still protecting privacy. The FY 2021 

College Scorecard enhancement further discloses for prospective students how well borrowers from specific institutions are meeting their federal student loan repayment obligations 

and how borrower cohorts are faring at certain intervals in the repayment process.

The Evidence Act requires federal agencies to engage the public in using public data assets of 

the agency and encourage collaboration. In March 2021, OCDO represented the Department 

as the only federal agency to participate in International Open Data Day and joined the 

international community in a conversation on open data through a public live chat on the 

use of education data and efforts to improve the transparency, accessibility, and privacy of 

public data.
Reform the effectiveness, efficiency, and accountability of the Department.

Strategic Goal 4
156 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Goal 4 

Spotlight

GOAL LEADER: 

Assistant Secretary, Office of 

Finance and Operations

GOAL 4 OBJECTIVES: 

4.1 Improve regulatory processes.

4.2 Identify, assess, monitor, 

and manage enterprise risks.

4.3 Strengthen the Department’s 

cybersecurity by enhancing 

protections for its information 

technology infrastructure, 

systems, and data.

4.4 Improve the engagement and 

preparation of the Department’s 

workforce using professional 

development and accountability 

measures.

Performance Indicator Overview

In fiscal year (FY) 2021, the Department assessed three performance 

indicators for this Strategic Goal. Of those, two targets were met or exceeded, 

and one did not have an established target and was baselined in FY 2021. 
Performance Assessment—Goal 4 157

Goal 4 Discretionary Resources

The following figure and table show total budgetary resources and select major discretionary 

programs and activities supporting Goal 4, respectively.

 

Goal 4 Budgetary Resources

 

Major Discretionary Programs and Activities Supporting Goal 4 (in thousands)

POC ACCT Objective Program

FY 2020 

Appropriation

FY 2021 

Appropriation

All DM/PA N/A Program Administration: Salaries and 

Expenses

$430,000 $430,000

OCR OCR N/A Office for Civil Rights $130,000 $131,000

Other N/A N/A All Other Programs $63,000 $63,000

Note:

Discretionary resources listed here include Department programs that may contribute to multiple Strategic Goals.

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FY = Fiscal Year; DM = Departmental Management; PA = Program 

Administration; N/A = Not Applicable; and OCR = Office for Civil Rights.
158 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Improve regulatory processes.

Strategic Objective 4.1

STRATEGIC OBJECTIVE LEADERS: 

Senior Counselor to the Secretary and the Deputy General Counsel for Ethics, 

Legislative Counsel, and Regulatory Services

Overview

On January 20, 2021, President Biden issued Executive Order (EO) 13992, Revocation of 

Certain Executive Orders Concerning Federal Regulation, which calls for agencies to confront urgent challenges facing the nation, including the COVID-19 pandemic, economic 

recovery, and racial justice, through robust regulatory tools and action. In response, the 

Office of the General Counsel worked with offices in the Department to determine how best 

to effectuate these priorities. The EO also revoked several prior EOs, including EOs 13771 

and 13777, which served as the basis for this strategic objective. 

All Department offices supported this strategic objective.

Performance Analysis

With the revocation of several prior EOs, including EOs 13771 and 13777, the previously 

associated performance indicators of this strategic objective became obsolete. Additionally, 

the Department’s Regulatory Reform Task Force, which was established pursuant to 

EO 13777, was also disbanded. 

In support of EO 13992, through final regulations published in September 2021, the 

Department rescinded its interim final rule on Rulemaking and Guidance Procedures, which 

was enacted, in part, to implement now-revoked EO 13891.
Performance Assessment—Goal 4 159

Identify, assess, monitor, and manage enterprise risks.

Strategic Objective 4.2

STRATEGIC OBJECTIVE LEADER: 

Principal Deputy Assistant Secretary, Office of Finance and Operation

Overview

The Department further continues to develop its Enterprise Risk Management (ERM) 

Program to strategically align risk management efforts with the agency’s overall mission, 

objectives, and priorities. The Department’s approach to ERM is to focus on the complete 

spectrum of the organization’s significant risks and the combined impact of those risks as 

an interrelated portfolio rather than simply addressing risks within silos. This coordinated 

approach leverages data and analytical solutions to identify, measure, and assess challenges 

related to mission delivery and resource management. Through ERM, the Department seeks 

to embed a systematic and deliberate view of risk into its management practices, ultimately 

yielding more effective performance and operational outcomes.

Due to the inherent cross-cutting nature of ERM, all Department offices supported this 

strategic objective.

Performance Analysis

The only performance indicator for this strategic objective, 4.2.A, which gauges improvement in the maturity level of ERM, was baselined in fiscal year (FY) 2021.

Key Successes and Opportunities

Enterprise Risk Management

The Office of Enterprise Data Analytics and Risk Management (OEDARM) within the 

Office of Finance and Operations (OFO) and the ERM Working Group completed the 

development of quantitative metrics for all five functional areas of the Federal ERM 

Maturity Model as part of the Office of Management and Budget’s (OMB’s) pilot. OEDARM 

also furthered alignment of internal controls and ERM programs through partnership 

with the Financial Data Integrity and Controls Division to address persistent or evolving 
160 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

programmatic, financial, and operational risks/challenges through coordinated, standardized 

risk assessment processes.

The Department made progress toward the five areas of risk that continue to pose the 

most significant challenges for the Department, as identified in the FY 2021 Management 

Challenges Facing the U.S. Department of Education report. This report, issued in 

November 2020 by the Department’s Office of Inspector General (OIG), identified the same 

four areas of risk as the FY 2020 Management Challenges Facing the U.S. Department of 

Education report by OIG with the addition of implementing the Coronavirus Aid, Relief, 

and Economic Security (CARES) Act. The five areas of risk identified were: 

• CARES Act.

• Oversight and monitoring.

• Data quality and reporting. 

• Improper payments.

• Information technology (IT) security.

The following information identifies some of the Department’s notable accomplishments 

in these five areas.

Management Challenge 1—CARES Act

When the CARES Act was passed in March 2020, the Department took comprehensive 

steps to ensure appropriate interpretation of the legislation’s requirements and subsequent 

policy and operational implications.

OFO implemented preventive funds controls at the onset by establishing the necessary 

account structures and funds control indicators to maintain segregation from other grant 

funding to ensure ease of tracking and reporting the status of CARES Act funds in real 

time from the General Ledger. 

Despite the extraordinary number and size of CARES Act awards and expedited grantmaking timeline, which was undertaken on top of the ongoing administration of the 

Department’s $70 billion annual portfolio of existing programs, Department staff 

collaborated successfully to provide effective and timely support to eligible participants, 

grantees, and stakeholders. This support included written guidance, blog posts, webinars 

with stakeholders, direct technical assistance to new grantees, post-award calls, “office 

hours” on reporting requirements, and a dedicated shared mailbox to handle inquiries. 

Recognizing the compliance risks associated with a new grant program and thousands of 

grantees, many of whom were new to federal grants, the Department adopted a primarily 

risk- based approach in administering the program and working with recipients. 
Performance Assessment—Goal 4 161

Strategic Objective 4.2

At the program level, the Department designated that Higher Education Emergency Relief 

Fund (HEERF) and other emergency grant programs as higher risk for Single Audit 

purposes to ensure that emergency funds are prioritized by independent auditors in 

annual Single Audits that institutions submit to the federal government. Additionally, 

the Department worked with staff in the Inspector General’s Non-Federal Audit team to 

introduce new audit requirements to proprietary colleges not subject to Single Audits. 

At the grantee level, the Department has prioritized grantees that are riskier than others, 

including new grantees that might not be familiar with the process and pose a higher level 

of compliance issues. This involves working across the Department to monitor annual 

reporting compliance, closing and closed schools, college mergers, and whether an institution 

is on Heightened Cash Monitoring status from Federal Student Aid (FSA).

In response to the COVID-19 pandemic and unprecedented levels of funding for states 

and districts and to ensure transparency and accountability for the taxpayer investment, 

the Department launched an Education Stabilization Fund (ESF) Public Transparency 

Portal in November 2020 for key data collections associated with HEERF, the Governor’s 

Emergency Education Relief (GEER) funds, Elementary and Secondary School Emergency 

Relief (ESSER) funds, and equivalent Outlying Area funds. 

Lessons learned from the initial ESF grantee data collection significantly informed the 

processes for the Year 2 annual collection, including ensuring that requirements and 

definitions are clear, articulating that reported data are unique and that the timeline enables 

the collection, and stating potential sanctions for noncompliance. Through these collections, 

the Department will be better able to track equity with the new reporting instrument and 

granularity in the use of FY 2021 funds by ESSER and GEER fund grantees and calendar 

year 2021 HEERF grantees. This collection will give visibility into the equitable recovery 

of schools and students and grantees’ capacity to promote learning recovery.

Management Challenge 2—Oversight and Monitoring

The Department must provide effective oversight and monitoring of participants in the 

student financial assistance programs under the Higher Education Act of 1965 (HEA) 

to ensure that the programs are not subject to fraud, waste, abuse, and mismanagement. 

Such monitoring and oversight are also essential for ensuring that grantees meet grant 

requirements and achieve program goals and objectives.

Student Financial Assistance Programs

FSA is working toward strengthening consumer protections and implementing a robust quality assurance framework that ensures that FSA, its contractors, and institutions of higher 

education (IHEs) are successfully administering financial assistance programs under HEA 

(e.g., Pell Grants, Public Service Loan Forgiveness (PSLF), and Borrower Defense). 
162 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

In September 2021, FSA implemented an improved model for verification selection and 

evaluation of data elements from the Free Application for Federal Student Aid® (FAFSA®) 

application that allows the Department to better identify applicants for whom errors will 

result in a change in their federal aid award, potentially reducing improper payments. 

The Fostering Undergraduate Talent by Unlocking Resources for Education (FUTURE) 

Act will help ensure the accuracy of income information used for determining Pell Grant 

eligibility. One of the primary causes of improper payments in the Pell Grant Program 

is failure to accurately verify financial data. The FUTURE Act provides an exception 

for the Department from restrictions of Section 6103 of the Internal Revenue Code to 

allow the Department to receive income tax data more easily from the Internal Revenue 

Service, thereby simplifying and improving the accuracy of FAFSA filing by 

prepopulating certain fields. 

In FY 2021, FSA renewed relationships with federal and state partners (e.g., the Consumer 

Financial Protection Bureau and State Attorneys General) and conducted joint examinations of FSA’s loan servicers and private collection agencies. FSA issued new guidance that 

ensures that states can resume their integral role in overseeing higher education. 

FSA also fulfilled its Title IV oversight responsibilities by resolving more than 1,700 deficient 

audits and flagged financial statements and processing more than 5,000 Title IV 

eligibility-related actions, including recertification applications. Additionally, FSA issued 

more than 320 Program Review Reports and Final Program Review Determinations to 

institutions and third-party servicers subject to a program review.

In FY 2021, FSA conducted more than 10 vendor examinations and program reviews. 

These exams and reviews ensure that loans are being successfully transferred between loans 

servicers, that PSLF applicants are getting the accurate amount of credit toward forgiveness, and that borrowers approved for borrower defense are getting their loans discharged. 

FSA is also strengthening the performance standards and accountability provisions in its 

contracts with FSA loan servicers to ensure that borrowers get timely and accurate advice. 

Grantees

In response to the COVID-19 pandemic, the Department prioritized grant oversight and 

monitoring to support implementation of relief funds as well as all programs. Key areas of 

progress included:

• Assessing the standard grant-making process to improve operational efficiency 

and increase program effectiveness through cross-office coordination and information sharing.

• Implementing targeted training to Department staff and the grantee community to 

improve program implementation, grantee reporting, and grant closeouts.
Performance Assessment—Goal 4 163

Strategic Objective 4.2

• Increasing and innovating virtual monitoring and approaches for providing oversight as well as assistance to grantees.

The Department recently revised its handbook for the discretionary grant process—an 

administrative communications system directive—to provide a more robust, comprehensive 

guide for administering grants in a standardized manner across program offices. 

The Department has continued to enhance its Entity Risk Review (ERR) capabilities to 

conduct risk assessments for grant applicants recommended for initial or continuation 

funding, in accordance with 2 CFR 200.205. The ERR application supports Department 

staff in assessing applicant and/or grantee risks by providing administrative, financial, and 

internal controls information by linking disparate datasets and applying business logic to 

the data. The data are used to inform the Department’s grant administration, oversight, 

and monitoring through the use of a standardized set of risk indicators; facilitate program 

offices’ efforts to analyze grantee risk prior to making awards and during the life of a 

grant project; make Single Audit findings and other information about organizations’ fiscal 

health available and accessible to program staff; and facilitate data sharing across grant 

programs and among Department offices. 

Challenge 3—Data Quality and Reporting

The Department, its grantees, and subrecipients must have effective controls to ensure that 

reported data are accurate, reliable, and accessible to improve the use of those data at the 

Department and in the education community.

In response to additional authorities granted to manage education data as a strategic asset, 

the Department is developing a coherent and coordinated approach to data governance, data 

management, and data quality to ensure that education data provide high value for internal 

decision-makers and external stakeholders. To specifically improve the quality and accuracy 

of data collected from grantees, the Department has taken comprehensive steps to promote 

cohesive data governance initiatives, build staff capacity around data, and improve data 

management practices and systems.

Throughout FY 2021, the Department made significant progress toward developing a comprehensive data workforce plan. Through this effort, the Department seeks to better align its 

workforce with its data needs by ascertaining appropriate staffing levels, identifying training needs, and making succession planning a top priority. 

The Department is developing a Data Quality Playbook that outlines authorities, tools, and 

resources for grant program managers. The playbook will provide guidance for strengthening the Department’s data quality standards to reduce data quality issues, improve data 

interoperability, build common language for discussing data quality with internal and external stakeholders, and provide recommendations for handling common irregularities. 
164 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Beginning in February 2021, the Department allocated additional resources to identify 

challenges that CARES Act grantees experienced in accurately reporting its executive 

compensation and subaward reporting through the Federal Funding Accountability and 

Transparency Act Subaward Reporting System, a data collection managed by the General 

Services Administration. Department staff provided technical assistance to CARES Act 

grantees and compiled challenges to accurate and timely reporting. Additionally, technical 

assistance workshops were conducted for CARES Act grantees, and online tutorials were 

produced for Department grantees responsible for reporting under the Federal Funding 

Accountability and Transparency Act. 

Management Challenge 4—Improper Payments

The Department provides billions of dollars to support students and must work with states 

and schools to ensure that funds reach the intended recipients in the right amounts.

Most of the assistance the federal government provides to students is through its student 

loan programs and the Federal Pell Grant Program. The Federal Pell Grant and William D. 

Ford Federal Direct Loan (Direct Loan) programs continue to be susceptible to significant 

improper payments and remain high-priority programs. The underlying root causes of 

improper payments in the Pell Grant and Direct Loan programs include the failure to 

verify financial data, administrative or process errors made by other parties, and insufficient 

documentation. 

FSA implemented a daily prepayment interface with the Department of the Treasury’s Do 

Not Pay web service that matches intended recipients with multiple data sources to identify 

potential improper payments.

FSA has continued to refine the statistically valid methodology it implemented in FY 2019 

to estimate improper payments, including random sampling from a population of more than 

5,700 schools. For randomly sampled schools, FSA used improper payment data identified 

in independent compliance audits conducted under the Single Audit Act of 1984, as amended. 

FSA worked with OMB to gain increased support for using compliance audit data for 

improper payment estimation by adding requirements for compliance auditors to provide 

FSA with population and sample information necessary to estimate improper payments. 

FSA continues to collaborate with OMB and the independent audit community through the 

American Institute of Certified Public Accountants to recommend and advocate for changes 

to the OMB Compliance Supplement (2 CFR Part 200, Appendix XI) to strengthen the 

quality of data used in the improper payment estimates. FSA also collaborated with OMB to 

revise and clarify the requirements in OMB Circular A-123 Appendix C for statistically valid 

improper payment estimation methodologies. Additionally, FSA clarified the procedures it 

performs to ensure the accuracy and completeness of supplemental questioned cost data 

received from independent auditors and implemented enhanced quality control procedures 
Performance Assessment—Goal 4 165

Strategic Objective 4.2

over its improper payment estimation process to increase validation of compliance audit 

data and calculations and ensure that only sustained questioned costs, rather than questioned 

costs, identified in compliance audits are used in improper payment estimates. 

In FY 2021, OIG completed an audit of the Department’s compliance with improper 

payment reporting requirements for FY 2020. It found that the Department did not comply 

with the Payment Integrity and Information Act of 2019 for the FY 2020 reporting period 

due to reported improper payment rates exceeding the 10 percent threshold for the Emergency Impact Aid for Displaced Students Program and Immediate Aid to Restart School 

Operations Program. The audit also found that the Department’s improper payment risk 

assessments need strengthening and that its sampling and estimation plans and estimate for 

the Emergency Impact Aid, Immediate Aid to Restart School Operations, and Emergency 

Assistance to IHE programs were not reliable. In FY 2021, the Department addressed issues 

by implementing documented procedures to increase and strengthen quality assurance and 

contractor oversight controls and to conduct more frequent technical assistance meetings 

with entities who receive and distribute funds under disaster relief programs. 

Management Challenge 5—IT Security

Department systems contain data that must remain accessible to the Department’s partners 

while protected from threats. The Department has made significant progress in addressing 

the ongoing challenge of IT security and findings relating to previous Federal Information 

Security Modernization Act of 2014 (FISMA) audits. The Department focused its efforts in 

bolstering its risk reporting and continuous monitoring reporting capabilities, identity and 

access management, and configuration management capabilities. Additionally, the Department focused on establishing new program capabilities, including a formal Information and 

Communications Technology Supply Chain Risk Management program, Assessment Evaluation and Standardization High Value Asset assessment methodologies, and the strategic 

implementation of a Zero Trust Architecture in accordance with Executive Order 14028, 

Improving the Nation’s Cybersecurity. The Inspector General’s FISMA report for FY 2020 

indicated Department improvements in every subcategory of the maturity framework.

In FY 2021, the Department established an improved methodology for quarterly cybersecurity performance improvement metric scoring and dashboarding capabilities leveraging 

the Federal Information Technology Acquisition Reform Act’s cyber scoring methodology 

(i.e., Department’s FISMA Risk Management Assessment/Inspector General’s FISMA 

maturity score). This methodology provides a more accurate, thorough, and timely approach 

for measuring the Department’s progress in strengthening cybersecurity capabilities by 

enhancing protections for its IT, infrastructure, systems, people, and data.

In FY 2021, the Department established a Zero Trust strategic implementation plan 

addressing current issues with access, including unauthorized and siloed single point 
166 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

solutions for data protection. This plan establishes an architectural plan, solution design, 

and accompanying process and implements a secure framework to address access, 

verification, and integration issues across all information systems hosted at multiple 

independent data centers and within numerous cloud service providers.

To mitigate impacts of the COVID-19 pandemic on remote stakeholders, the Department 

identified, analyzed, and recommended a cloud-based solution to provide rapid expansion 

of the Department’s virtual private network capacity to support extensive teleworking 

capabilities. 

Notable progress has been documented in the development of an enterprise Identity, 

Credential, and Access Management solution in FY 2021. This solution is expected to 

provide the ability to manage enterprise identity, user accounts, and user roles centrally and 

securely within and across Department systems and applications. This effort will continue in 

FY 2022 with additional systems. 

The Department also provided targeted outreach to proactively address threats to teleworking 

employees (e.g., warning them of increased phishing attempts and other cyber criminal 

scams that target largely at-home workers). In recognition for its innovation, dedication, and 

impact in moving the Department’s cybersecurity training program forward, the program 

was awarded the FY 2021 Federal Information Systems Security Educator’s Association 

Cybersecurity Awareness and Training Innovator Award.
Performance Assessment—Goal 4 167

Strengthen the Department’s cybersecurity by enhancing 

protections for its information technology infrastructure, 

systems, and data.

Strategic Objective 4.3

STRATEGIC OBJECTIVE LEADER: 

Chief Information Officer

Overview

Improving cybersecurity is a key contributor to ensuring that the Department’s systems and 

data are protected, which provide a strong foundation for the Department’s information 

technology (IT) infrastructure. As such, the Office of the Chief Information Officer (OCIO) 

provided proactive cybersecurity services, monitored and enhanced threat intelligence 

capabilities, explored shared services and cloud capabilities, and improved the Department’s 

cybersecurity workforce.

All Department offices supported this strategic objective given the focus on cybersecurity.

Performance Analysis

The only performance indicator for this strategic objective, 4.3.A, which gauges the 

percentage of the Department’s IT security functions that improved at least one maturity 

level, met its annual target.

Key Successes and Opportunities

Strengthening Security Controls

Furthering progress to identify and reduce potential risks associated with third-party vendor 

relationships, OCIO established an interagency agreement with the Department of Energy 

to use its enterprise Supply Chain Risk Management (SCRM) Program. Through this shared 

service, the Department began to receive High Value Assets and vendor/supplier impact 

assessments, rapid assessments, risk treatment/recommendations/residual risk reports, and 

due diligence/deep-dive assessments. 

Additionally, the Department of Homeland Security (DHS) provided proactive testing and 

assessment services in support of High Value Asset systems. DHS’ assessment evaluation 

and standardization also qualifies candidates to independently conduct assessments that 
168 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

follow the High Value Asset Program’s standards and methodologies. The Department’s 

Risk Assessment team participated in the beta course (ahead of public release), which 

featured instruction modules and a final presentation capstone and exam that will allow the 

Department to perform self-assessments on non-tier 1 High Value Asset systems.

Cybersecurity Risk Management Enhancements

OCIO continued to mature the Department’s risk management processes by enhancing 

the Cybersecurity Risk Scorecard, including implementation of an Authorizing Official 

Dashboard, which provides near real-time aggregated risk information within the daily 

Cybersecurity Framework Risk Scorecard report releases and enhanced training materials, including updates to the existing standard operating procedure and a newly developed 

comprehensive job aid. 

In September 2020, DHS issued Binding Operational Directive 20-01, which required 

agencies to develop and publish a vulnerability disclosure policy to facilitate awareness 

of otherwise unknown vulnerabilities and commit to research and respond to vulnerability 

reports. In March 2021, OCIO published the Department’s Vulnerability Disclosure Policy 

(VDP), which enables the Department to identify and remediate vulnerabilities before they 

can be exploited by an adversary. In June 2021, VDP was updated to cover all internetaccessible systems or services. Through this update, the Department satisfied the directive’s 

requirements 15 months ahead of the September 2, 2022, deadline. 

OCIO established a roadmap for migrating the Department’s policies and security control 

implementation from National Institute of Standards and Technology’s SP 800-53, Security 

and Privacy Controls for Information Systems and Organizations revision 4 to revision 5. 

This roadmap will allow the Department to better understand, plan, and prepare as it updates 

key security controls in accordance with revision 5 guidance. Revision 5 presents a modernized view of security in addressing diverse requirements derived from mission and business 

needs, laws, executive orders, directives, regulations, policies, standards, and guidelines. 

OCIO documented the Information and Communications Technologies (ICT) SCRM 

Roadmap, Strategy, and Standard, which are designed to provide a vision and action plan 

for the planning, preparation, implementation, and execution of the Department’s ICT 

SCRM Program. 

To protect against unauthorized access to the Department’s sensitive data, OCIO continued to use Microsoft Office 365’s email Data Loss Prevention (DLP) capabilities to 

help secure, detect, and protect against data breaches. More than 3,600 DLP notifications 

were received, triaged, and reported as appropriate. Additionally, OCIO implemented an 

Administrative Communications System Directive, Cybersecurity Awareness Simulated 

Phishing Exercise Behavioral Based Escalations, which establishes the Department’s standards for acceptable behaviors in response to an authorized simulated phishing exercise and 
Performance Assessment—Goal 4 169

Strategic Objective 4.3

behavioral-based escalations for federal employees and contractors based on identification 

of a pattern of unacceptable behaviors (e.g., repeat-risk email users) that put the network 

and data at risk. This standard also documents actions required to reduce Departmental risk 

from end users. In FY 2021, the average phishing exercise reporting rate for the Department 

was 34.1 percent. The top reporting rate achieved in FY 2021 was 51.4 percent, which is 

the highest reporting rate achieved to date. 

The Department’s Cybersecurity Training Program Manager was nominated and awarded 

the FY 2021 Federal Information Systems Security Educator’s Association Cybersecurity 

Awareness and Training Innovator Award in recognition of innovation, dedication, and 

impact in moving the Department’s cybersecurity training program forward. 
170 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Improve the engagement and preparation of the 

Department’s workforce using professional 

development and accountability indicators.

Strategic Objective 4.4

STRATEGIC OBJECTIVE LEADER: 

Chief Human Capital Officer

Overview

In fiscal year (FY) 2021, the Department implemented a data-driven human capital strategy 

focused on improving employee engagement, performance, and competency development. 

The Department-wide National Engagement Strategy (NES) was established in October 

2020 to improve Federal Employee Viewpoint Survey (FEVS) scores, particularly the 

Employee Engagement Index. The FY 2020 results were received in Quarter 2 of FY 2021 

and showed an 8 percent increase (from 62 percent in FY 2019 to 70 percent in FY 2020). 

Additionally, in FY 2021, the Department implemented a systematic workforce planning 

process, published an internal FY 2021–FY 2022 Department Workforce Plan, established 

an annual agency hiring plan, and developed four additional competency models with career 

maps and training plans.

Given its focus on the Department’s workforce, all Department offices supported this 

strategic objective.

Performance Analysis

The only performance indicator for this strategic objective, 4.4.A, which gauges the 

Department’s performance in raising its FEVS Employee Engagement Index score, 

exceeded the established target. 

Key Successes and Opportunities

Employee Engagement

The Department is taking action to improve the annual FEVS results related to employee 

engagement. In an effort to enhance engagement of the Department’s workforce and create 

a streamlined approach for soliciting feedback and ideas, the Office of Human Resources 

established NES. An NES team was also developed to partner in the development of the 

strategy and serve as an advisory council. The team identified four key areas that have the 
Performance Assessment—Goal 4 171

greatest impact for improving employee engagement, and action plans were developed to 

address each focus area. The focus areas are Leaders Lead, Collaborative Management, 

Merit Systems Principles, and Training and Development. Engagement activities throughout 

the Department included meetings to implement the NES framework and focus areas and 

assessing FY 2020 survey results to identify trends and develop improvement plans. The 

Employee Engagement Action Plan tool was also implemented, which allows offices to 

create action plans and report quarterly progress. Additional actions included conducting 

professional development series programs for employees and implementing a peer-to-peer 

mentorship program.

Strategic Objective 4.4
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FY 2021 ANNUAL 

PERFORMANCE REPORT 

APPENDICES
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Appendix D. FY 2021 Performance Indicators 175

FY 2021 Performance Indicators

Appendix D

How to Read Performance Data

Performance indicators are presented for each strategic objective in standardized tabular and 

graphic format. This graphic explains the design elements on the following pages. The performance 

indicators presented in this appendix supported the Department’s fiscal year (FY) 2018–FY 2022 

Strategic Plan. 

 
176 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Strategic Goal 1: Support state and local efforts to improve learning 

outcomes for all P–12 students in every community.

Table 1.1.A. Number of open and operating charter schools supported by the Charter Schools 

Program. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 3,599 3,595 3,670 3,862 4,089 4,012

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: National Center for Education Statistics’ Common Core of Data and grantee annual 

performance reports.

FY 2021 Period of Performance: School year 2019–2020.

Table 1.1.B. Number of students enrolled in charter schools supported by the Charter Schools 

Program. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 1,556,017 1,609,880 1,624,564 1,733,365 1,967,441 1,743,365

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: National Center for Education Statistics’ Common Core of Data and grantee annual 

performance reports.

FY 2021 Period of Performance: School year 2019–2020.

 

Table 1.1.C. Number of new resources on evidence-based and promising practices related to 

school choice disseminated. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

0 3 5 3 4 17 4

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: National Charter School Resource Center and Institute of Education 

Sciences-sponsored materials.

FY 2021 Period of Performance: October 2020 through September 2021.

FY 2021

Target

FY 2021

Actual
Appendix D. FY 2021 Performance Indicators 177

Table 1.1.D. Number of students enrolled in federally funded magnet schools. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 81,963 81,342 84,296 120,925 101,580 122,134

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Magnet Schools Assistance Program grantee annual performance reports.

FY 2021 Period of Performance: School year 2019–2020.

 

 

 

 

Table 1.1.E. Number of open and operating public charter schools. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

7,288 7,137 7,335 7,393 7,434 7,651 7,493

Note: The number of public charter schools in operation includes the number of Charter Schools 

Program-funded schools in operation.

Data Source: National Center for Education Statistics’ Common Core of Data.

FY 2021 Period of Performance: School year 2019–2020.

FY 2021

Actual

FY 2021

Target

Table 1.1.F. Number of students enrolled in public charter schools. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

2,722,013 2,844,654 3,010,152 3,144,229 3,291,403 3,682,526 3,510,000

Note: The number of students enrolled in public charter schools includes the number of students enrolled 

in Charter Schools Program-funded schools.

Data Source: National Center for Education Statistics’ Common Core of Data.

FY 2021 Period of Performance: School year 2019–2020.

 
178 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 1.1.G. Number of students enrolled in public magnet schools. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

2,610,228 2,605,134 2,538,036  2,666,691 2,673,408 TBD 2,698,408

Notes: (1) Fiscal year (FY) 2021 data were not available at the time of publishing. (2) The definition 

of “magnet school” from the National Center for Education Statistics’ (NCES’) Common Core of Data 

(CCD) is more expansive than those eligible for assistance through the Magnet Schools Assistance 

Program.

Data Source: NCES’ CCD.

FY 2021 Period of Performance: School year 2019–2020.

Table 1.1.H. Number of scholarships provided through state-based vouchers, tax credit 

scholarships, and education savings account programs. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

399,280 446,000 466,000 482,000 539,000 TBD 579,250

Note: Fiscal year (FY) 2021 data were not available at the time of publishing.

Data Source: EdChoice, The ABCs of School Choice. The targets for FY 2020 and FY 2021 are 

imputed by the Office of Elementary and Secondary Education based on EdChoice reported data for the 

last three years.

FY 2021 Period of Performance: School year 2020–2021.

Table 1.1.I. Number of parents receiving support and engagement on school choice options 

through technical assistance and other resources. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — — 1,296,336 1,159,508 1,309,299

Note: Data are not available prior to fiscal year (FY) 2020.

Data Source: Internal Department outreach data and performance reports from Department-funded 

technical assistance centers.

FY 2021 Period of Performance: October 2019 through September 2020.

 

 

 

 
Appendix D. FY 2021 Performance Indicators 179

Table 1.2.A. Percentage of states that show improvement across a three-year trend in the 

percentage of students in grades 3 through 8 scoring at or above proficient on state assessments 

in reading in the following subgroups: economically disadvantaged, children with disabilities, 

English learners, migrant, homeless, and major racial and ethnic groups. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 24% 20% 17% 16% N/A N/A

Note: Due to a waiver of school year (SY) 2019–2020 testing, no data were reported for SY 2019–2020, which is the performance period for 

fiscal year (FY) 2021.

Data Source: The Department’s annual Assessment Data File that includes state-reported data pulled from EDFacts files C175, C178, C185, 

and C188.

FY 2021 Period of Performance: SY 2019–2020.

Table 1.2.B. Percentage of states that show improvement across a three-year trend in the 

percentage of students in grades 3 through 8 scoring at or above proficient on state 

assessments in mathematics in the following subgroups: economically disadvantaged, children 

with disabilities, English learners, migrant, homeless, and major racial and ethnic groups. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 37% 24% 17% 12% N/A N/A

Note: Due to a waiver of school year (SY) 2019–2020 testing, no data were reported for SY 2019–2020, which is the performance period for 

fiscal year (FY) 2021.

Data Source: The Department’s annual Assessment Data File that includes state-reported data pulled from EDFacts files Cl75, Cl78, Cl85, 

and Cl88.

FY 2021 Period of Performance: SY 2019–2020.

Table 1.2.C. Percentage of states with 80 percent or more of preschoolers with disabilities 

that showed greater than expected growth in social-emotional skills by the time they exit 

Individuals with Disabilities Education Act (IDEA) Part B, Section 619 services. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 55% 55% 60% 51% 52% 55%

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: IDEA Part B state annual performance reports.

FY 2021 Period of Performance: School year 2019–2020.

 

 

 
180 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 1.2.D. Percentage of students in the country who have internet bandwidth at school of 

at least 100 kbps per student. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 88% 96% 98% 99% 99% 99%

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: EducationSuperHighway.

FY 2021 Period of Performance: October 2020 through September 2021.

Table 1.2.E. Percentage of rural schools connected to a broadband infrastructure capable of 

scaling to 10 gigabits per second. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 94% 97% 98% 99% 99% 99%

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: EducationSuperHighway.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 1.2.F. Percentage of states publishing report cards on the preceding school year in a 

timely manner (i.e., by January 15th of the year following the reporting year). 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 68% 75% 68% 75% ≥75%

Data Source: Consolidated State Performance Report.

FY 2021 Period of Performance: School year 2020–2021.

FY 2021 

Target and 

FY 2021

Actual
Appendix D. FY 2021 Performance Indicators 181

Table 1.2.G. Percentage of monitored states publicly reporting information on each 

indicator in the state’s accountability system, including the list of schools identified for 

comprehensive or targeted support and improvement.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — 100% 100% 100% ≥75%

Data Source: The Office of Elementary and Secondary Education’s Office of School Support and 

Accountability monitors state compliance with Title I requirements, including the requirement to publish 

state and local report cards.

FY 2021 Period of Performance: School year 2020–2021.

 

Table 1.3.A. Number of discretionary grant notices with science, technology, engineering, 

and mathematics (STEM) as a priority. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 3 12 15 13 7 12

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Program offices holding discretionary grant competitions each year, including 

the Office of Elementary and Secondary Education; the Office of Innovation and Improvement; 

the Office of Special Education and Rehabilitative Services; the Office of Postsecondary Education; the 

Office of Career, Technical, and Adult Education; the Institute of Education Sciences; and the Office of 

English Language Acquisition.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 1.3.B. Number of public high school students by graduating cohort who have taken at 

least one Advanced Placement science, technology, engineering, and mathematics (STEM) 

exam while in high school.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

592,410 622,553 644,485 677,702 677,859 641,172 691,416

Data Source: College Board.

FY 2021 Period of Performance: School year 2019–2020.

 

 
182 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 1.3.C. Number of public high school students by graduating cohort who have taken at 

least one Advanced Placement science, technology, engineering, and mathematics (STEM) 

exam while in high school and scored a 3 or better.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

325,329 339,784 348,322 370,231 375,017 373,994 382,517

Data Source: College Board.

FY 2021 Period of Performance: School year 2019–2020.

 

Table 1.3.D. Number of adult education participants who achieved a measurable skill gain.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 676,178 654,853 590,851 404,783 596,760

Notes: (1) The number of adult education participants refers to participants in Workforce Innovation 

and Opportunity Act Title II programs. (2) Data are not available prior to fiscal year (FY) 2018. 

Data Source: National Reporting System for Adult Education.

FY 2021 Period of Performance: July 2019 through June 2020.

 

Table 1.3.E. Number of adult education participants who obtained a secondary school diploma 

or its equivalent and are employed or enrolled in an education or training program within 

one year following exit.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — Pre-baseline 37,365 37,192 27,229 37,509

Notes: (1) The number of adult education participants refers to participants in Workforce Innovation and 

Opportunity Act Title II programs. (2) Data are not available prior to fiscal year (FY) 2019. 

Data Source: National Reporting System for Adult Education.

FY 2021 Period of Performance: July 2019 through June 2020.

 
Appendix D. FY 2021 Performance Indicators 183

Table 1.3.G. Number of adult education participants enrolled in an integrated education 

and training program.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 23,307 43,904 51,915 48,864 56,000

Notes: (1) The number of adult education participants refers to participants in Workforce Innovation and 

Opportunity Act Title II programs. (2) Data are not available prior to fiscal year (FY) 2018. 

Data Source: National Reporting System for Adult Education.

FY 2021 Period of Performance: July 2019 through June 2020.

 

Table 1.3.H. Number of adult education participants who advanced one educational 

functioning level in mathematics.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — 114,473 66,427 45,956 43,064

Note: The number of adult education participants refers to participants in Workforce Innovation and 

Opportunity Act Title II programs.

Data Source: National Reporting System for Adult Education.

FY 2021 Period of Performance: July 2019 through June 2020.

 

Table 1.3.J. Number of secondary career and technical education concentrators enrolling 

in science, technology, engineering, and mathematics (STEM).

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

1,020,914 1,154,916 1,251,886 1,409,668 1,293,673 1,492,865 1,240,508

Data Source: State Consolidated Annual Reports for the Strengthening Career and Technical 

Education for the 21st Century Act (Perkins V).

FY 2021 Period of Performance: School year 2019–2020.

 
184 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 1.4.A. Number of technical assistance engagements, events or related activities, or products 

focused on grantees’ use of evidence in prekindergarten through grade 12 education.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 672 1,008 1,355 1,156 1,422

Note: Data are not available prior to fiscal year (FY) 2018.

Data Source: Department offices that deliver technical assistance.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Strategic Goal 2: Expand postsecondary educational opportunities; 

improve outcomes to foster economic opportunity; and promote 

an informed, thoughtful, and productive citizenry.

Table 2.1.A. Percentage of Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP) participants who obtain a secondary school diploma or its equivalent 

and, within 18 months, are enrolled in postsecondary education.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — — 50% 51% 51%

Note: Data are not available prior to fiscal year (FY) 2020.

Data Source: GEAR UP annual performance reports.

FY 2021 Period of Performance: August 2019 through August 2020.

 
Appendix D. FY 2021 Performance Indicators 185

Table 2.1.B. Percentage of first-time Free Application for Federal Student Aid® filers among 

high school seniors.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

57.5% 60.2% 67.4% 65.9% 63.8% 60.87% 66.25%

Data Source: Federal Student Aid’s Central Processing System.

FY 2021 Period of Performance: October 2020 through September 2021.

FY 2021

Actual

FY 2021

Target

Table 2.1.C. Persistence among first-time filing aid recipients.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

79.7% 82.6% 82.5% 82.8% 81.0% 81.09% 81.0%

Data Source: Federal Student Aid’s Common Origination and Distribution System.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.2.A. Number of technical assistance events or activities and products focused on 

the use of evidence in federal programs that promote educational opportunities, training, 

and support services for the workforce. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 77 188 160 104 168

Note: Data are not available prior to fiscal year (FY) 2018.

Data Source: Department offices that deliver technical assistance.

FY 2021 Period of Performance: October 2020 through September 2021.

 
186 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 2.2.B. Percentage of adult education program participants who were in unsubsidized 

employment during the second quarter after exiting the program. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — 25.6% 27.5% 30.14% 19.1%

Notes: (1) The number of adult education participants refers to participants in Workforce Innovation 

and Opportunity Act Title II programs. (2) Data are not available prior to fiscal year (FY) 2019.

Data Source: National Reporting System annual state reports.

FY 2021 Period of Performance: July 2019 through June 2020.

 

Table 2.2.C. Percentage of Vocational Rehabilitation Program participants who were 

in unsubsidized employment during the second quarter after exiting the program.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — 50.4% 51.3% 46.7% N/A

Note: Data are not available prior to fiscal year (FY) 2019.

Data Source: Rehabilitation Services Administration’s Case Service Report (RSA-911).

FY 2021 Period of Performance: Program year 2020.

 

Table 2.2.D. Percentage of Vocational Rehabilitation Program participants who, during a program 

year, are in an education or training program that leads to a recognized postsecondary credential 

or employment and who are achieving measurable skill gains, defined as documented academic, 

technical, occupational, or other forms of progress, toward such a credential or employment. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 21.1% 23.4% 31.4% 43.8% 25.1%

Note: Data are not available prior to fiscal year (FY) 2018.

Data Source: Rehabilitation Services Administration’s Case Service Report (RSA-911).

FY 2021 Period of Performance: Program year 2020.

 
Appendix D. FY 2021 Performance Indicators 187

Table 2.3.A. Number of technical assistance activities sponsored by the Department intended 

to expand or enhance the integration of workforce preparation activities within academic 

instruction in adult education classrooms. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 3 23 24 53 148 18

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Contractor quarterly progress reports.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.3.C. Number of postsecondary science, technology, engineering, and mathematics 

(STEM) degrees and certificates conferred. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

668,091 704,580 586,992 612,589 638,866 652,147 589,600

Data Source: The National Center for Education Statistics’ Integrated Postsecondary Education Data 

System Completions component.

FY 2021 Period of Performance: School year 2019–2020.

 

Table 2.4.A. Average speed to answer incoming calls to Federal Student Aid’s call centers.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 77 seconds 66 seconds 139 seconds 59 seconds 24 seconds ≤60 seconds

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Federal servicers’ quarterly reports.

FY 2021 Period of Performance: October 2020 through September 2021.

 
188 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 2.4.B. Average abandon rate for incoming calls to Federal Student Aid’s call centers. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 3.8% 3.9% 6.5% 3.6% 0.87% ≤2.0%

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Federal servicers’ quarterly reports.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.4.C. American Consumer Satisfaction Index (ACSI) Surveys. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 70 71 70 73.5 71.4 74

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: ACSI.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.4.D. Number of downloads of the myStudentAid mobile app. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

N/A N/A N/A 1,226,234 1,657,608 2,011,512 1,400,000

Note: Data are not available prior to fiscal year (FY) 2019.

Data Source: Federal Student Aid’s online platform analytics.

FY 2021 Period of Performance: October 2020 through September 2021.

 
Appendix D. FY 2021 Performance Indicators 189

Table 2.4.E. Number of customers checking loan balances via the myStudentAid mobile app. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

N/A N/A N/A 65,718 133,417 1,607,139 1,500,000

Note: Data are not available prior to fiscal year (FY) 2019.

Data Source: Federal Student Aid’s online platform analytics.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.4.F. Number of customers submitting a Free Application for Federal Student Aid®

via a mobile platform—the myStudentAid mobile app or fafsa.gov.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 0 2,201,000 2,505,293 2,484,787 2,600,000

Note: Data are not available prior to fiscal year (FY) 2019.

Data Source: Federal Student Aid’s online platform analytics.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.4.G. Number of visits (sessions) demonstrating adoption of the updated 

StudentAid.gov site. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — 44,500,000 183,700,000 217,299,306 241,332,232 210,000,000

Note: Data are not available prior to fiscal year (FY) 2018.

Data Source: Federal Student Aid’s online platform analytics.

FY 2021 Period of Performance: October 2020 through September 2021.

 
190 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 2.4.H. Number of users of “Aidan®,” the StudentAid.gov virtual assistant. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

N/A N/A N/A N/A 545,763 1,556,488 500,000

Note: Data are not available prior to fiscal year (FY) 2020.

Data Source: Federal Student Aid’s online platform analytics.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 2.5.A. Percentage of borrowers who are more than 30 days delinquent. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

19.0% 18.4% 17.2% 16.6% 7.6% N/A 17.1%

Note: Fiscal year (FY) 2021 data not available due to the COVID-19 emergency relief student loan payment suspension.

Data Source: Federal Student Aid’s data warehouse.

FY 2021 Period of Performance: October 2020 through September 2021.

Table 2.5.B. Percentage of borrowers who are more than 90 days delinquent. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

11.2% 10.9% 10.1% 9.8% 4.8% N/A 10.1%

Note: Fiscal year (FY) 2021 data not available due to the COVID-19 emergency relief student loan payment suspension.

Data Source: Federal Student Aid’s data warehouse.

FY 2021 Period of Performance: October 2020 through September 2021.
Appendix D. FY 2021 Performance Indicators 191

Strategic Goal 3: Strengthen the quality, accessibility, and use of 

education data through better management, increased privacy 

protections, and transparency.

Table 3.1.A. Percentage of principal offices assessed as having higher data maturity year 

over year based on the Department’s data maturity assessment tool. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — — — 93% 25%

Note: Data are not available prior to fiscal year (FY) 2021.

Data Source: The Department’s Annual Data Maturity Assessment.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 3.2.A. Number of institutions of higher education (IHEs) that have an audit of 

Gramm-Leach-Bliley Act-related information security safeguards that result in no 

significant findings. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

N/A N/A N/A N/A 1,541 2,658 154

Note: Data are not available prior to fiscal year (FY) 2020.

Data Source: IHE-provided auditor reports.

FY 2021 Period of Performance: October 2020 through September 2021.

 
192 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Table 3.2.B. Number of outreach activities targeting data privacy and information 

technology security requirements of institutions of higher education. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— 12 63 40 56 71 20

Note: Data are not available prior to fiscal year (FY) 2017.

Data Source: Outreach activity records maintained by the Privacy Technical Assistance Center.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 3.2.C. Percentage of local educational agency (LEA) websites from a statistically 

representative sample reviewed for inclusion of transparency best practices. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

N/A N/A N/A 35% 60% 85% 85%

Note: Data are not available prior to fiscal year (FY) 2019.

Data Source: Selected LEA public websites.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 3.3.A. Number of data assets listed in a comprehensive data inventory that are made 

available to the Federal Data Catalogue with official determinations regarding “open-bydefault” requirements. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — — 487 619 560

Note: Data are not available prior to fiscal year (FY) 2020.

Data Source: The Department’s comprehensive data inventory.

FY 2021 Period of Performance: October 2020 through September 2021.

 
Appendix D. FY 2021 Performance Indicators 193

Strategic Goal 4: Reform the effectiveness, efficiency, and 

accountability of the Department.

Table 4.2.A. Improve maturity level of Enterprise Risk Management (ERM).

This performance indicator was baselined in fiscal year (FY) 2021. The Department 

continues to work on measuring ERM.

Note: This performance indicator was baselined in FY 2021.

Data Source: Office of Finance and Operations, Office of Enterprise Data Analytics, and risk management calculations.

FY 2021 Period of Performance: October 2020 through September 2021.

Table 4.3.A. Percentage of the Department’s information technology security functions that 

improved at least one maturity level.

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

— — — — 84.5% 80% 80%

Note: Data from previous years are not included, as the methodology and target for this performance 

indicator were revised in fiscal year (FY) 2020.

Data Source: Department of Homeland Security’s (DHS’) CyberScope quarterly risk management 

assessment, the Department’s Cybersecurity Framework Risk Scorecard, the previous year’s Office of 

the Inspector General Federal Information Security Modernization Act of 2014 maturity score, and DHS 

Cyber Hygiene reports.

FY 2021 Period of Performance: October 2020 through September 2021.

 

Table 4.4.A. Federal Employee Viewpoint Survey (FEVS) employee engagement index score. 

2016 2017 2018 2019 2020 2021 2021

Actual Actual Target

67% 67% 63% 62% 70% 76% 66%

Data Source: Office of Personnel Management’s FEVS.

FY 2021 Period of Performance: October 2020 through September 2021. 
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Appendix E. Data Validation and Verification 195

Data Validation and Verification

Appendix E

Appendix E provides data validation and verification information for performance indicators 

in the FY 2021 Annual Performance Report.

Strategic Goal 1: Support state and local efforts to improve 

learning outcomes for all P–12 students in every community.

1.1.A. Number of open and operating charter schools supported by the Charter Schools 

Program (CSP). 

Data Source: National Center for Education Statistics’ (NCES’) Common Core of Data (CCD) 

and grantee annual performance reports.

Data Validation 

and Verification:

CSP staff and contractors review reported data for anomalies and compare annual 

performance reports with NCES’ CCD to confirm reporting accuracies. Grantees 

are questioned about any identified inconsistencies and must confirm or update 

reporting. NCES’ CCD undergoes a rigorous and well-documented review process. 

More information can be found at https://nces.ed.gov/ccd.

1.1.B. Number of students enrolled in charter schools supported by the Charter Schools 

Program (CSP). 

Data Source: National Center for Education Statistics’ (NCES’) Common Core of Data (CCD) 

and grantee annual performance reports.

Data Validation 

and Verification:

CSP staff and contractors review reported data for anomalies and compare annual 

performance reports with NCES’ CCD to confirm reporting accuracies. Grantees 

are questioned about any identified inconsistencies and must confirm or update 

reporting. NCES’ CCD undergoes a rigorous and well-documented review process. 

More information can be found at https://nces.ed.gov/ccd. 

1.1.C. Number of new resources on evidence-based and promising practices related to school 

choice disseminated.

Data Source: National Charter School Resource Center and Institute of Education Sciences 

(IES)-sponsored materials.

Data Validation 

and Verification:

Applicable resources and publications are posted on the websites of the Office of 

Innovation and Improvement and IES. Charter Schools Program staff review these 

two websites to ensure resources are available and meet the requisite criteria for this 

indicator throughout the year. 
196 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

1.1.D. Number of students enrolled in federally funded magnet schools.

Data Source: Magnet Schools Assistance Program (MSAP) grantee annual performance reports.

Data Validation 

and Verification:

The MSAP contractor conducts data reviews of grantee performance data. The 

contractor is responsible for locating, assessing, and recording annual performance 

data. Review protocols include checking and documenting the presence and 

completeness of performance indicator data for analysis. The contractor’s research 

staff discuss anomalous data with grantees, who verify or correct submissions. 

Valid anomalies are documented. The Parental Options and Improvement Programs 

Director is responsible for certifying the data are accurate. 

1.1.E. Number of open and operating public charter schools.

Data Source: National Center for Education Statistics’ (NCES’) Common Core of Data (CCD).

Data Validation 

and Verification:

NCES’ CCD undergoes a rigorous and well-documented review process. More 

information can be found at https://nces.ed.gov/ccd.

1.1.F. Number of students enrolled in public charter schools.

Data Source: National Center for Education Statistics’ (NCES’) Common Core of Data (CCD).

Data Validation 

and Verification:

NCES’ CCD undergoes a rigorous and well-documented review process. More 

information can be found at https://nces.ed.gov/ccd. 

1.1.G. Number of students enrolled in public magnet schools.

Data Source: National Center for Education Statistics’ (NCES’) Common Core of Data (CCD).

Data Validation 

and Verification:

NCES’ CCD undergoes a rigorous and well-documented review process. More 

information can be found at https://nces.ed.gov/ccd.

1.1.H. Number of scholarships provided through state-based vouchers, tax credit scholarships, and 

education savings account programs.

Data Source: EdChoice, The ABCs of School Choice. The targets for fiscal year (FY) 2020 and 

FY 2021 are imputed by the Office of Elementary and Secondary Education based 

on EdChoice reported data for the last three years.

Data Validation 

and Verification:

EdChoice addresses data quality issues for its annual publications. Imputations and 

projections are based on EdChoice historic data. Qualifying scholarships include 

education savings accounts, vouchers, tax-credit scholarships, and individual tax 

credits and deductions as defined by EdChoice.

1.1.I. Number of parents receiving support and engagement on school choice options through 

technical assistance and other resources.

Data Source: Internal Department outreach data and performance reports from Department-funded 

technical assistance centers.

Data Validation 

and Verification:

The Office of Elementary and Secondary Education (OESE) and the Office of 

Special Education Programs (OSEP) staff conduct data reviews of grantee data from 

the Statewide Family Engagement Centers Program and the Parent Training and 

Information Program. OESE and OSEP staff are responsible for locating, assessing, 

and recording annual performance data. Review protocols include checking and 

documenting the presence and completeness of performance indicator data for 

analysis. OESE and OSEP staff discuss anomalous data with grantees, who verify or 

correct submissions. Valid anomalies are documented. Data are reviewed by OESE 

and OSEP prior to being submitted. 
Appendix E. Data Validation and Verification 197

1.2.A. Percentage of states that show improvement across a three-year trend in the percentage of 

students in grades 3 through 8 scoring at or above proficient on state assessments in reading in 

the following subgroups: economically disadvantaged, children with disabilities, English learners, 

migrant, homeless, and major racial and ethnic groups.

Data Source: The Department’s annual Assessment Data File that includes state-reported data 

pulled from EDFacts files C175, C178, C185, and C188.

Data Validation 

and Verification:

The Office of Elementary and Secondary Education (OESE), Office of Special 

Education Programs (OSEP), and EDFacts conduct a thorough, coordinated 

data quality review of the assessment data submitted by states. OSEP reviews 

this set of assessment data files to ensure compliance with the Individuals with 

Disabilities Education Act Section 618, and OESE reviews this set of assessment 

data files for the Consolidated State Performance Report (CSPR). Reviews focus 

on three areas: timeliness, completeness, and accuracy. OESE, OSEP, and EDFacts

conduct two data quality reviews of states’ assessment data submissions. The first 

data quality review results in data quality inquiries, comments, and questions for 

state respondents. States may respond through resubmission, written response, or 

data notes. The second data quality review is conducted to ensure published data 

meet established data quality criteria. OESE, OSEP, and EDFacts hold conference 

calls with states to gain a better understanding of identified anomalies and provide 

technical assistance to empower states to submit higher-quality assessment data. 

Data quality reviews are conducted following each due date/resubmission date. 

Outstanding questions regarding accuracy may result in data suppression. Note that 

this indicator is impacted by changes to state assessment systems. If states change 

assessments, performance levels, or cut scores, among others, it will invalidate the 

year-to-year analysis to identify states that showed improvements in the percentage 

of proficient students. Because statewide assessment systems have been in flux for 

the last few years, it is challenging to establish baselines and set targets. States sign 

a certification when submitting their CSPR. If questions remain upon completion of 

the Department’s data quality review process regarding whether the data submitted 

by a state are accurate, the Department may decide not to publish or use the data. 
198 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

1.2.B. Percentage of states that show improvement across a three-year trend in the percentage of 

students in grades 3 through 8 scoring at or above proficient on state assessments in mathematics in 

the following subgroups: economically disadvantaged, children with disabilities, English learners, 

migrant, homeless, and major racial and ethnic groups. 

Data Source: The Department’s annual Assessment Data File that includes state-reported data 

pulled from EDFacts files Cl75, Cl78, Cl85, and Cl88.

Data Validation 

and Verification:

The Office of Elementary and Secondary Education (OESE), Office of Special 

Education Programs (OSEP), and EDFacts conduct a thorough, coordinated data 

quality review of the assessment data submitted by states. OSEP reviews this set 

of assessment data files to ensure compliance with Individuals with Disabilities 

Education Act Section 618, and OESE reviews this set of assessment data files 

for the Consolidated State Performance Report (CSPR). Reviews focus on 

three areas: timeliness, completeness, and accuracy. OESE, OSEP, and EDFacts

conduct two data quality reviews of states’ assessment data submissions. The first 

data quality review results in data quality inquiries, comments, and questions for 

state respondents. States may respond through resubmission, written response, or 

data notes. The second data quality review is conducted to ensure published data 

meet established data quality criteria. OESE, OSEP, and EDFacts hold conference 

calls with states to gain a better understanding of identified anomalies and provide 

technical assistance to empower states to submit higher-quality assessment data. 

Data quality reviews are conducted following each due date/resubmission date. 

Outstanding questions regarding accuracy may result in data suppression. Note that 

this indicator is impacted by changes to state assessment systems. If states change 

assessments, performance levels, or cut scores, among others, it will invalidate the 

year-to-year analysis to identify states that showed improvements in the percentage 

of proficient students. Because statewide assessment systems have been in flux for 

the last few years, it is challenging to establish baselines and set targets. States sign 

a certification when submitting their CSPR. If questions remain upon completion of 

the Department’s data quality review process regarding whether the data submitted 

by a state are accurate, the Department may decide not to publish or use the data. 

1.2.C. Percentage of states with 80 percent or more of preschoolers with disabilities that showed 

greater than expected growth in social-emotional skills by the time they exit Individuals with 

Disabilities Education Act (IDEA) Part B, Section 619 services. 

Data Source: IDEA Part B state annual performance reports.

Data Validation 

and Verification:

The Office of Special Education Programs’ (OSEP’s) state leads review each state’s 

annual performance report for data quality. The Monitoring and State Improvement 

Planning Division Data Implementation Team and OSEP’s Early Childhood 

Technical Assistance Center, which has expertise in early childhood outcome 

measurement systems, review the full set of data for anomalies and other data quality 

concerns. The number of states collecting high-quality data has increased over time 

as states continue to build their capacity to collect valid and reliable data. These 

efforts are supported by the Technical Assistance Center, which helps states build 

and improve their outcome measurement systems, collect and analyze data, and 

use data to make program improvements. States certify that the data they turn in to 

OSEP are accurate. The OSEP Director signs the determination letter for each state. 
Appendix E. Data Validation and Verification 199

1.2.D. Percentage of students in the country who have internet bandwidth at school of at least 

100 kbps per student.

Data Source: EducationSuperHighway.

Data Validation 

and Verification:

Verification and validation of data are managed by EducationSuperHighway. The 

process for checking for anomalous data is managed by EducationSuperHighway. The 

Office of Educational Technology is responsible for certifying the data are accurate. 

1.2.E. Percentage of rural schools connected to a broadband infrastructure capable of scaling to 

10 gigabits per second. 

Data Source: EducationSuperHighway.

Data Validation 

and Verification:

Verification and validation of data are managed by EducationSuperHighway. The 

process for checking for anomalous data is managed by EducationSuperHighway. The 

Office of Educational Technology is responsible for certifying the data are accurate. 

1.2.F. Percentage of states publishing report cards on the preceding school year in a timely manner 

(i.e., by January 15th of the year following the reporting year).

Data Source: Consolidated State Performance Report (CSPR).

Data Validation 

and Verification:

The Every Student Succeeds Act report card data metrics are new to states, 

beginning with report cards published in school year (SY) 2018–2019 based on 

data from SY 2017–2018. Some states may be working through the programming 

necessary to report them and therefore may be delayed for the first couple of years 

of implementation in the release of their data. Office of Elementary and Secondary 

Education (OESE) staff are reviewing state educational agency websites to 

determine if the report cards have been published by January 15 with data from the 

previous school year. Going forward, states will include in the CSPR the link where 

the report cards are located. There is a formal, extensive process for the verification 

and validation of any information submitted through EDFacts/CSPR that occurs 

annually, beginning immediately following the submission due date in a series of 

review windows between December and May. Data are reviewed by staff. Due to 

the scope and complexity of the process, most data included in the CSPR are not 

considered final and available for use until May. However, because the review of the 

report cards’ links will only involve navigating to the web locations and confirming 

that the current report cards are posted, OESE staff are able to use preliminary 

data, which are available earlier in the year, to produce this indicator. Data will be 

reviewed by OESE prior to being submitted. Anomalous data will be checked and 

verified by OESE or other supporting offices. 

1.2.G. Percentage of monitored states publicly reporting information on each indicator in the 

state’s accountability system, including the list of schools identified for comprehensive or targeted 

support and improvement. 

Data Source: The Office of Elementary and Secondary Education’s (OESE’s) Office of School 

Support and Accountability monitors state compliance with Title I requirements, 

including the requirement to publish state and local report cards.

Data Validation 

and Verification:

Data are collected during Title I monitoring by OESE. Monitoring reports are 

reviewed internally by OESE staff and submitted to states as part of the monitoring 

process. Program officers doing the monitoring are trained for consistent and standard 

application of monitoring protocols. Anomalous data will be checked and verified 

by OESE or other supporting offices. OESE is responsible for monitoring the Title I 

program and follows the protocols necessary to ensure the data are accurate.
200 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

1.3.A. Number of discretionary grant notices with science, technology, engineering, and 

mathematics (STEM) as a priority. 

Data Source: Program offices holding discretionary grant competitions each year, including 

the Office of Elementary and Secondary Education; the Office of Innovation and 

Improvement; the Office of Special Education and Rehabilitative Services; the 

Office of Postsecondary Education; the Office of Career, Technical, and Adult 

Education; the Institute of Education Sciences; and the Office of English Language 

Acquisition.

Data Validation 

and Verification:

Reports can be checked against the Notice Inviting Applications for each 

competition. Each program office listed in the data source is responsible for 

certifying the data are accurate. 

1.3.B. Number of public high school students by graduating cohort who have taken at least 

one Advanced Placement science, technology, engineering, and mathematics (STEM) exam 

while in high school.

Data Source: College Board.

Data Validation 

and Verification:

College Board addresses all data quality issues and is responsible for certifying that 

all data are accurate.

1.3.C. Number of public high school students by graduating cohort who have taken at least 

one Advanced Placement science, technology, engineering, and mathematics (STEM) exam 

while in high school and scored a 3 or better.

Data Source: College Board.

Data Validation 

and Verification:

College Board addresses all data quality issues and is responsible for certifying that 

all data are accurate.

1.3.D. Number of adult education participants who achieved a measurable skill gain. 

Data Source: National Reporting System for Adult Education.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.

1.3.E. Number of adult education participants who obtained a secondary school diploma or its 

equivalent and are employed or enrolled in an education or training program within one year 

following exit. 

Data Source: National Reporting System for Adult Education.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.

1.3.G. Number of adult education participants enrolled in an integrated education and training 

program. 

Data Source: National Reporting System for Adult Education.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.
Appendix E. Data Validation and Verification 201

1.3.H. Number of adult education participants who advanced one educational functioning level in 

mathematics. 

Data Source: National Reporting System for Adult Education.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.

1.3.J. Number of secondary career and technical education concentrators enrolling in science, 

technology, engineering, and mathematics (STEM). 

Data Source: State Consolidated Annual Reports for the Strengthening Career and Technical 

Education for the 21st Century Act (Perkins V).

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.

1.4.A. Number of technical assistance engagements, events or related activities, or products focused 

on grantees’ use of evidence in prekindergarten through grade 12 education. 

Data Source: Department offices that deliver technical assistance.

Data Validation 

and Verification:

Program offices review activities and apply established qualification criteria. The 

Office of Planning, Evaluation, and Policy Development’s Grants Policy Office 

reviews submissions and follows up with offices to address any anomalous data. 

Each program office identifies the point of contact responsible for certifying 

accuracy of the data.

Strategic Goal 2: Expand postsecondary educational 

opportunities; improve outcomes to foster economic 

opportunity; and promote an informed, thoughtful, and 

productive citizenry.

2.1.A. Percentage of Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR 

UP) participants who obtain a secondary school diploma or its equivalent and, within 18 months, 

are enrolled in postsecondary education. 

Data Source: GEAR UP annual performance reports.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk 

monitoring, on-site reviews, and technical assistance.
202 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

2.1.B. Percentage of first-time Free Application for Federal Student Aid® (FAFSA®) filers among 

high school seniors. 

Data Source: Federal Student Aid’s (FSA’s) Central Processing System.

Data Validation 

and Verification:

FSA operational systems have procedures in place to address potential data quality 

issues. The process for querying system data is consistent and disciplined. A 

separate data analyst from a different office within FSA validates the accuracy of 

the query and the resulting data and validates any anomalous data. Queries and 

calculations are simultaneously conducted on data from previous years by FSA’s 

Business Intelligence Team to ensure technical definitions remain consistent. The 

Customer Analytics Group is responsible for the primary calculation of the metric 

as well as the technical validation of the metric, which is done by reviewing for 

accuracy the query used to pull the data and all calculations made with the data. 

Finally, the Financial Reporting and Analysis Branch is responsible for ensuring 

that documentation is complete and archived. These calculations also restrict the 

application period to the first 9 months of the application cycle (through the close of 

the fiscal year) rather than the entire 18 months. Because most applicants, including 

high school seniors, file their FAFSA prior to the start of the upcoming academic 

year (usually before fiscal year end), this decision better aligns the performance 

indicator with the fiscal year where most of the performance occurred. 

2.1.C. Persistence among first-time filing aid recipients. 

Data Source: Federal Student Aid’s Common Origination and Distribution System.

Data Validation 

and Verification:

Data results are ascertained through standardized system queries. These queries are 

used to rerun and match calculations for earlier cycles as part of the verification and 

validity assessment.

2.2.A. Number of technical assistance events or activities and products focused on the use of 

evidence in federal programs that promote educational opportunities, training, and support 

services for the workforce. 

Data Source: Department offices that deliver technical assistance.

Data Validation 

and Verification:

Criteria for and examples of technical assistance events/activities and products are 

provided to program office representatives. The criteria are flexible to accommodate 

different technical assistance offerings provided across the Department. The Office 

of Planning, Evaluation, and Policy Development’s Grants Policy Office reviews 

program offices’ submission to address any anomalous data. The Department 

conducts level-setting meetings with staff charged with reporting from each program 

office to support the collection of standard and meaningful data. Contacts in each 

program office are responsible for certifying accuracy of the data. 

2.2.B. Percentage of adult education program participants who were in unsubsidized employment 

during the second quarter after exiting the program.

Data Source: National Reporting System annual state reports.

Data Validation 

and Verification:

Data are verified through federal review of state data submissions that includes desk 

monitoring, on-site reviews, and technical assistance. 
Appendix E. Data Validation and Verification 203

2.2.C. Percentage of Vocational Rehabilitation (VR) Program participants who were in 

unsubsidized employment during the second quarter after exiting the program. 

Data Source: Rehabilitation Services Administration’s (RSA’s) Case Service Report (RSA-911).

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk monitoring, 

on-site reviews, and technical assistance. In accordance with Section 506(b) of the 

Workforce Innovation and Opportunity Act (WIOA), the performance accountability 

system requirements of Section 116 of WIOA took effect on July 1, 2016. However, 

the Office of Special Education and Rehabilitative Services (OSERS) and RSA 

recognized that state VR agencies may have difficulty implementing the new data 

requirements quickly enough to submit reports containing the new data elements for 

program year (PY) 2016. Therefore, the Department exercised its transition authority 

under Section 503 of WIOA to ensure the orderly transition from the requirements 

under the Rehabilitation Act of 1973, as amended by the Workforce Investment Act 

of 1998, to the requirements of WIOA. With the issuance of RSA-PD-16-04 on 

June 14, 2017, OSERS/RSA revised RSA-911 to begin collecting WIOA data for 

the VR Program effective in PY 2017, which began July 1, 2017. Data related to the 

percentage of VR Program participants who were in unsubsidized employment during 

the second quarter after exit for PY 2018 reflect those participants who exited the 

VR Program in PY 2017. 

2.2.D. Percentage of Vocational Rehabilitation (VR) Program participants who, during a program 

year, are in an education or training program that leads to a recognized postsecondary credential 

or employment and who are achieving measurable skill gains, defined as documented academic, 

technical, occupational, or other forms of progress, toward such a credential or employment. 

Data Source: Rehabilitation Services Administration’s (RSA’s) Case Service Report (RSA-911).

Data Validation 

and Verification:

Data are verified through federal review of state data submissions via desk monitoring, 

on-site reviews, and technical assistance. In accordance with Section 506(b) of the 

Workforce Innovation and Opportunity Act (WIOA), the performance accountability 

system requirements of Section 116 of WIOA took effect on July 1, 2016. However, 

the Office of Special Education and Rehabilitative Services (OSERS) and RSA 

recognized that state VR agencies may have difficulty implementing the new data 

requirements quickly enough to submit reports containing the new data elements for 

program year (PY) 2016. Therefore, the Department exercised its transition authority 

under Section 503 of WIOA to ensure the orderly transition from the requirements 

under the Rehabilitation Act of 1973, as amended by the Workforce Investment Act 

of 1998, to the requirements of WIOA. With the issuance of RSA-PD-16-04 on 

June 14, 2017, OSERS/RSA revised RSA-911 to begin collecting WIOA data for 

the VR Program effective in PY 2017, which began July 1, 2017. Data related to the 

percentage of VR Program participants who were in unsubsidized employment during 

the second quarter after exit for PY 2018 reflect those participants who exited the 

VR Program in PY 2017.
204 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

2.3.A. Number of technical assistance activities sponsored by the Department intended to expand 

or enhance the integration of workforce preparation activities within academic instruction in adult 

education classrooms. 

Data Source: Contractor quarterly progress reports.

Data Validation 

and Verification:

Office of Career, Technical, and Adult Education (OCTAE) staff vet all event 

materials prior to actual events. For virtual events, the contractor provides relevant 

analytics as supporting documentation. For face-to-face events, the contractor 

collects sign-in sheets and event evaluation forms. OCTAE staff review contractor 

documentation for anomalous or unclear submissions and follow up with the 

appropriate contractor(s). The Deputy Director of the Division of Adult Education 

and Literacy within OCTAE is responsible for certifying the data are accurate. 

2.3.C. Number of postsecondary science, technology, engineering, and mathematics (STEM) 

degrees and certificates conferred. 

Data Source: The National Center for Education Statistics’ (NCES’) Integrated Postsecondary 

Education Data System (IPEDS) Completions component.

Data Validation 

and Verification:

NCES’ IPEDS undergoes a rigorous and well-documented review process. More 

information on that process can be found at https://nces.ed.gov/ipeds. 

2.4.A. Average speed to answer incoming calls to Federal Student Aid’s (FSA’s) call centers. 

Data Source: Federal servicers’ quarterly reports.

Data Validation 

and Verification:

The verification and validation of performance by the nondefault federal student 

loan servicers will be conducted by FSA and will include (but not be limited to) 

(1) review and validation of federal servicer reports, (2) ongoing/recurring quality 

assurance discussion with federal servicers, (3) site visits to federal servicer call 

center sites, and (4) documented on-phone (“mystery caller”) evaluations of services. 

Because the agency directive is succinct and builds on current contractor operational 

capabilities, FSA does not anticipate anomalous data or issues with implementation. 

However, in cases where verification and validation detect anomalies that suggest 

less-than-complete information, FSA will address any deficiencies through direct 

contact with federal servicers, requests for information, audits, site visits, and/

or other assessment indicators of performance, as applicable. FSA’s Business 

Operations Officer, who oversees all of FSA’s nondefault federal student loan 

servicers, is responsible for certifying the data are accurate. 

2.4.B. Average abandon rate for incoming calls to Federal Student Aid’s (FSA’s) call centers. 

Data Source: Federal servicers’ quarterly reports.

Data Validation 

and Verification:

The verification and validation of performance by the nondefault federal student 

loan servicers will be conducted by FSA and will include (but not be limited to) 

(1) review and validation of federal servicer reports, (2) ongoing/recurring quality 

assurance discussion with federal servicers, (3) site visits to federal servicer call 

center sites, and (4) documented on-phone (“mystery caller”) evaluations of services. 

Because the agency directive is succinct and builds on current contractor operational 

capabilities, FSA does not anticipate anomalous data or issues with implementation. 

However, in cases where verification and validation detect anomalies that suggest 

less-than-complete information, FSA will address any deficiencies through direct 

contact with federal servicers, requests for information, audits, site visits, and/

or other assessment indicators of performance, as applicable. FSA’s Business 

Operations Officer, who oversees all of FSA’s nondefault federal student loan 

servicers, is responsible for certifying the data are accurate. 
Appendix E. Data Validation and Verification 205

2.4.C. American Customer Satisfaction Index (ACSI) Surveys. 

Data Source: ACSI.

Data Validation 

and Verification:

This indicator is a direct reflection of the data collected through the ACSI Aid Life 

Cycle Survey. Federal Student Aid monitors to ensure the system is secure and the 

query results are consistent.

2.4.D. Number of downloads of the myStudentAid mobile app. 

Data Source: Federal Student Aid’s (FSA’s) online platform analytics.

Data Validation 

and Verification:

This indicator is a direct reflection of the data platform analytics. FSA monitors to 

ensure the system is secure and the query results are consistent.

2.4.E. Number of customers checking loan balances via the myStudentAid mobile app. 

Data Source: Federal Student Aid’s (FSA’s) online platform analytics.

Data Validation 

and Verification:

This indicator is a direct reflection of the data platform analytics. FSA monitors to 

ensure the system is secure and the query results are consistent.

2.4.F. Number of customers submitting a Free Application for Federal Student Aid® via a mobile 

platform—the myStudentAid mobile app or fafsa.gov. 

Data Source: Federal Student Aid’s (FSA’s) online platform analytics.

Data Validation 

and Verification:

This indicator is a direct reflection of the data platform analytics. FSA monitors to 

ensure the system is secure and the query results are consistent.

2.4.G. Number of visits (sessions) demonstrating adoption of the updated StudentAid.gov site.

Data Source: Federal Student Aid’s (FSA’s) online platform analytics.

Data Validation 

and Verification:

This indicator is a direct reflection of the data platform analytics. FSA monitors to 

ensure the system is secure and the query results are consistent.

2.4.H. Number of users of “Aidan®,” the StudentAid.gov virtual assistant.

Data Source: Federal Student Aid’s (FSA’s) online platform analytics.

Data Validation 

and Verification:

This indicator is a direct reflection of the data platform analytics. FSA will monitor 

to ensure the system is secure and the query results are consistent.

2.5.A. Percentage of borrowers who are more than 30 days delinquent.

Data Source: Federal Student Aid’s (FSA’s) data warehouse.

Data Validation 

and Verification:

Data are collected on a quarterly basis from FSA’s data warehouse. Verification 

and validation of the rate(s) of delinquency are conducted by FSA’s Office of 

Performance Management. FSA does not anticipate anomalous data or issues with 

interpretation; however, in cases when verification and validation detect anomalies 

that suggest less-than-complete information, FSA addresses any deficiencies 

through collaboration with subject-matter experts within the Office of Performance 

Management. No limitations, other than macro-economic situations (i.e., economic 

downturn), have been identified. FSA’s Deputy Chief Operating Officer is 

responsible for certifying the data are accurate. 
206 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

2.5.B. Percentage of borrowers who are more than 90 days delinquent. 

Data Source: Federal Student Aid’s (FSA’s) data warehouse.

Data Validation 

and Verification:

Data are collected on a quarterly basis from FSA’s data warehouse. Verification 

and validation of the rate(s) of delinquency are conducted by FSA’s Office of 

Performance Management. FSA does not anticipate anomalous data or issues with 

interpretation; however, in cases when verification and validation detect anomalies 

that suggest less-than-complete information, FSA addresses any deficiencies 

through collaboration with subject-matter experts within the Office of Performance 

Management. No limitations, other than macro-economic situations (i.e., economic 

downturn), have been identified. FSA’s Deputy Chief Operating Officer is 

responsible for certifying the data are accurate. 

Strategic Goal 3: Strengthen the quality, accessibility, and 

use of education data through better management, increased 

privacy protections, and transparency.

3.1.A. Percentage of principal offices assessed as having higher data maturity year over year based 

on the Department’s data maturity assessment tool. 

Data Source: The Department’s Annual Data Maturity Assessment.

Data Validation 

and Verification:

The Department’s Annual Data Maturity Assessment is administered by the Data 

Governance Board’s (DGB’s) support contractor. Meeting minutes from DGB 

meetings, held every two months or as needed, are developed by DGB’s support 

contractor. Information presented in support of this performance indicator will be 

reviewed and accepted by DGB’s Program Management Office. Interactions between 

DBG’s support contractor and its Program Management Office occur regularly 

between DGB meetings, providing both the support contractor and program 

management office with an opportunity to review and finalize documentation of 

the meeting in a timely fashion and before a subsequent meeting is held. Any data 

identified by the Program Management Office as anomalous are discussed by the 

support contractor and Program Management Office. Anomalous data are researched 

using the original meeting notes from the monthly meeting in question and followed 

up with calls from the Program Management Office and to any office points of 

contact whose data are in question. The Program Management Office is responsible 

for certifying the data are accurate. 

3.2.A. Number of institutions of higher education (IHEs) that have an audit of Gramm-Leach-Bliley 

Act-related information security safeguards that result in no significant findings. 

Data Source: IHE-provided auditor reports.

Data Validation 

and Verification:

The data are verified and validated by Federal Student Aid’s (FSA’s) Senior Advisor 

for Cybersecurity in collaboration with the Department’s Chief Privacy Officer on 

at least a quarterly basis and compared to report data, FSA records, and ongoing 

compliance and investigations regarding data breaches. FSA’s Deputy Chief 

Operating Officer certifies that all data are accurate. 
Appendix E. Data Validation and Verification 207

3.2.B. Number of outreach activities targeting data privacy and information technology security 

requirements of institutions of higher education. 

Data Source: Outreach activity records maintained by the Privacy Technical Assistance Center. 

Data Validation 

and Verification:

The data are verified and validated by Federal Student Aid’s (FSA’s) Senior Advisor 

for Cybersecurity in collaboration with the Department’s Chief Privacy Officer on 

at least a quarterly basis and are compared to report data, FSA records, and ongoing 

compliance and investigations regarding data breaches. There are no identified 

nuances or limitations to the data. FSA’s Deputy Chief Operating Officer certifies 

all data are accurate.

3.2.C. Percentage of local educational agency (LEA) websites from a statistically representative 

sample reviewed for inclusion of transparency best practices.

Data Source: Selected LEA public websites.

Data Validation 

and Verification:

The data are verified and validated by the Director of the Student Privacy Policy 

Office (SPPO) on at least a quarterly basis. Anomalous data are noted in the 

comments field, and staff and contractors are questioned to ensure that district 

website reviews are accurate and complete. No limitations are anticipated. The 

Director of SPPO is responsible for certifying the data are accurate. 

3.3.A. Number of data assets listed in a comprehensive data inventory that are made available to 

the Federal Data Catalogue with official determinations regarding “open-by-default” requirements. 

Data Source: The Department’s comprehensive data inventory.

Data Validation 

and Verification:

The Chief Data Officer is responsible for establishing the Department’s 

comprehensive data inventory. The Department’s Office of the Chief Data Officer 

(OCDO) has established an Open Data Platform that will meet the needs of the 

statutorily required comprehensive data inventory and be capable of tracking new 

and existing data assets. OCDO will be responsible for calculating these numbers 

and establishing an independent validation process. 

Strategic Goal 4: Reform the effectiveness, efficiency, and 

accountability of the Department.

4.2.A. Improve maturity level of Enterprise Risk Management (ERM).

Data Source: Office of Finance and Operations, Office of Enterprise Data Analytics, and risk 

management calculations.

Data Validation 

and Verification:

The maturity of the Department’s ERM Program is assessed against the federal 

ERM maturity model through participation in the Office of Management and 

Budget’s Federal ERM Maturity Model Pilot during fiscal year (FY) 2020 and 

FY 2021. The model has five distinct levels and five functional categories for each 

level. The Office of Enterprise Data Analytics and Risk Management (OEDARM) 

is leading the development of specific performance indicators to ensure consistently 

repeatable data collection and trend analysis over time. With quantitative indicators 

in place, the Department’s maturity can be reliably assessed using a standard 

methodology. OEDARM is responsible for certifying the data are accurate for the 

Department and will work directly with Federal Student Aid’s ERM Office to certify 

any applicable data, accordingly. 
208 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

4.3.A. Percentage of the Department’s information technology (IT) security functions that 

improved at least one maturity level.

Data Source: Department of Homeland Security’s (DHS’) CyberScope quarterly risk management 

assessment (RMA), the Department’s Cybersecurity Framework (CSF) Risk 

Scorecard, the previous fiscal year’s Office of the Inspector General (OIG) Federal 

Information Security Modernization Act of 2014 (FISMA) maturity score, and DHS 

Cyber Hygiene reports. 

Data Validation 

and Verification:

Information derived from the data sources follows a formalized review process to 

ensure accuracy and timeliness of the information for the purposes of measuring the 

Department’s progress across these areas. Specifically: 

• DHS quarterly RMA: The Department receives and reviews the draft 

RMA report. Department approvals are then submitted through CyberScope. 

The RMA factor is calculated by averaging the security domain completion 

percentage results within each CSF function to determine the overall percentage 

of completion at the CSF function level. Peer reviews are conducted to ensure 

mathematical accuracy prior to finalizing this factor. 

• The Department’s CSF Risk Scorecard: Department risk scores are compiled 

via Microsoft Power BI and verified based on the CSF Risk Scorecard standard 

operating procedure. Scores are continuously reviewed for accuracy prior to 

releases. 

• The previous fiscal year’s OIG FISMA maturity score: The current FISMA 

capability maturity levels (1–5) correlate to a percentage of completion toward 

the desired goal of achieving level 5–optimized or 100% of the achievable 

outcomes. Peer reviews are conducted to ensure mathematical accuracy prior 

to finalizing this factor. 

• DHS Cyber Hygiene reports: The Department receives and reviews the DHS 

reports. After Department confirmation, percentages are averaged to determine 

the overall scoring percentage for the Cyber Hygiene factor. Peer reviews are 

also conducted to ensure mathematical accuracy prior to finalizing the reports. 

4.4.A. Federal Employee Viewpoint Survey (FEVS) employee engagement index score.

Data Source: Office of Personnel Management’s (OPM’s) FEVS.

Data Validation 

and Verification:

Data verification and validation processes are integrated into OPM’s FEVS results 

validation process. Any questionable or anomalous FEVS results identified are 

brought to the attention of OPM. The Department then works with the OPM point of 

contact to obtain clarity or resolve the results. There are no known data limitations. 

OPM is responsible for certifying the data are accurate. 
Appendix F. Performance Indicator Changes 209

Performance Indicator Changes

Appendix F

Appendix F includes performance indicators that were added, removed, or changed since 

the publications of the FY 2020 Annual Performance Report and the FY 2022 Annual 

Performance Plan.

Strategic Goal 1: Support state and local efforts to improve 

learning outcomes for all P–12 students in every community.

There were no performance indicators removed, changed, or added for fiscal year (FY) 2021 

in Goal 1.

Strategic Goal 2: Expand postsecondary educational 

opportunities; improve outcomes to foster economic 

opportunity; and promote an informed, thoughtful, and 

productive citizenry.

There were no performance indicators removed, changed, or added for FY 2021 in Goal 2.

Strategic Goal 3: Strengthen the quality, accessibility, and 

use of education data through better management, increased 

privacy protections, and transparency.

There were no performance indicators removed, changed, or added for FY 2021 in Goal 3.
210 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Strategic Goal 4: Reform the effectiveness, efficiency, and 

accountability of the Department.

Indicator 4.1.A Status: Removed

Type of Change: Removed for fiscal year 2021 forward.

Original Title: Number of evaluations to identify potential Executive Order (EO) 13771 

deregulatory actions that included opportunity for public input and/or peer review.

Justification: On January 20, 2021, President Biden issued EO 13992 (86 FR 7049). This EO 

revokes several prior EOs, including EOs 13771 and 13777. EOs 13771 and 13777 

served as the basis for strategic objective 4.1. Therefore, strategic objective 4.1 and 

its associated performance indicators can no longer be implemented.

Indicator 4.1.B Status: Removed

Type of Change: Removed for fiscal year 2021 forward.

Original Title: Number of Executive Order (EO) 13771 deregulatory actions recommended by the 

Regulatory Reform Task Force to the agency head consistent with applicable law.

Justification: On January 20, 2021, President Biden issued EO 13992 (86 FR 7049). This EO 

revokes several prior EOs, including EOs 13771 and 13777. EOs 13771 and 13777 

served as the basis for strategic objective 4.1. Therefore, strategic objective 4.1 and 

its associated performance indicators can no longer be implemented.

Indicator 4.1.C Status: Removed

Type of Change: Removed for fiscal year 2021 forward.

Original Title: Number of Executive Order (EO) 13771 deregulatory actions issued that address 

recommendations by the Regulatory Reform Task Force.

Justification: On January 20, 2021, President Biden issued EO 13992 (86 FR 7049). This EO 

revokes several prior EOs, including EOs 13771 and 13777. EOs 13771 and 13777 

served as the basis for strategic objective 4.1. Therefore, strategic objective 4.1 and 

its associated performance indicators can no longer be implemented.

Indicator 4.1.D Status: Removed

Type of Change: Removed for fiscal year 2021 forward.

Original Title: Number of Executive Order (EO) 13771 regulatory actions and, separately, 

EO 13771 deregulatory actions issued.

Justification: On January 20, 2021, President Biden issued EO 13992 (86 FR 7049). This EO 

revokes several prior EOs, including EOs 13771 and 13777. EOs 13771 and 13777 

served as the basis for strategic objective 4.1. Therefore, strategic objective 4.1 and 

its associated performance indicators can no longer be implemented.

Indicator 4.1.F Status: Removed

Type of Change: Removed for fiscal year 2021 forward.

Original Title: Number of deregulatory actions submitted to the Office of Management and Budget.

Justification: On January 20, 2021, President Biden issued Executive Order (EO) 13992 

(86 FR 7049). This EO revokes several prior EOs, including EOs 13771 and 13777. 

EOs 13771 and 13777 served as the basis for strategic objective 4.1. Therefore, 

strategic objective 4.1 and its associated performance indicators can no longer be 

implemented.
Appendix F. Performance Indicator Changes 211

Indicator 4.4.C Status: Removed

Type of Change: Removed for fiscal year (FY) 2021 forward.

Original Title: Percentage of supervisors and managers with a performance plan critical element 

related to employee engagement.

Justification: The Department achieved 100 percent on this performance indicator in FY 2020. 

Therefore, additional tracking is no longer required.
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Appendix G. Programs by Goal 213

Programs by Goal

Appendix G

Appendix G includes the other discretionary programs and activities and mandatory 

programs by Strategic Goal.

Strategic Goal 1: Support state and local efforts to improve 

learning outcomes for all P–12 students in every community.

Goal 1 Other Discretionary Programs and Activities

POC ACCT Objective Program

IES IES 1.4, 2.2 Regional Educational Laboratories

IES IES 1.2, 2.2 Special Education Studies and Evaluations

OCTAE CTAE 1.3, 2.1 Adult Basic and Literacy Education State Grants

OCTAE CTAE 1.3, 2.1 Adult Education National Leadership Activities

OESE ED 1.2, 1.4 Comprehensive Literacy Development Grants

OESE ED 1.2 State Agency Programs: Migrant

OESE ED 1.2 State Agency Programs: Neglected and Delinquent

OESE ED 1.2, 2.1 Special Programs for Migrant Students

OESE IA 1.2 Impact Aid, Payments for Federally Connected Children: Basic 

Support Payments

OESE IA 1.2 Impact Aid, Payments for Federally Connected Children: 

Payments for Children With Disabilities

OESE IA 1.2 Impact Aid, Facilities Maintenance

OESE IA 1.2 Impact Aid, Construction

OESE IA 1.2 Impact Aid, Payments for Federal Property

OESE IE 1.2 Indian Education: Grants to Local Educational Agencies

OESE IE 1.2 Indian Education: Special Programs for Indian Children

OESE IE 1.2 Indian Education: National Activities

OESE I&I 1.2, 1.4 Innovative Approaches to Literacy

OESE I&I 1.1, 1.2 Charter Schools Grants

OESE I&I 1.1, 1.2 Magnet Schools Assistance

OESE I&I 1.2 American History and Civics Education

OESE I&I 1.2, 1.4 Supporting Effective Educator Development

OESE I&I 1.2 Ready to Learn Programming

OESE I&I 1.2 Arts in Education

OESE I&I 1.2 Javits Gifted and Talented Education
214 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

POC ACCT Objective Program

OESE I&I 1.2, 1.4 Statewide Family Engagement Centers

OESE I&I 1.2 Fostering Diverse Schools (Proposed Legislation)

OESE I&I 1.2, 2.3 Teacher Quality Partnership

OESE SIP 1.2, 1.4 Supporting Effective Instruction State Grants

OESE SIP 1.2, 1.4 21st Century Community Learning Centers

OESE SIP 1.2 Education for Homeless Children and Youth Education

OESE SIP 1.2 Native Hawaiian Education

OESE SIP 1.2 Alaska Native Education

OESE SIP 1.2 Training and Advisory Services

OESE SIP 1.2 Rural Education

OESE SIP 1.2 Supplemental Education Grants

OESE SIP 1.2 Comprehensive Centers

OESE SIP 1.2 Student Support and Academic Enrichment Grants

OESE SIP 1.2 School-Based Health Professionals (Proposed Legislation)

OESE SIP 1.2 Climate Resilient Schools (Proposed Legislation)

OESE SSCE 1.2 Promise Neighborhoods

OSERS SE 1.1, 1.2 Preschool Grants

OSERS SE 1.1 Grants for Infants and Families

OSERS SE 1.1, 1.2, 1.4 Technical Assistance and Dissemination

OSERS SE 1.2 Parent Information Centers

OSERS SE 1.2 Personnel Preparation

OSERS SE 1.3 Education Technology, Media, and Materials

OSERS SE 1.2 Special Olympics Education Programs

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; IES = Institute of Education Sciences; OCTAE = Office of Career, 

Technical, and Adult Education; CTAE = Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary 

Education; ED = Education for the Disadvantaged; IA = Impact Aid; IE = Indian Education; I&I = Innovation and Improvement; 

SIP = Strengthening Institutions Program; SSCE = Safe Schools and Citizenship Education; OSERS = Office of Special 

Education and Rehabilitative Services; and SE = Special Education.
Appendix G. Programs by Goal 215

Goal 1 Mandatory Programs

POC ACCT Objective Program

OCTAE CTAE 1.3, 2.1, 2.3 Expanded Career Pathways for Middle and High School Students

OESE — 1.2 K–12 School Infrastructure

OESE I&I 1.2, 1.4 Expanding Opportunities for Teacher Leadership and 

Development (Proposed Legislation)

OESE I&I 1.2, 1.4 Supporting In-Demand Credentials for Teachers (Proposed 

Legislation)

OPE HE 1.4 Teacher Quality Partnerships

OPE HE 1.4, 2.3 Hawkins Centers of Excellence

OSERS SE 1.4 Personnel Preparation

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; OCTAE = Office of Career, Technical, and Adult Education; CTAE = 

Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary Education; — = Not Available; K–12 = 

Kindergarten Through Grade 12; I&I = Innovation and Improvement; OPE = Office of Postsecondary Education; HE = Higher 

Education; OSERS = Office of Special Education and Rehabilitative Services; and SE = Special Education.
216 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Strategic Goal 2: Expand postsecondary educational 

opportunities; improve outcomes to foster economic 

opportunity; and promote an informed, thoughtful, 

and productive citizenry.

Goal 2 Other Discretionary Programs and Activities

POC ACCT Objective Program

FSA DM/SAA N/A Student Aid Administration: Salaries and Expenses

FSA DM/SAA N/A Student Aid Administration: Servicing Activities

FSA SFA 2.1, 2.3 Federal Supplemental Educational Opportunity Grants

FSA SFA 2.1, 2.3 Federal Work-Study

IES IES 1.4, 2.2 Regional Educational Laboratories

IES IES 1.2, 2.2 Special Education Studies and Evaluations

OCTAE CTAE 2.1, 2.4 Career and Technical National Programs

OCTAE CTAE 1.3, 2.1 Adult Basic and Literacy Education State Grants

OCTAE CTAE 1.3, 2.1 Adult Education National Leadership Activities

OCTAE CTAE 2.1 Tribally Controlled Postsecondary Career and Technical 

Institutions

OESE ED 1.2, 2.1 Special Programs for Migrant Students

OESE I&I 1.2, 2.3 Teacher Quality Partnership

OPE HE 2.1, 2.2 Aid for Institutional Development: Strengthening Institutions

OPE HE 2.1 Aid for Institutional Development: Strengthening Tribally 

Controlled Colleges and Universities

OPE HE 2.1 Strengthening Alaska Native and Native Hawaiian-Serving 

Institutions

OPE HE 2.1 Strengthening Historically Black Graduate Institutions

OPE HE 2.1 Strengthening Historically Black College and University 

Master’s Program

OPE HE 2.1 Strengthening Predominantly Black Institutions

OPE HE 2.1 Strengthening Asian American- and Native American Pacific 

Islander- Serving Institutions

OPE HE 2.1 Strengthening Native American-Serving Nontribal Institutions

OPE HE 2.2, 2.3 Minority Science and Engineering Improvement

OPE HE 2.1 Aid for Hispanic-Serving Institutions: Developing HispanicServing Institutions

OPE HE 2.1 Aid for Hispanic-Serving Institutions: Promoting 

Postbaccalaureate Opportunities for Hispanic Americans

OPE HE 2.1, 2.2 Consolidated MSI Grant (Proposed Legislation): Consolidated 

Minority-Serving Institution Grant

OPE HE 2.1 International Education and Foreign Language Studies: 

Domestic Programs
Appendix G. Programs by Goal 217

POC ACCT Objective Program

OPE HE 2.1 International Education and Foreign Language Studies: 

Overseas Programs

OPE HE 2.1 Model Transition Programs for Students With Intellectual 

Disabilities Into Higher Education

OPE HE 2.1, 2.2, 2.4 Gaining Early Awareness and Readiness for Undergraduate 

Programs

OPE HE 2.3 Graduate Assistance in Areas of National Need

OPE HE 2.1 Child Care Access Means Parents in School

OPE HE 2.1, 2.3 Fund for the Improvement of Postsecondary Education

OPE HE 2.1 Howard University: General Support

OPE HE 2.1 Howard University Hospital

OPE HE N/A College Housing and Academic Facilities Loans Program 

Account: Federal Administration

OPE HE N/A Historically Black College and University Capital Financing 

Program Account: Federal Administration

OPE HE N/A Historically Black College and University Capital Financing 

Program Account: Loan Subsidies

OPE HE N/A Historically Black College and University Capital Financing 

Program Account: Modification of Existing Loan Subsidies

OSERS APHB 2.1, 2.3 American Printing House for the Blind

OSERS GU 2,1, 2.3 Gallaudet University

OSERS NTID 2.1, 2.2 National Technical Institute for the Deaf

OSERS REHAB 2.1 Client Assistance State Grants

OSERS REHAB 2.1, 2.2 Vocational Rehabilitation Training

OSERS REHAB 2.1, 2.2 Demonstration and Training Programs

OSERS REHAB 2.1 Protection and Advocacy of Individual Rights

OSERS REHAB 2.1, 2.3 Supported Employment State Grants

OSERS REHAB 2.2 Independent Living Services for Older Blind Individuals

OSERS REHAB 2.2 Helen Keller National Center for Deaf-Blind Youths and Adults

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FSA = Federal Student Aid; DM = Departmental Management; SAA 

= Student Aid Administration; N/A = Not Applicable; SFA = Student Financial Assistance; IES = Institute of Education Sciences; 

OCTAE = Office of Career, Technical, and Adult Education; CTAE = Career, Technical, and Adult Education; OESE = Office 

of Elementary and Secondary Education; ED = Education for the Disadvantaged; I&I = Innovation and Improvement; OPE = 

Office of Postsecondary Education; HE = Higher Education; OSERS = Office of Special Education and Rehabilitative Services; 

APHB = American Printing House for the Blind; GU = Gallaudet University; NTID = National Technical Institute for the Deaf; 

and REHAB = Rehabilitation Services and Disability Research.
218 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Goal 2 Mandatory Programs

POC ACCT Objective Program

FSA FDSL 2.1, 2.3 Federal Direct Student Loans Program Account: New Loan 

Subsidies

FSA FDSL 2.1, 2.3 Federal Direct Student Loans Program Account: Upward 

Reestimate of Existing Loans

FSA FDSL 2.1, 2.3 Federal Direct Student Loans Program Account: Upward 

Modification of Existing Loans

FSA FFEL 2.1 Federal Family Education Loans Program Account: Upward 

Reestimate of Existing Loans

FSA FFEL 2.1 Federal Family Education Loans Program Account: Upward 

Modification of Existing Loans

FSA FFEL 2.1 Federal Family Education Loans Liquidating Account: Pre1992 Student Loans

FSA HEAL 2.1 Health Education Assistance Loans Liquidating Account

FSA SFA 2.1, 2.3 Federal Pell Grants: Mandatory

FSA SFA 2.1, 2.3 Federal Pell Grants: Mandatory Funding for Discretionary 

Program Costs

FSA SFA 2.1, 2.3 Iraq and Afghanistan Service Grants

FSA TEACH 2.1, 2.3 TEACH Grants: New Loan Subsidy

FSA TEACH 2.1, 2.3 TEACH Grants: Upward Reestimate of Existing Loans

OCTAE — 2.1 Community College Infrastructure

OCTAE CTAE 2.1 Adult Education State Grants

OESE SIP 2.3 School-Based Health Professionals of the Future

OPE HE 2.1 HEA Title III/V Programs for Historically Black Colleges and 

Universities, Tribally Controlled Colleges and Universities, 

Hispanic-Serving Institutions, and Minority-Serving Institutions

OPE HE 2.1 Completion Grants

OPE HE 2.1 Aid for Institutional Development: Mandatory Strengthening 

Tribally Controlled Colleges and Universities

OPE HE 2.1 Mandatory Strengthening Alaska Native- and Native HawaiianServing Institutions

OPE HE 2.1 Mandatory Strengthening Historically Black Colleges and 

Universities

OPE HE 2.1 Mandatory Strengthening Predominantly Black Institutions

OPE HE 2.1 Mandatory Strengthening Asian American- and Native 

American Pacific Islander-Serving Institutions

OPE HE 2.1 Mandatory Strengthening Native American-Serving Nontribal 

Institutions

OPE HE 2.1, 2.2 Aid for Hispanic-Serving Institutions: Mandatory Developing 

HSI STEM and Articulation Programs

OPE HE 2.1, 2.2 Consolidated Minority-Serving Intuition Grant (Proposed 

Legislation): Mandatory Consolidated Minority-Serving 

Institution Grant
Appendix G. Programs by Goal 219

POC ACCT Objective Program

OPE HE N/A College Housing and Academic Facilities Loans Program 

Account: Reestimate of Existing Loan Subsidies

OPE HE N/A College Housing and Academic Facilities Loans Liquidating 

Account

OPE HE N/A Historically Black College and University Capital Financing 

Program Account: Reestimate of Existing Loan Subsidies

OPE HE N/A Higher Education Facilities Loans Liquidating Account

OPE HE N/A College Housing Loans Liquidating Account

OSERS REHAB 2.1, 2.2, 2.3 Vocational Rehabilitation, State Grants

OSERS REHAB 2.1 Vocational Rehabilitation, Grants to Indians

SFA — 2.1 Perkins Loan Repayments

SFA — N/A FDSL Downward Reestimate of Loan Subsidies

SFA — N/A FDSL Downward Modification/Negative Loan Subsidies

SFA — N/A FFEL Downward Reestimate of Loan Subsidies

SFA — N/A FFEL Downward Modification/Negative Loan Subsidies

SFA — N/A Historically Black College and University Capital Financing 

Downward Reestimate of Loan Subsidies

SFA — N/A Student Financial Assistance Debt Collection

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; FSA = Federal Student Aid; FDSL = Federal Direct Student Loan; 

FFEL = Federal Family Education Loan; HEAL = Health Education Assistance Loan; SFA = Student Financial Assistance; 

TEACH = Teacher Education Assistance for College and Higher Education; OCTAE = Office of Career, Technical, and Adult 

Education; — = Not Available; CTAE = Career, Technical, and Adult Education; OESE = Office of Elementary and Secondary 

Education; SIP = Strengthening Institutions Program; OPE = Office of Postsecondary Education; HE = Higher Education; 

HEA = Higher Education Act of 1965; HSI STEM = Hispanic-Serving Institution Science, Technology, Engineering, and 

Mathematics; N/A = Not Applicable; OSERS = Office of Special Education and Rehabilitative Services; and REHAB = 

Rehabilitation Services and Disability Research.
220 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Strategic Goal 3: Strengthen the quality, accessibility, and 

use of education data through better management, increased 

privacy protections, and transparency.

Goal 3 Other Discretionary Programs and Activities

POC ACCT Objective Program

IES IES 3.1, 3.2, 3.3 National Assessment Governing Board

IES IES 3.3 Research in Special Education

IES IES 3.1, 3.2, 3.3 Statewide Longitudinal Data Systems

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; and IES = Institute of Education Sciences.

Goal 3 Mandatory Programs

No additional programs.

Strategic Goal 4: Reform the effectiveness, efficiency, and 

accountability of the Department.

Goal 4 Other Discretionary Programs and Activities

POC ACCT Objective Program

All DM/PA N/A Program Administration: Building Modernization

OIG OIG N/A Office of Inspector General

Acronyms and Definitions:

POC = Principal Operating Component; ACCT = Account; DM = Departmental Management; PA = Program Administration; 

N/A = Not Applicable; and OIG = Office of Inspector General.

Goal 4 Mandatory Programs

No additional programs.
Appendix H. Summary of Performance Evaluations Completed During FY 2021 221

Summary of Performance Evaluations 

Completed During FY 2021

Appendix H

Appendix H summarizes findings from all evaluations conducted for the Institute of 

Education Sciences’ National Center for Education Evaluation and Regional Assistance that 

have had publications released by the Department during fiscal year (FY) 2021. Ongoing 

evaluations have been included in the Department’s Annual Evaluation and EvidenceBuilding Plan, as required under the Foundations for Evidence-Based Policymaking Act 

of 2018.

In addition, the evaluations presented here align with the U.S. Department of Education 

Strategic Plan Fiscal Years 2022–2026, Agency Priority Goals, and the corresponding 

FY 2022–FY 2026 Learning Agenda (found in Appendix A of the FY 2022–FY 2026 

Strategic Plan). In the Learning Agenda, the Department identifies the following six focus 

areas for evidence building that are critical to strengthening the nation’s education system, 

helping ensure it can provide every student with access to high-quality learning opportunities 

that meet their unique needs:

Focus Area 1—COVID-19: Address the impact of COVID-19 on students, educators, and faculty.

Focus Area 2—Equity: Promote equity in student access to educational resources, opportunities, 

and welcoming environments.

Focus Area 3—Educators: Support a diverse educator workforce and professional growth to 

strengthen student learning.

Focus Area 4—Meeting 

Student Needs:

Meet students’ social, emotional, and academic needs.

Focus Area 5—Postsecondary: Increase postsecondary education access, affordability, completion, and 

post-credential success.

Focus Area 6—Federal 

Financial Aid:

Manage federal student aid programs.

For each evaluation presented, the following information is provided: 

• Whether it is aligned to one or more of the evidence-building focus areas above, 

its current status, its expected or final start and end date, and a link to access.

• Background on the issues, contexts, and problems that motivate the evaluation 

activity. 

• Research questions the evaluation seeks to answer. 

• Evaluation design and analytical considerations. 
222 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

• Publications and products expected from the evaluation, including those released 

in FY 2021. 

• Key findings from the FY 2021 publications.

Impact Study of Magnet Schools

Overview

Focus Area: Focus Area 2—Equity

Current Status: Study is ongoing; interim publication was released in FY 2021

Duration: September 2017–May 2024

Link: https://ies.ed.gov/ncee/projects/evaluation/choice_impactmagnet.asp

Background

Decades after the Supreme Court declared racial segregation in public schools to be 

unconstitutional, concentration in schools by race, ethnicity, and poverty persists. The 

federal Magnet Schools Assistance Program (MSAP) supports districts and schools in 

their efforts to reduce group isolation and improve student achievement through increased 

school choice options for families. MSAP schools seek to attract a diverse set of students 

and provide high-quality academic programs, typically by organizing recruitment and 

instruction around one or more themes. With growth in school choice more broadly and 

specifically in magnet schools since 2000, it is important to understand how well these 

federally funded schools achieve their goals and how they work. This evaluation takes 

advantage of new opportunities to rigorously assess MSAP schools but with low burden. It 

draws on lotteries most MSAP districts now use to admit students to their magnet schools. 

By comparing the achievement and school characteristics of applicants who were and were 

not given a seat by chance, the study will determine the impact of the MSAP and examine 

how specific school features relate to effectiveness.

Research Questions

• What is the impact of MSAP on student achievement and/or other relevant indicators 

of student success, such as persistence in school or graduation?

• What is the impact of MSAP on the characteristics of the schools that the students 

attend, including whether they are higher performing or more diverse?

• Are particular features of magnet schools associated with greater success?

Design and Analytic Considerations

This impact evaluation includes more than 14,500 students who entered MSAP admissions 

lotteries in calendar year 2018 or 2019 in 11 districts. Data are being collected for both 

students who were and were not offered placement, including district records containing 

student characteristics, enrollment, test scores, and other information. Also included is 

a survey of students’ school principals about school organization and instruction. The 
Appendix H. Summary of Performance Evaluations Completed During FY 2021 223

academic progress and experiences of students in the two groups will be compared for 

the four years following their admissions lottery, through school year (SY) 2023.

Publications and Products

A snapshot titled Drawing Across School Boundaries: How Federally Funded Magnet 

Schools Recruit and Admit Students was released in January 2021. The next report, 

on school diversity, is expected in calendar year 2023 and will be announced on

http://ies.ed.gov/ncee/.

FY 2021 Publication Key Findings

• MSAP-funded schools report using a variety of strategies to recruit students, targeting 

those the schools believe are likely to exercise choice. Priorities for recruiting 

students reflect efforts to diversify. However, fewer than one in four schools offered 

resource-intensive accommodations that might be particularly attractive to highneeds families.

• Perceived stigma of low academic quality and lack of diversity are top reported 

obstacles to recruiting students.

• MSAP-funded schools are most likely to give preference in admissions to students 

from affiliated families or communities. For example, about 70 percent of schools 

give preference to siblings of students already enrolled in the magnet, and 59 percent 

of schools give preference to students in nearby neighborhoods or schools.

• The key findings will be updated when the next report is released.

Assessing Evidence of Effectiveness in Adult Education: 

Study of Training for Career Navigators

Overview

Focus Area: Focus Area 2—Equity and Focus Area 5—Postsecondary

Current Status: Study is ongoing; interim publication was released in FY 2021

Duration: September 2018–December 2027

Link: https://ies.ed.gov/ncee/projects/evaluation/pathways_evidence.asp

Background

Nearly 43 million U.S. adults lack the basic literacy, numeracy, or English language 

skills required to succeed in the workforce and achieve economic self-sufficiency. Title II 

of the Workforce Innovation and Opportunity Act (WIOA) of 2014 is the key federal effort 

to help adults acquire these and other important skills as well as to earn a high school 

equivalency credential. WIOA encourages adult education programs to use evidence-based 

strategies to improve services and learners’ success, yet few strategies have rigorous research 

supporting them. To fix this knowledge gap, WIOA requires the Department to carry out 
224 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

an independent evaluation of adult education programs and services that includes identifying effective practices. As one part of the Department’s overall National Assessment of 

Adult Education, this study examines evidence from existing research on adult education 

strategies and designs new potential studies to expand the effectiveness evidence base. This 

study also includes conducting an impact evaluation of training for career navigators—key 

staff at many local adult education sites who are expected to advise learners on career and 

college planning and to help them address any challenges in pursuing their plans. 

Research Questions

• What is known about the effectiveness of adult education strategies?

• Can providing training to career navigators improve adult learners’ college 

enrollment and credential attainment rates? 

• Can it improve learners’ employment rates and earnings?

Design and Analytic Considerations

Approximately 65 adult education sites will be recruited by fall 2022 to participate in a 

study of the effectiveness of training for career navigators. About half of the sites will be 

assigned by lottery to a group in which the site’s career navigators will receive training 

provided by the study in fall 2022. Career navigators in the remaining sites will not 

receive the study’s training. Using administrative records, participants’ college enrollment, 

credential attainment, employment status, and earnings will be assessed approximately 

18 and 30 months following the participants’ enrollment in the study. The study will also 

survey career navigators at the start of the study and collect service logs from throughout 

the study to describe the types of navigation services typically provided and to whom 

those services are typically targeted. 

Publications and Products

A snapshot titled Adult Education Strategies: Identifying and Building Evidence of 

Effectiveness was released in April 2021. A descriptive report on the navigation services 

typically provided at sites in the career navigator training study is expected in 2024 and will 

be announced on https://ies.ed.gov/ncee/.

FY 2021 Publication Key Findings

• There has been little rigorous research on whether particular strategies in adult 

education improve learner outcomes.

• The rigorous research that has been conducted does not address the full set of outcome 

areas that federal policy emphasizes. Studies measuring basic skills such as literacy

did not measure longer-term outcomes such as credential attainment and earnings. 

Studies that investigated longer-term outcomes did not measure basic skills.

• The available evidence provides limited support for the use of particular adult 

education strategies over others, although bridge classes and integrated education 

and training programs offer some promise.
Appendix H. Summary of Performance Evaluations Completed During FY 2021 225

Effectiveness of Promising Strategies in Federal College Access 

Programs: Study of College Transition Text Messaging in 

GEAR UP

Overview

Focus Area: Focus Area 5—Postsecondary

Current Status: Study is completed

Duration: September 2012–February 2023

Link: https://ies.ed.gov/ncee/projects/evaluation/pathways_gearup.asp

Background

The complex process of applying to, enrolling in, and staying in college is one of the many 

barriers to postsecondary success that low-income students face. Emerging research suggests 

that customized text message reminders that also connect students to advisors could help. 

This demonstration evaluated a promising text messaging strategy that addressed hurdles 

that are both procedural—registration, course selection, tuition payments, office hours, 

Free Application for Federal Student Aid® (FAFSA®) refiling—and psychological, such as 

concerns about fitting in and doing well. The strategy was offered to seniors in a group of 

high schools participating in Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP), a Department college access program that serves students in highneed schools beginning in grade 7. The messaging helped schools take advantage of a new 

opportunity introduced in the 2008 amendments to the Higher Education Act of 1965 (HEA) 

for GEAR UP grantees to support the transition to college.

Research Questions

• Does the text messaging and advisor support improve students’ rates of college 

enrollment and persistence?

• For which types of students is the strategy more or less beneficial?

Design and Analytic Considerations

The demonstration recruited high schools in GEAR UP that were the first eligible to 

support a year of post-high school services. Across about 80 schools, almost 5,000 seniors in 

SY 2015–2016 or SY 2016–2017 were randomly assigned to receive the college transition 

services grantees originally proposed in their applications or those services plus the 

personalized reminders and advisor support through text messages. Reminders and support 

began at the end of students’ high school senior year and continued into the spring of their 

expected first year of college. The study team administered a survey before the reminder 

messaging began to collect information on students’ experiences with college advising and 

their intended college (so that the messages could be tailored to individual schools’ deadlines 

and requirements). College enrollment and persistence, as well as FAFSA renewal, were 

tracked into students’ expected second year of college using administrative records.
226 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Publications and Products

A report titled Study of College Transition Messaging in GEAR UP: Impacts on Enrolling 

and Staying in College was released in February 2021.

FY 2021 Publication Key Findings

• Students who were sent text messages were no more likely to enroll or persist 

in college than other students. The messaging did not increase college enrollment 

in the fall after high school or through the first year and into a second year 

of college. The messages also did not affect whether students completed 

the FAFSA.

• Messaging went as planned, but the information students and advisors had may 

have been among the factors that limited its effectiveness. Students and their mostly 

high school-based GEAR UP advisors communicated back and forth via texting. 

But each advisor supported an average of 40 students dispersed to 8 colleges; 

providing college-specific information for that caseload may have been challenging. Also, the students might have had more college advising and knowledge 

in high school than students in other texting studies where transition messaging 

showed some benefits.

Evaluation of the Pell Grant Experiments Under the 

Experimental Sites Initiative

Overview

Focus Area: Focus Area 5—Postsecondary and Focus Area 6: Federal Financial Aid

Current Status: Study is completed

Duration: September 2012–December 2020

Link: https://ies.ed.gov/ncee/projects/evaluation/pathways_pell.asp

Background

Federal Pell Grants are considered the foundation of higher education financial aid for 

low-income students. However, under current rules, otherwise income-eligible students 

who already have a bachelor’s degree (BA) or who want to enroll in short-term (i.e., less 

than 15 weeks and 600 hours) programs are restricted from obtaining these grants. Given 

unemployment rates above 8.5 percent in 2011 and reports of unfilled openings for skilled 

jobs in some occupations, postsecondary institutions called for expanding Pell Grants to help 

fill the skill training gap for low-income workers. In response, Federal Student Aid (FSA), 

under the Experimental Sites Initiative authorized by Section 487A(b) of HEA, conducted 

demonstrations to test the impacts of eliminating the BA restriction (Experiment 1) and 

significantly lowering the minimum clock hours/duration restriction (Experiment 2) for 

students interested in occupational training in high-demand fields. The Institute of Education 

Sciences designed and is overseeing a rigorous evaluation of these experiments.
Appendix H. Summary of Performance Evaluations Completed During FY 2021 227

Research Questions

• Does expanding Pell Grant eligibility to include income-eligible students with a 

BA (Experiment 1) and/or to cover shorter-term programs (Experiment 2) increase 

enrollment in and completion of postsecondary programs? 

• Did offering experimental Pell Grants affect the types of programs that students 

enrolled in or completed?

• Does expanding Pell Grant eligibility to these groups affect federal financial aid 

receipt? Does offering experimental Pell Grants affect students’ use of federal 

student loans? What percentage of students who were offered experimental Pell 

Grants used them?

Design and Analytic Considerations

Between the 2012 and 2017 award years, 46 postsecondary institutions volunteered to 

participate and identified nearly 3,000 students eligible for the experiments. Students were 

randomly assigned to be offered or not offered experimental Pell Grant funds in their 

financial aid package. Student administrative data on program enrollment and completion 

were collected from participating postsecondary institutions between 2016 and 2018. Data 

collection also included student administrative records on financial aid receipt from FSA. 

These data will be analyzed to address the research questions.

Publications and Products

A report titled The Effects of Expanding Pell Grant Eligibility for Short Occupational 

Training Programs: Results From the Experimental Sites Initiative was released in 

December 2020.

FY 2021 Publication Key Findings

• Offering Pell Grants for short occupational programs to low-income students with 

a BA (Experiment 1) increased program enrollment and completion by about 

20 percentage points. Students were 26 percentage points more likely to enroll in 

additional education and 17 percentage points more likely to complete a program 

at the study schools if they were offered an experimental Pell Grant. The offer also 

affected completion of high-demand programs—defined as those associated with 

occupations in a new and emerging field, projected to grow rapidly, or having a large 

number of openings in the student’s state. Completion of these programs increased 

by 11 percentage points.

• Offering Pell Grants for very short-term occupational training programs 

(Experiment 2) increased program enrollment and completion by about 

10 percentage points. Students were 15 percentage points more likely to enroll in 

additional education and 9 percentage points more likely to complete a program at 

the study schools if they were offered an experimental Pell Grant for very shortterm occupational programs. The offer increased completion of programs associated 

with high-demand occupations in a student’s state by 8 percentage points.
228 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Impact Evaluation of Support for Principals

Overview

Focus Area: Focus Area 3—Educators

Current Status: Study is completed

Duration: July 2014–June 2021

Link: https://ies.ed.gov/ncee/projects/evaluation/tq_principals.asp

Background

Principals are increasingly required to be instructional leaders, not just managers, as schools 

seek to improve their academic climate and performance. States and districts can provide 

professional development to help principals become more effective in this role, with new 

opportunities to use funds from the federal Title II, Part A program of the updated Elementary and Secondary Education Act. Given this recent shift in federal policy and the limited 

information about how to help principals improve, this evaluation assessed the effects of one 

promising, intensive professional development and coaching approach. It primarily helps 

principals conduct structured observations of teachers’ classroom instruction and provide 

targeted feedback based on those observations. Providing this type of support is expected 

to boost teacher effectiveness and, in turn, student achievement. The principal professional 

development also encouraged creating more supports and a more supportive environment 

for teachers overall, which was intended to improve school climate and reduce both teacher 

and principal turnover.

Research Questions

• What are the impacts of intensive principal professional development on the 

practices used by principals to provide or arrange supports for their teachers? Does 

it improve school climate and reduce teacher and principal turnover?

• What are the impacts on student achievement?

• What are the professional development experiences of principals?

Design and Analytic Considerations

Within 10 districts, the study team randomly assigned a total of 100 elementary schools 

whose principals either received the professional development program or did not. All principals continued to have access to any regular district-provided professional development. 

The University of Washington’s Center for Educational Leadership was selected to provide 

the professional development program during SY 2015–2016 and SY 2016–2017.

Data collection in both years of implementation included information about the professional 

development delivered and experienced by the principals participating in the intervention; 

teacher and principal surveys and periodic logs of principal daily activities to document 

intermediate outcomes, such as principal behaviors and school climate; and administrative 

records to address teacher retention and student achievement, behavior, and attendance.
Appendix H. Summary of Performance Evaluations Completed During FY 2021 229

Publications and Products

The most recent publication, Time to Lead: An Illustrative Look at How Elementary School 

Principals Spend Their Workweek, was released in June 2021. This is a study snapshot 

that provides information from 100 principals about the extent and nature of instructional 

support to improve teacher practice.

Other study publications include the study report titled The Effects of a Principal Professional Development Program Focused on Instructional Leadership was released in 

October 2019.

FY 2021 Publication Key Findings

• Principals spent more time on tasks other than providing instructional support. 

• Principals with elementary school teaching experience reported providing more 

extensive direct instructional support. According to teachers, they provided more 

helpful and actionable direct instructional support in some cases. 

• Time principals spent providing instructional support was similar regardless of 

other principal, teacher, and school characteristics.
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Appendix I. Glossary of Acronyms and Abbreviations 231

Glossary of Acronyms and Abbreviations

Appendix I

Acronym Definition

— Not Available

ACCT Account

ACSI American Consumer Satisfaction Index

AP Advanced Placement

APG Agency Priority Goal

APHB American Printing House for the Blind

APR Annual Performance Report

ARP American Rescue Plan Act of 2021

ARP ESSER American Rescue Plan Act of 2021 Elementary and 

Secondary School Emergency Relief

BA Bachelor’s Degree

CAE Center of Academic Excellence

CAP Cross-Agency Priority

CARES Act Coronavirus Aid, Relief, and Economic Security Act

CCD Common Core of Data

CDC Centers for Disease Control and Prevention

CSF Cybersecurity Framework

CSP Charter Schools Program

CSPR Consolidated State Performance Report

CTAE Career, Technical, and Adult Education

CTE Career and Technical Education

CTERN Career & Technical Education Research Network

DGB Data Governance Board

DHS Department of Homeland Security

DLP Data Loss Prevention

DM Departmental Management

DMS Differentiated Monitoring and Support

ED Education for the Disadvantaged

ELA English Language Acquisition

EO Executive Order

ERM Enterprise Risk Management
232 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Acronym Definition

ERR Entity Risk Review

ESF Education Stabilization Fund

ESF-REM Education Stabilization Fund-Rethink K–12 Education 

Model

ESSER Elementary and Secondary School Emergency Relief

FAFSA® Free Application for Federal Student Aid®

FDSL Federal Direct Student Loan

FEVS Federal Employee Viewpoint Survey

FFEL Federal Family Education Loan

FISMA Federal Information Security Management Act

FSA Federal Student Aid

FUTURE Act Fostering Undergraduate Talent by Unlocking Resources for 

Education Act

FY Fiscal Year

GEAR UP Gaining Early Awareness and Readiness for Undergraduate 

Programs

GEER Governor’s Emergency Education Relief

GLBA Gramm-Leach-Bliley Act

GPRA Government Performance and Results Act of 1993

GPRAMA Government Performance and Results Act Modernization 

Act of 2010

GU Gallaudet University

HBCU Historically Black College and University

HE Higher Education

HEA Higher Education Act of 1965

HEAL Health Education Assistance Loan

HEERF Higher Education Emergency Relief Fund

HSI STEM Hispanic Serving Institution Science, Technology, 

Engineering, and Mathematics 

I&I Innovation and Improvement

I&M Innovation and Modernization

IA Impact Aid

ICT Information and Communications Technologies

IDEA Individuals with Disabilities Education Act

IE Indian Education

IES Institute of Education Sciences

IET Integrated Education and Training
Appendix I. Glossary of Acronyms and Abbreviations 233

Acronym Definition

IHE Institution of Higher Education

IPEDS Integrated Postsecondary Education Data System

IT Information Technology

K–12 Kindergarten Through Grade 12

LEA Local Educational Agency

LINCS Literacy Information and Communication System

MSAP Magnet Schools Assistance Program

N/A Not Applicable

NAEP National Assessment of Educational Progress

NCES National Center for Education Statistics

NES National Engagement Strategy

Next Gen FSA Next Generation Financial Services Environment

NTID National Technical Institute for the Deaf

NRS National Reporting System for Adult Education

NSA National Security Agency

OCDO Office of the Chief Data Officer

OCIO Office of the Chief Information Officer

OCR Office for Civil Rights

OCTAE Office of Career, Technical, and Adult Education

OEDARM Office of Enterprise Data Analytics and Risk Management

OELA Office of English Language Acquisition

OESE Office of Elementary and Secondary Education

OET Office of Educational Technology

OFO Office of Finance and Operations

OIG Office of Inspector General

OMB Office of Management and Budget

OPE Office of Postsecondary Education

OPEPD Office of Planning, Evaluation, and Policy Development

OPM Office of Personnel Management

OSEP Office of Special Education Programs

OSERS Office of Special Education and Rehabilitative Services

PA Program Administration

PMA President’s Management Agenda

POC Principal Operating Component

P–12 Prekindergarten Through Grade 12

PSLF Public Service Loan Forgiveness

PY Program Year
234 FY 2023 Annual Performance Plan and FY 2021 Annual Performance Report

Acronym Definition

REHAB Rehabilitation Services and Disability Research

RMA Risk Management Assessment

RSA Rehabilitation Services Administration

SAA Student Aid Administration

SASFAA Southern Association of Student Financial Aid 

Administrators

SCRM Supply Chain Risk Management

SE Special Education

SEA State Educational Agency

SFA Student Financial Assistance

SIP Strengthening Institutions Program

SPPO Student Privacy Policy Office

SSCE Safe Schools and Citizenship Education

STEM Science, Technology, Engineering, and Mathematics

SY School Year

TBD To Be Determined

TEACH Teacher Education Assistance for College and Higher 

Education

TIMSS Trends in International Mathematics and Science Study

VDP Vulnerability Disclosure Policy

VR Vocational Rehabilitation

WIOA Workforce Innovation and Opportunity Act
U.S. Department of Education

Miguel A. Cardona, Ed.D.

Secretary

August 2, 2022

This report is in the public domain. Authorization to reproduce it in whole or in part is 

granted. While permission to reprint this publication is not necessary, the citation should be:

U.S. Department of Education, FY 2023 Annual Performance Plan and FY 2021 Annual 

Performance Report: Washington, D.C., 20202.

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