Department of Education

OFFICE FOR CIVIL RIGHTS

Fiscal Year 2013 Budget Request

CONTENTS

Page

Appropriations Language .................................................................................................... BB-1

Amounts Available for Obligation ........................................................................................ BB-2

Obligations by Object Classification .................................................................................... BB-3

Summary of Changes ......................................................................................................... BB-4

Authorizing Legislation........................................................................................................ BB-6

Appropriations History......................................................................................................... BB-7

Office for Civil Rights..................................................................................................... BB-8
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Appropriations Language

For expenses necessary for the Office for Civil Rights, as authorized by section 203 of 

the Department of Education Organization Act, [$102,818,000] $105,318,000. (Department of 

Education Appropriations Act, 2012.)
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Obligations by Object Classification BB-2 ...........................................................

Amounts Available for Obligation

(dollars in thousands)

Appropriation and Adjustments 2011 2012 2013

Discretionary budget authority:

Discretionar y budget authority:Annual appropriation ................................................ $103,024 $102,818 $105,318

Discretionar y budget authority:Across-the-board reduction (P.L. 112-10)................. -206 0 0

Discretionar y budget authority:Across-the-board reduction (P.L. 112-74)................. 0 194 0

Discretionar y budget authority:Subtotal, appropriation ............................................. 102,818 102,624 105,318

Discretionar y budget authority:Unobligated balance, expiring -226 0 0

Total, direct obligations ........................................... 102,592 102,624 105,318
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Obligations by Object Classification BB-3 ...........................................................

Obligati ons by Obj ect Classi fication

CHANGE FROM

Object Class 2011 2012 2013 2012 to 2013

11.10 Full-time permanent $58,923 $58,557 $59,276 $719

11.31 Full-time temporary 1,267 1,226 1,252 26

11.32 Part-time 1,699 1,839 1,878 39

11.33 Consultants 153 0 0 0

11.51 Overtime 8 18 18 0

11.52 Awards 736 601 601 0

11.80 Other Compensation 0 0 0 0

 Compensation subtotal 62,786 62,241 63,025 784

12.00 Benefits 17,248 16,756 17,094 338

13.10 Benefits for former personnel 0 0 0 0

 Comp/benefits subtotal 80,034 78,997 80,119 1,122

21.00 Travel 1,064 900 826 (74)

22.00 Transportation of things 38 0 0 0

23.10 Rental Payments to GSA 8,173 8,259 8,259 0

23.31 Communications 193 162 193 31

23.32 Postage/fees 2 36 36 0

 Subtotal 23 8,368 8,457 8,488 31

24.00 Printing & Reproduction 24 13 13 0

25.10 Advisory and Assistance Svcs 5 0 0 0

25.21 Other Services 1,282 1,005 985 (20)

25.22 Training/Tuition/Contracts 92 335 320 (15)

25.23 Field Readers 0 0 0 0

25.30 Goods/Services from Gov't 2,867 3,082 2,876 (206)

25.40 Operations/Maint of Facilities 0 1 1 0

25.50 Research & Development 0 0 0 0

25.71 Operations/Maint of Equipment 13 15 15 0

25.72 IT Services/Contracts 8,476 9,587 11,425 1,838

 Subtotal 25 12,735 14,025 15,622 1,597

26.00 Supplies 150 147 154 7

31.10 IT Equipment/Software 114 85 96 11

31.30 Other Equipment 31 0 0 0

 Subtotal 31 145 85 96 11

32.00 Building Alterations 34 0 0 0

41.10 Grants 0 0 0 0

41.23B Admin Expense Allowance 0 0 0 0

43.10 Interest and Dividends 0 0 0 0

Total 102,592 102,624 105,318 2,694

Obligations by Object Classification

(dollars in thousands)

Click here for accessible version
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Obligations by Object Classification BB-4 ...........................................................

Summary of Changes

(dollars in thousands)

2012.................................................................................................. $102,624

2013.................................................................................................. 105,318

Net change ................................................................ +2,694

Increases: 2012 base Change from base

Built in:

Built in Increase in salaries primarily for minor changes 

in average salaries, a proposed Governmentwide

pay raise, and one additional paid day in 2013. $61,622 +$784

Built in Increase in benefits for OCR’s share of health,

retirement, and other benefits. 16,756 +338

Program:

ProgramIncrease in communications. 162 +31

ProgramIncrease in information technology services/

contracts for the Civil Rights Data Collection. 9,587 +1,838

ProgramSmall increase in supplies for copy paper. 147 +7

ProgramSmall increase in Information Technology 

equipment/software. 85 +11

Subtotal, increases +3,009
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Obligations by Object Classification BB-5 ...........................................................

Summary of Changes

(dollars in thousands)

Decreases: 2012 base Change from base

Program:

ProgramDecrease in travel. $900 -$74

ProgramDecrease in other services due to Equity 

Commission completion. 1,005 -20

ProgramDecrease in training due from lower projected 

costs for regional training. 335 -15

ProgramDecrease in goods/services due to lower project 

amount for security guards. 3,082 -206

Subtotal, decreases -315

Net Change +2,694
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Authorizing Legislation

(dollars in thousands)

Activity

2012 

Authorized

footnote

2012 

Estimate

footnote

2013 

Authorized

footnote

2013 

Request

footnote

Civil Rights (DEOA) Indefinite $102,624 Indefinite $105,318

Total definite authorization 0 0

Total annual appropriation 102,624 105,318

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Appropriations History

(dollars in thousands)

Year

Budget 

Estimate 

to Congress

House 

Allowance Foot

-

note

Senate 

Allowance Foot

-

note AppropriationFoot

-

note

2004 $91,275 $91,275 $77,884 $88,305

2005 92,801 90,248 92,801 89,375

2006 91,526 91,526 91,526 90,611

2007 92,866 N/A1 N/A191,2051

2008 93,771 93,771 93,771 89,612

2009 96,826 96,040289,612296,826

2009 Transfer -60

2010 103,024 103,024 103,0243103,024

2011 105,700 103,0244105,7003102,8185

2012 107,772 102,8186102,818

6

102,624

2013 105,318

1

This account operated under a full-year continuing resolution (P.L. 110-5). House and Senate Allowance 

amounts are shown as N/A (Not Available) because neither body passed a separate appropriations bill.

2

The levels for the House and Senate allowances reflect action on the regular annual 2009 appropriations bill, 

which proceeded in the 110th Congress only through the House Subcommittee and the Senate Committee.

3

 The level for the Senate allowance reflects Committee action only. 

4

 The level for the House allowance reflects the House-passed full-year continuing resolution. 

5

 The level for appropriation reflects the Department of Defense and Full-Year Continuing Appropriations Act, 2011

(P.L. 112-10). 

6

 The level for the House allowance reflects an introduced bill and the level for the Senate allowance reflects

Senate Committee action only.
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Office for Civil Rights

 (DEOA, section 203)

(dollars in thousands)

FY 2013 Authorization: Indefinite

Budget Authority:

Annual Fund 2012 2013 Change

Personnel Costs $78,997 $80,119 +$1,122

Non-personnel costs 23,627 25,199 +1,572

Total $102,624 $105,318 +2,694

FTE 603 598 -5

PROGRAM DESCRIPTION

The mission of the Office for Civil Rights (OCR) is to ensure equal access to education and to 

promote educational excellence throughout the Nation through vigorous enforcement of civil 

rights laws. This is in alignment with the Department’s mission to promote student achievement 

and preparation for global competitiveness by fostering educational excellence and ensuring 

equal access.

OCR ensures equal access to education by enforcing Federal civil rights laws and implementing 

regulations that prohibit discrimination on the basis of race, color, national origin, sex, disability, 

and age in all programs and institutions that receive financial assistance from the Department. 

These laws are:

 Title VI of the Civil Rights Act of 1964 (prohibiting race, color, and national origin 

discrimination);

 Title IX of the Education Amendments of 1972 (prohibiting sex discrimination);

 Section 504 of the Rehabilitation Act of 1973 (prohibiting disability discrimination);

 Age Discrimination Act of 1975 (prohibiting age discrimination); 

 Title II of the Americans with Disabilities Act of 1990 (prohibiting disability discrimination in 

State and local government services __ whether or not programs receive Federal financial 

assistance); and

 Boy Scouts of America Equal Access Act of 2002 (prohibiting public elementary and 

secondary schools, local educational agencies, and State educational agencies from 

denying equal access or a fair opportunity to meet, or discriminating against, any group 

officially affiliated with the Boy Scouts of America or any other youth group listed as a 

patriotic society in Title 36 of the United States Code).
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These and other civil rights laws extend to a wide range of Federal recipients, including: all 

State educational agencies; approximately 14,000 local educational agencies; nearly 6,500 

postsecondary institutions, including proprietary schools and community colleges; 80 State 

vocational rehabilitation agencies and their sub-recipients; as well as other institutions that 

receive U.S. Department of Education financial assistance, such as libraries, museums, and 

correctional institutions. More than 79 million individuals are beneficiaries of the financial 

assistance these institutions and agencies receive on behalf of the Department.

OCR PROGRAM INFORMATION

Organizational Structure and Staffing

The Office for Civil Rights requires a staffing level of 598 full-time equivalents (FTEs) to support 

its mission. Currently, 88 percent of OCR’s staff are located in 12 enforcement offices 

throughout the country, and the remaining 12 percent occupies OCR’s headquarters office. The 

Headquarters office and DC Metro Enforcement offices are located in Washington, DC, and the 

remaining 11 Enforcement offices are located in 10 regional centers and 1 field office

throughout the Nation: Boston, New York, Philadelphia, Atlanta, Dallas, Chicago, Kansas City,

Denver, San Francisco, Seattle, and Cleveland (field office).

OCR is headed by an Assistant Secretary. The Assistant Secretary is supported by a Principal 

Deputy Assistant Secretary. Deputy Assistant Secretaries for Enforcement and Policy, as well 

as the Resource Management Group Director, report to the Principal Deputy Assistant 

Secretary. The Deputy Assistant Secretary for Enforcement is responsible for oversight of the 

12 enforcement offices and 3 Enforcement Directors who provide day-to-day leadership to those 

offices. The Deputy Assistant Secretary for Policy oversees the headquarters’ Program Legal 

Group that provides a range of legal services including: developing policy guidance on civil 

rights issues, developing technical assistance materials, consulting on cases from the 

enforcement offices and helping ensure that civil rights issues are appropriately addressed 

within Department programs and initiatives and among Federal Agencies. This group also 

collaborates with other Department offices on the Civil Rights Data Collection (CRDC), and 

oversees CRDC data analysis and dissemination. The Resource Management Group supports 

the Office nationwide in the areas of customer service, information technology, budget, 

procurement, and human capital management.

Removing the barriers to equal educational opportunity is urgently needed if we are to meet 

President Obama’s challenge to the Nation to lead the world in college graduates by 2020. To 

achieve this goal, all students must have a fair chance at a high quality education. To that end, 

OCR has reinvigorated its policy, enforcement, and compliance functions. OCR is implementing 

an ambitious multi-year strategic plan focused on activities that engage both recipients and 

beneficiaries in addressing priority issues of educational inequity. OCR has become a more 

effective and visible organization, and requests for OCR’s services are increasing. Complaint 

receipts are not only rising (a 16 percent increase is projected from FY 2010 to FY 2013), but

becoming increasingly complex, and cases are closing with relief for the complainant and a 

change in institutional policy and/or practice to comply with the law. Compliance reviews have 

resulted in resolution agreements with robust remedies that not only remediate violations, but 

help prevent future discrimination. “Dear Colleague” letters have been issued in priority areas to 

inform recipients about their legal obligations, and the legal framework of complaint
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investigations and compliance reviews. Requests for technical assistance have increased, and 

OCR is focusing on monitoring activities to ensure that commitments made to remedy civil rights 

violations are executed. 

OCR is committed to increased efficiency in work processes and is continuously refining 

investigative procedures and information management systems. OCR’s newly developed 

electronic dashboard enables senior managers to monitor case activities nationwide in real time,

ensuring increased agency accountability. Updated technical assistance presentations posted 

on OCR’s Intranet site are readily available for staff use, and customized electronic civil rights 

training is available online. To maximize the effectiveness of robust remedies in priority areas, 

all compliance review findings and remedies, as well as those from selected complaint 

investigations, have been posted on ED’s Internet site where they can serve as models for the 

field, for schools to proactively come into compliance with the law, and to inform parents and the 

public about students’ rights under the law. 

All of these productivity improvements enable OCR to manage its rising workload. However, 

the challenge is to continue to address issues of systemic discrimination through strengthened 

proactive compliance and enforcement activities. There is no process or technology that can 

take the place of adequate staffing. OCR’s work is complex, labor intensive, and requires a 

sufficient number of well-educated and highly trained staff. Full implementation of OCR’s 

strategic plan is critical to closing the Nation’s achievement gap.

Boston

New York City

Philadelphia

Washington, D.C.

(Headquarters

and field office)

Regional Offices

Field Offices

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FY 2013 Headquarters/Regional Staff

Seattle

San

Francisco Denver Kansas

City

Chicago

Atlanta

Dallas

Cleveland

Regional & Field Offices: 529 FTE

Headquarters: 69 FTE Total Staff level: 598 FTE
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Funding levels for the past 5 fiscal years were as follows:

Fiscal Year (dollars in thousands)

2008.................................................................................... $89,612

2009.................................................................................... 96,826

2010.................................................................................... 103,024

2011.................................................................................... 102,818

2012.................................................................................... 102,624

FY 2013 BUDGET REQUEST

The total FY 2013 request is $105.318 million with a full-time equivalent (FTE) level of 598. 

This request is $2.694 million, or a 2.6 percent increase, over the FY 2012 level of 

$102.624 million.

 The Personnel Compensation and Benefits (PC&B) request of $80.119 million is an 

increase of $1.122 million over the FY 2012 level due to an increase in OCR’s average 

compensation and benefits and 261 paid days. The FTE level of 598, a decrease of 

5 FTE from the 2012 level, will help ensure successful management of OCR’s

enforcement programs, priorities, and complaint resolution. OCR projects complaint 

receipts of 7,841 in FY 2013, an increase of 13.1 percent from FY 2010, the largest 

number of complaints ever received by the Agency. Managing the increased complaint 

workload and implementing strategic priorities will require a minimum of 598 FTE.

 OCR’s FY 2013 share of the Department’s centralized services (overhead) amount of 

$21.112 million reflects a decrease of $195,000 below the FY 2012 level of 

$21.307 million due to a decrease in estimated security guard services. 

 Non-Personnel costs, excluding centralized services, will be $4.087 million, or 

$1.767 million above the FY 2012 level. The majority of non-personnel funds are for the

Civil Rights Data Collection (CRDC), and for analysis, travel, training, legal services, and

software support to operate OCR’s Case and Activity Management System (CAMS).
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FY 2013 Budget

(dollars in thousands)

Total: $105.318

FTE: 598

Personnel Costs

For FY 2013, PC&B costs are 76 percent of the request, or $80.119 million, $1.122 million over 

the FY 2012 level of $78.997 million. As the chart below shows, over the past 7 years, from 

2004 to 2010, OCR reduced its staffing level by 8.5 percent while complaint receipts rose by 

37 percent. 

Awards & Overtime

OCR is requesting $601,000 for awards and $18,000 for overtime for a total of $619,000, the 

same as the FY 2012 level. OCR rewards staff based upon performance. The requested 

amount will enable OCR to provide appropriate recognition for high performance and will 

*Non-Personnel:

Travel

Trans. of things

Printing

Training

Communications

Copier rentals

Supplies

Non-IT equip./

furniture

Technology

Building 

alterations

Personnel

$80.119

76%

(includes 

Overtime & 

Awards)

Centralized 

Services

$21.112

20%

*NonPersonnel

$4.087

4%

540

560

580

600

620

640

660

680

FTE Level

5,000

5,500

6,000

6,500

7,000

7,500

8,000

Complaints Received

FTE Usage 655 640 630 614 614 582 585 619 603 598

Complaints Received 5,044 5,533 5,805 5,894 6,194 6,364 6,933 7,841 7,841 7,841

FY 04 FY 05 FY 06 FY 07 FY 08 FY 09 FY 10 FY 11 FY 12* FY 13*

*Estimated 

C o mplaints
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compensate those employees who work additional hours to complete critical projects within 

constricted timeframes, consistent with departmental policy.

Non-Personnel Costs

The total request for non-personnel activities in FY 2013, excluding departmental centralized 

services, is $4.087 million, or $1.767 million above the 2012 level. OCR spends the majority of 

its non-personnel funds for the CRDC, travel, and CAMS. In FY 2013, increases are requested 

for Case and Activity Management System (CAMS) and the CRDC. The requested nonpersonnel funds will provide program support to resolve complaints of discrimination filed by the 

public and to ensure that institutions receiving Federal financial assistance are in compliance 

with the civil rights laws enforced by OCR.

Below is a summary of the resources required for OCR to execute its mission and strategic 

goals:

Information Technology Services/Contracts — OCR is requesting a total of $2.732 million. The

funding includes the CRDC ($2.477 million), an increase of $1.614 million over the FY 2012 

level, and CAMS ($255,000).

 The CRDC and Analysis funds in FY 2013 will be used to complete activities relating to the 

2011-12 CRDC, which will collect data from all school districts. Due to reduced funding in 

FY 2012, these activities may need to be scaled back. The 2011-12 universal survey will 

provide OCR with current information about all school districts for investigating complaints

and making decisions about proactive activities. In addition, stakeholders including 

parents, school districts, other Department of Education staff, the Department of Justice, 

Congress, and the public will have access to the information for research, compliance, and 

public policy purposes. The last universal survey was conducted in the 2000-2001 school 

year. Since then, important changes have occurred in the demographics of local 

education agencies and the students they serve. Funds will support enhanced data 

quality activities, the processing of the final data files, and all related analytical activities. 

In addition, the funds will enable OCR to make the data available to the Department and 

the public through the CRDC Web site, as well as support planning activities for the next 

data collection. 

 OCR’s CAMS is an electronic tracking system used to record OCR’s case status and store 

the documents associated with each case. It uses a combination of three software 

applications: Case Management System (CMS), Activity Management System, and Open 

Text Document Management System with Records Management function. The $255,000 

funding for this project provides for: (a) enhancements to apply business process changes 

and to improve the usage of these core systems; (b) compliance with up-to-date 

departmental IT environment; and (c) software subscription services to maintain version 

upgrades and technical phone support on the Open Text products.

Printing — OCR is requesting $13,000 for printing, which is level-funded at the FY 2012 level. 

In 2013, these funds will be used to print updated pamphlets in various languages; the Annual 

Report to Congress; OCR letterhead; and restocking OCR’s publications inventory.
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Travel — OCR is requesting a travel budget of $826,000, a decrease of $74,000 below the 

FY 2012 level. The majority of OCR’s travel is directly associated with investigating complaints, 

conducting compliance reviews, monitoring corrective action plans, providing technical 

assistance, and conducting other compliance activities. Complaint investigations and 

compliance reviews often require staff to go onsite to gather data and conduct interviews to 

determine if civil rights laws have been violated. Travel costs are also associated with 

mandatory training, conferences, workshops, invitational speakers, and OCR-wide management 

meetings in central locations. The amount requested is necessary to support OCR’s proactive 

compliance reviews and technical assistance activities, and for mandatory training/conferences. 

If funds are not provided at the requested level, OCR’s ability to execute its reinvigorated 

compliance and enforcement activities will be greatly diminished.

Communication/Copier Rentals and Operations and Maintenance of Facilities — OCR is 

requesting a total of $101,000, no increase over the FY 2012 level. The funds are needed for 

existing copier rental agreements ($100,000) and maintenance of facilities ($1,000).

Other Services/Goods and Services/Transportation — OCR is requesting a total of $206,000, a 

decrease of $16,000 from the FY 2012 level. The overall decrease results from the completion 

of the Equity and Excellence Commission. The request includes:

 Legal Research Services ($71,000) — This is level-funded at the FY 2012 level. The 

contract provides an automated full-text legal information system that offers online access 

to continuously updated and archived Federal and State case law, statutes of all 50 

States, legal publications, and law reports. If this project is not funded, it would eliminate 

the ability of attorneys to conduct desktop legal research and would necessitate their 

spending valuable time out of the office conducting legal research.

 All Other Services/Goods and Services/Transportation ($135,000) — These areas are 

level-funded at the FY 2012 level, with the exception of a $9,000 increase for purchase of 

two copiers and costs for leased vehicles. The projects include ED Pubs ($50,000),

conference space rentals ($36,000), and interagency services for General Services 

Administration leased vehicles and equipment ($49,000, an increase of $3,000).

Departmental Centralized Support 

Approximately 84 percent of the total non-personnel budget request is to cover OCR’s share of 

the Department’s centralized services. The FY 2013 request is $21.112 million, a decrease of 

$195,000 from the FY 2012 level of $21.307 million, due to lower projected guard services. The 

funding request will cover the cost of services such as: rent; departmental training; records 

information management support services; interagency agreements for administrative services 

provided by other Federal agencies, such as payroll processing, overtime utilities, training 

coordination and career counseling; and the EDUCATE contract that covers 

telecommunications, computers and related hardware, Blackberries, IT processing services, 

network support, end-user support, maintenance, and improvements.
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PROGRAM OUTPUT MEASURES

The following chart shows the number of OCR’s complaint receipts and resolutions since 

FY 2004. Actual data are shown for fiscal years 2004-2011 and estimates are shown for fiscal 

years 2012-2013. FY 2011 complaint receipts increased by 13.1 percent from the previous 

year. The number of complaint resolutions increased 9 percent, with a 7 percent increase in 

complaints that were resolved with agreements.

Complaint Receipts and Resolutions

FYs 2004 – 2013

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Resolutions 4,968 5,365 5,893 5,737 5,943 6,150 6,830 7,434 7,434 7,434

Receipts 5,044 5,533 5,805 5,894 6,194 6,364 6,933 7,841 7,841 7,841

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

FY 2011 complaints alleging discrimination on the basis of disability comprise 47 percent of total 

complaint receipts, as shown in the following chart.
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FY 2011 Complaint Caseload by Jurisdiction

(October 1, 2010 – September 30, 2011)

Race/National 

Origin

908 (14%)

Sex Discrimination

667 (11%)

Disability 

Discrimination

2,938 (47%)

Age Discrimination

117 (2%)

Multiple 

Jurisdictions

950 (15%)

Other Complaints

714 (11%)

Total Complaints - 6,294

PROGRAM PERFORMANCE INFORMATION

Performance Measures

OCR’s Government Performance and Results Act (GPRA) measures are designed to assess 

the efficiency and accessibility of the complaint resolution process. The first performance 

measure has two targets encompassing OCR’s entire complaint workload. Together, the two 

targets hold OCR accountable for efficient case resolution. OCR’s second performance 

measure looks at customer satisfaction through a customer service survey that is distributed 

after case resolution to both complainants and recipients. The survey measures courteous and 

considerate treatment of customers, prompt communication (oral and written) and clear and 

responsive communication (oral and written), and whether the customer is kept informed about 

his or her case. A fiscal year 2005 survey was used to establish baseline at 3.66 (on a scale of 

1 through 5).

Current performance measures for complaint workload:

Measure: Percentage of complaints resolved within 180 days.

Year Target Actual

2008 80 91

2009 80 92

2010 80 90

2011 80 92

2012 80

2013 80
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Measure: Percentage of complaints pending over 180 days.

Year Target Actual

2008 < 25 18

2009 < 25 15

2010 < 25 22

2011 < 25 18

2012 < 25

2013 < 25

Measure: Mean score of customer satisfaction survey.

Year Target Actual

2008 3.66 3.99

2009 3.66 3.93

2010 3.66 3.89

2011 3.66 3.86

2012 3.66

2013 3.66

Despite the increase in FY 2011 workload, OCR’s GPRA scores were relatively the same as in 

FY 2010. In addition to lower staffing levels, complaint receipts are rising and becoming more 

complex; OCR has implemented an ambitious proactive agenda of complex compliance reviews 

and technical assistance activities that directly support the Secretary and President’s education 

agenda; and there has been an increased number and increased monitoring of resolution 

agreements to ensure the entity’s full compliance. OCR is committed to keeping GPRA scores 

high as well as conducting the full range of proactive and monitoring activities. 

Revitalized Civil Rights Enforcement — Implementation of OCR’s Strategic Plan 

OCR is playing a role in realizing ED and the Administration’s strategy and goals of ensuring 

that the Nation’s struggling schools are transformed, that students have equitable access to 

great teachers, college- and career-ready coursework, and the true promise of a high-quality 

education. To transform levels of achievement in an increasingly diverse Nation, students must 

be free from discrimination and have equal access to a high-quality education. This goes to the 

heart of OCR’s mission of ensuring equal access to education and promoting educational 

excellence throughout the Nation through the vigorous enforcement of civil rights. 

In early FY 2010, OCR implemented its strategic plan with goals that align resources and 

compliance and enforcement activities for maximum impact. The five goals in OCR’s strategic 

plan provide an integrated approach to engaging parents, students, schools, colleges and 

universities, along with OCR and Department staff, in addressing educational inequity.
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 Goal 1: Increase students and their families’ awareness of their rights, and strengthen 

their capacity to identify and resolve civil rights and equity issues in their communities,

by strategically issuing clear “Dear Colleague” letters and other guidance and expanding 

technical assistance services.

 Goal 2: Increase schools’, colleges’, and universities’ understanding of their obligations 

under civil rights laws and strengthen their capacity to make the vision at the heart of 

these laws a reality at their institutions by strategically issuing clear “Dear Colleague”

letters and other guidance and expanding technical assistance services.

 Goal 3: Protect individual complainants’ civil rights and ensure due process through 

continuously improving the complaint investigation and resolution process.

 Goal 4: Identify and eliminate any systemic violations of civil rights laws through the 

proactive and strategic use of compliance reviews and complementary tools.

 Goal 5: Maximize impact over time by ensuring that all components of ED are 

advancing civil rights and equity goals, and that OCR is supporting and reinforcing ED’s 

strategic priorities. 

Guided by the goals in the strategic plan, OCR is proactively addressing priority issues 

including: equal access to rigorous courses and curricula; equal access to a free and 

appropriate public education; racial disparities in school discipline; equal opportunity for English 

language learners; sexual, racial and disability harassment; sexual violence; and 

disproportionate numbers of minority students in special education. These issues amplify and 

complement those raised in complaints filed with OCR. The effectiveness of OCR’s strategic 

plan relies on using all compliance and enforcement tools at its disposal. 

Civil Rights Compliance and Enforcement

 Externally-initiated activities: Complaint investigations resolving allegations of 

discrimination brought by the public. 

o In resolving complaints, OCR’s primary objectives are to promptly investigate the

allegations of discrimination, accurately determine whether the civil rights laws have 

been violated, and remedy the violation. In FY 2011, OCR received 7,841 complaints 

and resolved 7,434, some of which had been filed in previous years. 

As an example of the results of OCR’s remedies, due to a single FY 2011 complaint 

settlement agreement, approximately 33,000 students not classified as English language 

learners (ELLs) will be assessed for English language proficiency and offered ELL

services. In addition, the State agency will change policies and practices so that ELL 

students will continue to be assessed and identified in the future. 

 Proactive activities initiated by OCR: Compliance reviews, technical assistance, 

outreach, and policy guidance.
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o Compliance reviews allow OCR to target Agency resources on issues of discrimination 

that are particularly acute, regional or national in scope, or which are newly emerging. 

OCR launched 37 compliance reviews in FY 2011. Emphasis has shifted from merely 

increasing numbers of reviews to ensuring that robust remedies are developed in both 

complaints and compliance reviews to address areas of noncompliance systemically and 

prevent the violation from occurring in the future. 

As an example of the results of OCR’s remedies, due to a FY 2010 review settlement 

agreement in just one case, approximately 8,000 students with disabilities will be 

ensured transportation to education services as required by their Individualized 

Education Program or Section 504 Plan. Among other remedies, the school district 

agreed to publicize and operate a phone system to promptly troubleshoot transportationrelated problems, reimburse parents for any transportation costs incurred in transporting 

the student to school, and provide compensatory services, as appropriate, to students 

who did not attend school for 10 or more consecutive school days due to lack of 

transportation services. 

FY 2011 compliance reviews were conducted in priority areas such as equal access to rigorous 

courses and curricula; equal access to a free and appropriate public education; racial disparities 

in school discipline; equal opportunity for English language learners; sexual harassment/

violence, equal access to athletic opportunity, and disproportionate numbers of minority 

students in special education.

Compliance Reviews Initiated and Resolved

0

10

20

30

40

50

60

70

80

Compliance Reviews

Initiated 53 73 9 23 42 29 37 37

Resolved 29 66 72 26 38 24 27 4

FY 04 FY 05 FY 06 FY 07 FY 08 FY 09 FY 10 FY 11

o Educational technical assistance and outreach to students and their families as well as 

schools, colleges, and universities about civil rights compliance is embedded in the 

goals of OCR’s strategic plan. These activities maximize the positive results of OCR’s 

complaint and compliance review investigations. As a result of OCR’s “Dear Colleague” 

letters, robust remedies to complaint investigations and compliance reviews shared on 

ED’s Internet site; hundreds of technical assistance presentations delivered by OCR 
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staff nationwide (OCR conducted 74 proactive technical assistance activities in FY 2011,

many with multiple presentations); and many speeches and plenary remarks given by 

OCR’s Assistant Secretary and senior staff, recipients are changing policies and 

practices, and beneficiaries are standing up for their rights 

o Policy guidance focuses on current and emerging issues to ensure that discrimination 

does not deny or limit student access to educational programs or activities at every level 

of education. Policy guidance clarifies recipients’ responsibilities under the civil rights

laws and complements OCR’s enforcement and proactive activities. In FY 2011, OCR’s 

policy guidance addressed issues of bullying and harassment; sexual violence and 

sexual assault; schools’ enrollment procedures; and equal access to emerging 

technologies in elementary and secondary education.

 Monitoring activities: These activities ensure that resolutions and agreements reached 

with federally funded educational institutions under both externally- and Agency-initiated 

activities are executed appropriately and expeditiously.

o After reaching a resolution or agreement with an educational institution, OCR monitors

its implementation to ensure that the appropriate measures are put in place, as agreed 

upon, to redress the discrimination. Monitoring periods are tailored to the specific terms 

and needs of the resolution agreement. It is often necessary for recipients to supply 

OCR with progress reports and data, and for OCR staff to conduct onsite visits to ensure 

full compliance with resolution agreements. From FY 2010 to FY 2011, there was a 

21 percent increase in cases in monitoring, from 1,226 (1,139 complaints and 

87 compliance reviews) to 1,480 (1,402 complaints and 78 compliance reviews). In 

FY 2011, OCR completed the monitoring of a number of resolution agreements and, 

after ensuring that all commitments had been fully implemented, closed 465 cases, 

452 complaints, and 13 compliance reviews.

There are about 400 school districts operating under desegregation agreements 

(441b Plans) from which they have not yet been released. As an example of the results 

of monitoring a revised 441b desegregation plan negotiated by OCR, a charter school 

that would have opened with 9 percent African-American and 77 percent Caucasian

enrollment, when total district enrollment by race was 34 percent African-American and 

45 percent Caucasian, opened with 14 percent African-American and 72 percent

Caucasian enrollment. The revised desegregation plan included provisions that address 

the need for additional outreach and recruitment in the community for a growing Latino 

population. For the second school year, enrollment was 17 percent African-American, 

68 percent Caucasian and 4.9 percent Latino. Complying with the terms of the 

desegregation plan, the school has recruited minority parents for its Board of Directors; 

increased the number of minority staff from one to four; completed the first of its annual 

cultural competence and community relations training; and undertaken other measures

to ensure that the school reflects the greater community. OCR continues to work with 

the district and monitor the implementation of the desegregation plan.
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Strategic Initiatives and Accomplishments

Equal Access to Emerging Technologies

On May 26, 2011, the Assistant Secretary issued “Dear Colleague” letters to elementary and 

secondary education officials and postsecondary education officials with attached Frequently 

Asked Questions (FAQs). The letters follow-up on a June 29, 2010, letter sent by the U.S. 

Departments of Education and Justice to college and university presidents, regarding the use of 

electronic book readers and other emerging technologies in compliance with civil rights laws 

that prohibit discrimination on the basis of disability. The May 26, 2011, letters answered

questions about the obligations of educational institutions that provide benefits to students by 

means of these technologies. The guidance was developed to address issues emerging for 

students with disabilities and demonstrates ED’s commitment to ensure that students with 

disabilities enjoy equal access when information and resources are provided through 

technology. 

School Enrollment Procedures

On May 6, 2011, a “Dear Colleague” letter was issued from the Assistant Secretary, the 

Department of Education General Counsel, and the Assistant Attorney General for Civil Rights, 

U.S. Department of Justice, regarding schools' enrollment procedures. The letter reminds State 

and local education agencies of the Federal obligation to provide equal educational 

opportunities to all children residing in their school districts. To comply with Federal civil rights 

laws, school districts must ensure that there is no discrimination on the basis of race, color, or 

national origin, and that students are not barred from enrolling in public schools at the 

elementary and secondary level on the basis of their own citizenship or immigration status or 

that of their parents or guardians.

Gender-Based Harassment/Sexual Violence

On October 26, 2010, the Assistant Secretary issued a “Dear Colleague” letter concerning 

recipients’ obligations to protect students from student-on-student harassment on the basis of 

sex; race, color and national origin; and disability. The letter clarifies the relationship between 

bullying and discriminatory harassment, provides examples of harassment, and illustrates how a 

school should respond in each case. The letter is part of the Administration’s efforts to end 

bullying and harassment and was followed by a White House conference to raise awareness 

and equip young people, parents, educators, coaches, and other community leaders with tools 

to prevent bullying and harassment. 

On April 4, 2011, the Assistant Secretary issued a “Dear Colleague” letter providing guidance 

and examples about Title IX requirements and how they relate to sexual harassment and sexual 

violence. Announced by the Vice President and the Secretary of Education as part of the 

Administration’s effort to help schools address sexual violence, the letter discusses proactive 

efforts schools can take to prevent sexual violence and educate employees and students, and 

provides examples of the types of remedies schools and OCR may use to respond to sexual 

violence. Factsheets on the April 4 letter were issued in Spanish, Chinese, Korean, Tagalog, 

and Vietnamese; factsheets on the October 26 letter were issued in the preceding languages as 

well as Arabic and Punjambi.
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College- and Career-Ready Standards and Courses

In some school districts, college-prep courses, International Baccalaureate (IB), and Advanced 

Placement (AP) courses are not as readily available in schools with large minority populations, 

and minority students are often underrepresented in such courses. Given the recognized value 

of these courses, including as predictors of college completion and as contributors to college 

success, OCR will continue to engage in compliance reviews and technical assistance activities 

to ensure equal access to college prep, AP, and other rigorous high school classes for minority 

and English Language Learners (ELL) students, and students with disabilities. 

Access to Science, Technology, Engineering, and Mathematics (STEM)

OCR will continue to promote compliance with the non-discrimination mandates of Title VI and 

Title IX regarding women and minority students in STEM fields. The investigations often involve

alleged denials of access to, or significant underrepresentation of, women and minority students 

in STEM classes, courses, or programs. In addition, OCR will initiate proactive compliance

reviews, as well as give presentations on the subject to stakeholders, including elementary, 

secondary, and postsecondary institutions.

Comparable Resources/Effective Teachers

Staff will use new data collected in the CRDC in the 2009-10 academic year to analyze claims 

of inequitable resource distribution. The data includes information that will reveal discrepancies 

in how districts and schools provide specified college preparatory curricula, and other issues 

such as teacher experience, teacher absenteeism, and other critical topics. Compliance 

reviews and technical assistance will also be conducted.

English Language Learners

OCR will continue its enforcement and technical assistance activities to ensure recipients 

comply with their obligations under Title VI and the Supreme Court’s ruling in Lau vs. Nichols to 

provide appropriate services to students who are ELL. OCR will continue its proactive initiative 

to increase proper communications with Limited English Proficient parents and to avoid 

misidentification of ELL students in special education. OCR’s compliance activities, focusing on 

school districts with a disproportionately high percentage of ELL students in special education, 

will determine whether national-origin minority students have been subjected to discrimination 

on the basis of their ELL in the referral, evaluation, and placement in special education 

programs. OCR's activities will include technical assistance and outreach to parents of ELL 

students so that they can actively participate in their children’s education. 

Over- or Under-Representation in Special Education Programs

To promote compliance with the non-discrimination mandates of Title VI and Section 504 of the 

Rehabilitation Act, OCR will continue to conduct compliance activities focusing on inappropriate 

placement of minority students in special education and those not receiving services under the 

law. Where investigations reveal that school districts are not in compliance with Title VI and/or 

Section 504, OCR will take appropriate action to remedy violations, including negotiating and 

monitoring agreements with school districts. 

Discipline

OCR will issue a “Dear Colleague” letter to inform recipients of their obligations to not 

discriminate when administering discipline to students. Compliance reviews and technical 

assistance activities will also be conducted on this issue.
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Teenage Pregnancy and Parenthood

OCR will publish a pamphlet and deliver technical assistance on Title IX compliance 

requirements regarding teenage pregnancy and parenthood, and will identify approaches that 

schools can use to address the educational needs of students who become pregnant. These 

activities should advance compliance with Title IX and help ensure that students receive the 

support necessary to remain in school. They will also increase student and parent awareness 

of their rights and strengthen their capacity to advocate for these rights. 

Identification for Medical and Health Services

Students with food allergies and other health impairments may not be properly identified 

pursuant to Section 504 and, therefore, are denied the opportunity to participate in and benefit

from a school district’s programs and activities. OCR will conduct compliance activities and 

provide technical assistance to school districts to ensure that students with food allergies and 

other health impairments are evaluated to determine if they are eligible for services under 

Section 504. 

Equity and Excellence Commission

OCR has been providing the financial, administrative, and staff support for the Secretary’s 

Equity and Excellence Commission. The Commission is in the process of collecting information, 

analyzing issues, and obtaining broad public input on how the Government can increase 

educational opportunity by improving school funding equity. To hear from experts and the 

general public on issues related to school finance, the Commission has conducted four town 

hall meetings (San Jose, Philadelphia, Kansas City, and Dallas), a hearing before the San Jose 

town hall meeting, a community conversation in Boston, and two Web conferences. The 

Commission formed several subcommittees to address particular areas and to begin drafting 

the report, and has convened three times as a full body to discuss the issues before it and how 

to approach them in its report. 

Interoffice Sharing and Communication

OCR has worked to increase connection and collaboration across the 12 enforcement offices 

and headquarters to improve the flow of ideas and best practices across OCR components. 

The Assistant Secretary has initiated more frequent, direct communication between 

headquarters and the regional offices, increased interoffice trainings, and begun elevating best 

practices that were developed at the regional level. 

Veterans/Wounded Warriors

Most wounded warriors (veterans returning from war with disabilities) and their service providers 

(often non-governmental organizations) are unfamiliar with Federal disability rights laws and do 

not fully understand the protections and services that are available to them as persons with 

disabilities if they want to pursue higher education. Likewise, most higher education institutions 

are not used to working with this unique population, the nature of whose disabilities (e.g., 

traumatic brain injuries and post-traumatic stress disorder) are unlike those of more traditional 

college-bound students with disabilities. OCR’s continuing technical assistance initiative on this 

issue familiarizes recipients, including administrators, faculty, disability services staff, and 

veterans services staff, with the unique challenges they face in ensuring equal educational 

opportunity for wounded warriors, and makes students aware of the protections afforded to 

veterans and their families. 
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Civil Rights Data Collection

The Civil Rights Data Collection (CRDC) is a tool that provides important information about 

access to equal educational opportunity and assists OCR in making decisions about how to 

effectively target agency resources. In FY 2010, OCR made important changes to the 2009-10 

CRDC. New CRDC data items enhance OCR’s ability to ensure equal educational opportunity 

for the Nation’s students, and provide a valuable resource for school administrators, 

policymakers, researchers, and parents.

The new data items cover critical topics such as students’ participation in algebra and other 

college-preparatory subjects, retention, teacher experience/absenteeism, school counselors, 

school funding, harassment, restraint/seclusion, SAT/ACT participation, AP course-taking, testtaking and testing outcomes, desegregation plans, access to kindergarten and pre-kindergarten 

programs, and additional data items concerning discipline. Most of the student data collected 

by the CRDC is disaggregated by race, sex, disability, and limited English proficient status. 

Along with these changes, OCR streamlined the survey by removing several other data items. 

For 2009-10, the CRDC sample expanded from 6,000 to approximately 7,000 school districts,

including all districts with over 3,000 students. The survey was conducted in two parts (spring 

and fall 2010), and collected data from the 2009-10 school year. Data was collected for over 

72,000 schools. In the 2011-2012 school year data collection, the CRDC will expand to a 

universal survey of all school districts and schools. 

During the summer of 2011, the Part 1 data from the 2009-10 CRDC was posted on the OCR 

Web site at http://ocrdata.ed.gov. In January 2012, the combined Part I and Part 2 data will be 

posted on an enhanced Web site that will provide new tools to make the data more accessible 

to a wide variety of users including the school districts that are the primary providers of the data. 

The Web site will also include CRDC data from the 2000, 2004 and 2006 collections, along with 

State and national estimations.

Desegregation Cases

OCR identified close to 400 school districts under desegregation agreements, commonly 

referred to as 441b plans, and 6 public higher education systems operating under 

desegregation agreements from which they have not yet been released. Over the years, many 

OCR desegregation plans were amended via correspondence or memoranda between school 

districts and OCR’s regional offices. While OCR has not communicated with most of the 

441b districts for decades, the information in the plans can still be useful if compliance issues 

surface in a district. In FY 2012, OCR will develop a strategy for retrieving plans from all known 

storage locations to establish an electronic archive of all 441b’s and other extant desegregation 

plans for future use. Depending on available resources, the strategy will be implemented in 

FY 2012 or FY 2013.

National Outreach-OCR Sponsored Conferences

As part of its proactive outreach efforts, OCR is organizing conferences throughout the Nation 

on priority issues that complement proactive enforcement activities. Examples include: 

 a March 2011 conference “Expanding Horizons: California American Indian Civil Rights 

in Education” with approximately 130 attendees, featuring 8 workshops with 

15 speakers, including a youth forum workshop where 26 American Indian students 

discussed civil rights issues they have faced in school; 
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 a June 2011 conference, “Moving Forward: Advancing Civil Rights through Collaboration 

Between Government and the Advocacy Community,” with the New York State Division 

of Human Rights and several Federal civil rights agencies, including Health and Human 

Services-OCR, Department of Justice, and Equal Employment Opportunity Commission, 

which included panel discussions focusing on how government and the advocacy 

community can work together to enhance enforcement of civil rights laws and the rights 

of protected groups. OCR moderated a panel discussion on bullying in school and in the 

workplace;

 an April 2011 seminar, “OCR’s 2011 Civil Rights Seminar: Ensuring Equal Access and 

Promoting Educational Achievement and Excellence for All Students,” for an 

elementary/secondary education audience, composed of representatives from school 

districts, State education departments and community organizations from OCR

Chicago’s six-State region with approximately 100 participants. The Principal Deputy 

Assistant Secretary gave the keynote address concerning OCR’s reform agenda with 

emphasis on preventing harassment and bullying in education. OCR staff conducted 

sessions on racial, sexual and disability harassment and grievance procedures. 

Outreach efforts will continue in fiscal years 2012 and 2013. 

Activities Supporting Departmental Requirements

Freedom of Information Act (FOIA) Processing

With the President’s emphasis on increased transparency in Federal information and processes, 

OCR’s FOIA workload has been steadily growing. Not only have the number of FOIA requests 

increased, but so has the amount of information requested. As of June 1, 2011, FOIA requests 

increased by 18 percent compared to FY 2010. 

Management Tools and Activities Supporting Civil Rights Enforcement

Revised Case Processing Manual (CPM) 

The CPM sets forth procedures to promptly and effectively investigate complaints and 

compliance reviews, issue findings, and secure resolution agreements that remedy 

discriminatory policies or practices identified by OCR. In FY 2010, OCR issued a revised and 

updated CPM, with the goal of ensuring due process and providing greater flexibility in case 

processing. Revising the CPM is a continuous process, and a Manual with new revisions is 

projected to be issued in FY 2012.

Training 

OCR’s leadership recognizes that the success of the work depends on the quality of OCR’s staff 

across all levels of the organization, and is taking steps to increase the agency’s investment in 

staff training and development. Opportunities are provided for staff to participate in leadership 

programs, supervisory training, policy conferences, and continuing legal education. In addition, 

staff is provided with training on civil rights issues and new initiatives, mediation and negotiation 

techniques, and use of the CPM to promote consistent application of OCR’s case management 

process. OCR has developed two Web-based training modules, one on investigative 

procedures and the other on harassment.
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New Employee Training

As a follow-up to new employee training in September 2010, the Headquarters’ Program Legal 

Group and the Enforcement offices have been conducting in-house training on new policy, 

investigative procedures, and priority initiatives.

OCR Leadership

OCR’s Regional Directors were required by ED to take leadership training in headquarters four 

times in FY 2011. To maximize the use of travel funds and time the Directors spend away from

their offices, OCR is supplemented each one-day session of departmental training with a oneday Directors’ meeting. The meeting provided a forum for discussing OCR-specific leadership 

issues and strategic priorities, as well as for information sharing. 

Information Technology Tools and Activities Supporting Civil Rights Enforcement

Case and Activities Management System 

OCR’s CPM updates are coupled with ongoing improvements to the Case and Activity 

Management System (CAMS). CAMS provides OCR staff with technological solutions to 

(1) manage the tracking of OCR complaints, compliance reviews, general legal and policy 

guidance, case-specific legal and policy guidance, technical assistance, and responses to 

information requests from the public; and (2) electronically store and share a wide range of OCR 

work products, making them available across offices. In FY 2010, OCR updated the case 

processing components to fully capture changes made in the CPM and enhance the system’s

case resolution tracking tool. On March 1, 2011, OCR reached a milestone with a half million 

documents stored in CAMS and 99.9 percent of all final case resolution documents available 

electronically to OCR staff. Several civil rights offices in other Federal agencies and other

components of the Department have contacted OCR for information on CAMS and are 

considering developing similar systems.

Electronic Library of Case Resolution Letters and Agreements

In FY 2011, OCR began posting compliance review resolution letters and settlement 

agreements on ED’s Internet site, along with those from selected complaints. Increasing 

transparency and sharing the positive results of compliance reviews is an effective way to 

educate recipients of Federal funding so that they may take corrective action without OCR’s 

intervention. It also increases students and their families’ awareness of their rights and 

strengthens their capacity to identify, elevate, and resolve civil rights issues in their 

communities. Internally, it promotes uniform and consistent interpretation of regulations, 

policies, and remedies to similar issues. 

Electronic Policy Library

The Electronic Policy Library now has a comprehensive Web-based library reference tool, 

developed so that OCR staff can gain a quick understanding of unfamiliar areas of law and 

policy. The Library also contains succinct narrative explanations of OCR’s statutory jurisdictions 

with annotated references to current policy and key case law incorporated in an easy-to-use 

reference guide. OCR will engage in ongoing review and revisions of the Electronic Policy 

Library to ensure currency of information. Retention of this information in an accessible 

electronic format leverages technology to simplify the management and distribution of 

knowledge throughout OCR.
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Electronic Records Management 

Policies and procedures will be developed pertaining to storing and sharing documents created 

or received in OCR. All privacy and confidentiality issues will be in full compliance with The 

Federal Information Security Management Act of 2002 ("FISMA", 44 U.S.C. § 3541, et seq.) a 

United States Federal law enacted in 2002 as Title III of the E-Government Act of 2002

(P.L. 107-347, 116 Stat. 2899). A thorough privacy impact assessment will be performed to 

identify any and all instances of personally identifiable information and a plan for the security of 

that data will be implemented. Full implementation of electronic case files will begin by storing 

all existing electronic case-related documents in the document management system. In 

addition, a pilot project is being conducted in one field office to convert all case-related 

documents as they are received into an electronic format. After the pilot project is evaluated, a 

plan will be developed for Agency-wide implementation of fully electronic case files throughout

OCR. OCR plans to integrate the recordkeeping capabilities of records management (RM) with 

OCR’s current work processes as well. Currently, paper files are the official copies until the 

electronic RM system is implemented.

New Media Initiative

In FY 2011, OCR began using social media tools, Facebook and Twitter, to build and maintain 

relationships with civil rights advocates, engage key stakeholders around key policy issues, and 

communicate the Department’s vision and progress towards equity in education. OCR’s use of 

social media tools to support its outreach efforts enables information to reach the public and 

feedback to be received in real time. 

OCR Dashboard

In FY 2011, OCR developed an in-house electronic “Dashboard” that provides real time 

information on OCR’s cases. This electronic database will increase agency accountability and 

oversight by enhancing leadership’s knowledge of, and ability to monitor, OCR’s case 

processing activities nationwide.