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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 59

Goal 4. Equity: 

Increase educational opportunities for underserved students and 

reduce discrimination so that all students are well-positioned to 

succeed. 

Goal Leader: Assistant Secretary for Office for Civil Rights (OCR) 

Objective 4.1: Equitable Educational Opportunities. Increase all students’ access to 

educational opportunities with a focus on closing achievement gaps, and remove barriers that 

students face based on their race, ethnicity, or national origin; sex; sexual orientation; gender 

identity or expression; disability; English language ability; religion; socioeconomic status; or 

geographical location.

Objective 4.2: Civil Rights Compliance. Ensure educational institutions’ awareness of and 

compliance with federal civil rights obligations and enhance the public’s knowledge of their civil 

rights. 

Public Benefit

Equal access to equitable opportunities in education permeates every facet of the Department’s 

work and is the cornerstone of the mission to promote student achievement and preparation for 

global competitiveness. Through grant programs, loans, technical assistance, and civil rights 

enforcement, the Department improves educational opportunities and outcomes for all 

students—regardless of income, home language, ZIP code, age, sex, sexual orientation, gender 

identity, race, or disability. 

The Department works to serve students from their very first instructional experiences through 

early learning investments and to serve P-12 students through the implementation of the ESSA, 

which was signed into law in December 2015 and goes into effect with the 2017–18 school year. 

The ESSA continues the ESEA’s longstanding focus on providing resources and supports for 

students from low-income families, students with disabilities, English learners, and students who 

are migrant, homeless, or in foster care. The ESSA also focuses on providing support and 

interventions for the lowest-achieving schools as well as providing equal access to excellent 

educators for low-income and minority students. 

In addition to enhancing educational opportunities, the Department also works to eliminate 

discriminatory barriers that might prevent students from achieving their fullest potential. One 

way that the Department continues to monitor progress toward closing equity gaps in the 

nation’s schools is through the biennial CRDC. In FY 2016, the Department released its 

2013–14 CRDC report, demonstrating that despite significant work from districts across the 

country, persistent disparities remain, highlighting the need for a continued focus on educational 

equity. Another way is through continued efforts in OCR to address issues of equity in 

educational opportunity through both its policy and robust enforcement work. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 60

Goal 4 Discretionary Resources

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

FY 2016

FY 2017

FY 2018

$1,440

$1,437

$1,362

(Dollars in millions)

Major Discretionary Programs and Activities57 Supporting Goal 4 Performance 

Metrics [Dollars in Millions]

POC Account Obj. Program 

FY 2016 

Appropriation 

FY 2017 

Annualized 

CR58

FY 2018 

President’s 

Budget 

OCR OCR Office for Civil Rights 107 107 107

OESE ED 4.1 State agency programs: Migrant 375 374 374

OESE IE NA Indian Education: Grants to local 

educational agencies 100 100 100

OESE IE NA Indian Education: Special programs 

for Indian children 38 38 38

OESE SIP NA Alaska Native education 32 32 --

OESE SIP NA Native Hawaiian education 33 33 --

OESE SIP 4.1, 4.2 Training and advisory services 7 7 7 

OESE/OELA ELA 4.1, 4.2 English Language Acquisition 737 736 736

OSERS SE NA Special Olympics education programs 10 10 --

TOTAL, GOAL 4 1,440 1,437 1,362 

POC = Principal Operating Component. 

CR = Continuing Resolution. 

NA = Not applicable. 

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

 

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

noncompetitive/formula programs. 

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

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

provided by the continuing resolution.
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 61

Goal 4: Details

U.S. Department of 

Education 

Indicators of Success

Baseline

Actuals

Current 

Year 

Target

Current 

Year 

Results

Actual-to-Target

2016 Out-Year Targets

Trend Line 

(Actuals) Indicator Measurement 

Direction 2014 2015 2016 2016 2016

Missed59 Exceeded60 2017 2018

4.1.A. National high school 

graduation rate61

SY: 

2011–12

80.0% 

SY: 

2012–13 

81.4% 

SY: 

2013–14

82.3% 

SY: 

2014–15

83.2%

FY: 

2016

84.5%62

NOT MET

 

85.0% 85.3% 

 

INCREASE 

4.1.B. Gap in the 

graduation rate between 

students from low-income 

families and all students63

SY: 

2013–14 

7.7% 

SY: 

2012–13 

8.1% 

SY: 

2013–14

7.7% 

SY: 

2014–15

7.1%

FY: 

2016

7.6%64

MET

 

7.4% 6.8% 

 

DECREASE 

 

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

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

61 Metric is aligned with an Agency Priority Goal (APG). 

62 SY 2014–15 actuals are being used to compare against the FY 2016 target; SY 2015–16 (aligns with FY 2016) data not available until 2017. 

63 Metric is aligned with an APG. 

64 SY 2014–15 actuals are being used to compare against the FY 2016 target; SY 2015–16 (aligns with FY 2016) data not available until 2017. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 62

U.S. Department of

Education

Indicators of Success

Baseline

Actuals

Current

Year 

Target

Current

Year 

Results

Actual-to-Target

2016 Out-Year Targets

Trend Line

(Actuals) Indicator Measurement

Direction

2014 2015 2016 2016 2016

Missed

59 Exceeded60 2017 2018

4.1.C. Number of schools 

that do not have a gap or 

that decreased the gap 

between students from 

low-income65 families and 

the state average of all 

students66, 67

SY: 2013–

14

13,048 

NA SY: 

2013–14

13,048 

SY: 

2014–15

13,158

FY: 

2016

13,24468

NOT MET 13,442 13,487 

 

INCREASE 

4.2.A. Percentage of 

proactive civil rights 

investigations launched 

annually that address 

areas of concentration in 

civil rights enforcement69 

FY: 2013 

7.0% 

FY: 2014 

21.0% 

FY: 

2015

16.0% 

FY: 

2016

20.0%

FY: 

2016

12.0%

MET

 

15.0% 15.0% 

 INCREASE 

 

65 For purposes of this metric, eligibility for Free or Reduced Price Lunches (FRPL) under the National School Lunch Program (NSLP) is the primary source of data for identifying 

economically disadvantaged (low-income) students for reporting on student outcomes, including graduation rates. The Department is currently considering options for redefining 

“economically disadvantaged” students for student outcomes reporting and other uses. Should the Department make such a change, data on economically disadvantaged students 

may not be entirely comparable with data for previous years. 

66 Metric is aligned with an Agency Priority Goal (APG). 

67 This measure is calculated as the number of schools in which the ACGR for low-income students was equal to or greater than the statewide ACGR for all students PLUS the number 

of schools with a gap that reduced the size of this gap by 5 percent or more. Initially the data points in the 2015 APR were for a percentage calculation versus the number. 

68 SY 2014–15 actuals are being used to compare against the FY 2016 target; SY 2015–16 (aligns with FY 2016) data not available until 2017. 

69 Retiring metric at conclusion of FY 2016. Please see appendix B for additional information pertaining to the metric’s retirement. If a new metric is being proposed, the new metric will 

be directly below the indicator measurement direction of the metric being retired. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 63

U.S. Department of 

Education 

Indicators of Success

Baseline 

Actuals 

Current

Year 

Target 

Current 

Year 

Results 

Actual-to-Target 

2016 Out-Year Targets

Trend Line 

(Actuals) Indicator Measurement 

Direction 2014 2015 2016 2016 2016

Missed59 Exceeded60 2017 2018

New Metric: Average 

number of cases 

substantively70 resolved, 

per investigative staff 

member 

FY: 2016 

5.17 

NA NA FY: 

2016

5.17

NA NA NA 5.27 5.32 NA

4.2.B. Percentage of 

proactive civil rights 

investigations resolved 

annually that address 

areas of concentration in 

civil rights enforcement71

FY: 2013 

8.0% 

FY: 

2014

15.0% 

FY: 

2015

20.0% 

FY: 

2016

33.0%

FY: 

2016

12.0%

MET

 

16.0% 18.0% 

 

INCREASE 

New Metric: Number of 

technical assistance 

presentations and press 

releases on Office for Civil 

Rights’ work

FY: 2016 

317

NA NA FY: 

2016

317

NA NA NA 333 341 NA

 

70 “Substantively” resolved includes cases with the following outcomes: finding of insufficient evidence, closure through early complaint resolution (ECR) process, cases that resulted in 

change without an agreement, and cases that resulted in change with a resolution agreement. The ultimate disposition of a case (that is, the case outcome) is tracked in OCR’s 

database and includes the above categories. For example, an outcome that is considered not substantive would be a dismissal. 

71 Retiring metric at conclusion of FY 2016. Please see appendix B for additional information pertaining to the metric’s retirement. If a new metric is being proposed, the new metric will 

be directly below the indicator measurement direction of the metric being retired. 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 64

Goal 4 FY 2016 Indicator Performance Summary 

3 (60.0%)

2 (40.0%)

0

1

2

3

4

5

6

Met Not Met

5 Total Indicators 12 Total Indicators

NA = Not applicable. 

TBD = To be determined. 

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

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

Data Sources and Frequency of Collection: 

4.1.A. National Center for Education Statistics (NCES) EDFacts; annually 

4.1.B. NCES EDFacts; annually 

4.1.C. NCES EDFacts; annually

4.2.A. Office for Civil Rights’ (OCR) Case Management System (CMS) and Document Management (DM) systems; quarterly 

4.2.B. OCR CMS and DM systems; quarterly 

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

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

FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 65

Analysis and Next Steps by Objective

Objective 4.1: Equitable Educational Opportunities. Increase all students’ access to 

educational opportunities with a focus on closing achievement gaps, and remove 

barriers that students face based on their race, ethnicity, or national origin; sex; sexual 

orientation; gender identity or expression; disability; English language ability; religion; 

socioeconomic status; or geographical location. 

FY 2016 Implementation Strategy 

The Department is committed to pursuing equity at all stages of education, from birth through 

adulthood, by supporting institutions of: early learning; elementary and secondary education; 

career and technical, and postsecondary education; adult education; workforce development; 

and independent living programs. The Department’s goal is to ensure that all—not just a 

subset—of the nation’s children have access to high-quality preschool, graduate high school, 

and obtain the skills necessary to succeed in college, in the pursuit of a meaningful career, and 

in their lives. Accordingly, the equity goal incorporates programs and initiatives across the 

Department. 

In December 2015, Congress passed the ESSA, which reauthorized and amended the ESEA. 

The ESSA continued the ESEA’s longstanding commitment to equal opportunity for all students 

with its focus on ensuring that students from low-income families and students of color have 

equitable access to excellent educators and its requirement that meaningful actions are taken to 

improve the lowest-performing schools. Throughout FY 2016, the Department worked diligently 

to analyze the changes to the ESEA made by the ESSA and provide guidance and technical 

assistance to states, districts, and the public on the new law, as well as on the transition to the 

new law. The Department coordinated this support across offices, including OESE, OSERS, the 

Office of English Language Acquisition (OELA), OII, and the Office of Planning, Evaluation and 

Policy Development (OPEPD). 

In addition to supporting states as they prepare to implement the ESSA, the Department also 

worked to improve equitable access by removing discretionary barriers to education. In 

FY 2016, OCR continued its work to enhance equitable opportunity for students through the 

development of civil rights guidance materials and by enforcing federal civil rights laws to 

remove discriminatory barriers to education. 

OCR and the Office of the General Counsel (OGC) continued to support the equity goal of 

increasing educational opportunities for underserved students and reducing discrimination by 

representing the Department in litigation. In FY 2016, OGC worked with attorneys from OCR 

and the Department of Justice (DOJ) to file 13 statements of interest and amicus curiae briefs in 

federal courts to clarify the government’s interpretation of civil rights laws. 

FY 2016 Barriers to Success 

A key challenge is the continued implementation of the changes to the ESEA made by the 

ESSA in addition to managing the transition from the No Child Left Behind Act (NCLB). Limited 

resources are a risk to achieving this strategic objective, and pose challenges to 

implementation. 

As SIG ends, limited capacity at the state, district, and school levels could impact the 

sustainability of reforms in schools and support for the implementation of school-based 
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FY 2016 Annual Performance Report and FY 2018 Annual Performance Plan—U.S. Department of Education 66

interventions. Ensuring quality and completeness of data at the state and local levels to enable 

better measurement of success also remains a challenge. 

Key Milestones and Future Actions 

Staff will continue to support states on their Educator Equity Plans. In FY 2017, the Department 

intends to host additional Educator Equity Labs and to continue to provide support for states 

through OESE program officers and the EASN. 

On October 11, 2016, the Department announced awards to expand opportunity in CTE and 

dual language programs under the PFS Initiative. Additionally, the Department awarded a 

technical assistance grant to the Boston-based Social Finance Inc., in partnership with Jobs for 

the Future, in order to improve outcomes for underserved, high-need youth, through the 

development of PFS projects to implement new or scale up existing high-quality CTE

opportunities. The Department also awarded a contract to the Washington, DC-based AIR to 

identify effective strategies to improve outcomes for children learning English. The study 

focuses on early learning-dual language programs for English learners from pre-K to grade 3. 

The Department also may consider revising its strategies for achieving the objective to reflect 

changes to programs made by the Congress in the ESSA as well as the policy priorities of the 

new administration. 

Objective 4.2: Civil Rights Compliance. Ensure educational institutions’ awareness of 

and compliance with federal civil rights obligations and enhance the public’s knowledge 

of their civil rights.

FY 2016 Implementation Strategy 

OCR’s implementation strategy for this strategic objective involves the issuance of policy 

guidance, robust data collection, vigorous enforcement through investigations and monitoring, 

proactive technical assistance and engagement with stakeholders through interagency working 

groups, and the dissemination of information and response to public inquiries to enhance the 

public’s knowledge of their civil rights. In the policy arena, in FY 2016, OCR issued five policy 

guidance documents. 

In FY 2016, OCR unveiled its 2013–14 CRDC, published a First Look document detailing 

preliminary findings, and, for the first time ever, released the full, privacy-protected data set for 

the 2013–14 CRDC, which is available for direct download from the Department’s webpage. 

OCR continues to work with other offices in the Department to prepare and publish data sheets 

based on the CRDC 2013–14 data findings, including the rollout of chronic absenteeism data

and website, which were published in June.

In FY 2015, OCR overhauled its website to increase usability and to provide more information to 

the public, and in FY 2016, OCR continued to update its website with case resolution 

agreements and letters, policy guidance documents, technical assistance materials, and 

information about OCR’s enforcement processes. 

OCR continued to provide excellent customer service to enhance the public’s knowledge of their 

civil rights by responding to public inquiries for information. Through the Customer Service 

Team, OCR responded to 5,025 incoming correspondence inquiries and answered 8,019 OCR 

“Hotline” call inquiries in FY 2016. The Department also distributed 701 copies of selected OCR 

publications in response to inquiries from advocacy groups, educational institutions, state and 
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local educational agencies, parents, students, members of the general public, and enforcement 

offices. 

FY 2016 Barriers to Success 

In FY 2016, OCR received a record-high number of complaints (16,720) and resolved 

8,631 complaints despite challenges facing its operations, including a massive long-term 

staffing shortage and compressing and moving office space. Complaint volume and limited 

resources impacted OCR’s ability to conduct and resolve proactive investigations and to 

conduct proactive technical assistance. OCR continues to leverage all resources, both staffing 

and technological, to ensure that its enforcement and outreach efforts are timely, efficient, and 

effective, and used the minimal budgetary relief provided in FY 2016 to recruit, hire, and 

on-board new staff to support the more than 60 percent increase in complaint volume. 

Key Milestones and Future Actions 

In FY 2017, OCR will continue its focus on improving the quality and efficiency of investigations 

through training, technology, innovation, and strategic partnerships; expanding transparency; 

increasing proactive efforts to highlight the full range of OCR’s work through the release of data 

and materials to the public; and expanding technical assistance available to the public. In 

December 2016, OCR released its FY 2016 Annual Report, detailing efforts to protect students’ 

civil rights.