Department of Education

OFFICE FOR CIVIL RIGHTS

Fiscal Year 2014 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, [$102,624,000] $107,500,000. (Department of 

Education Appropriations Act, 2013.)

NOTE

A full-year 2013 appropriation for this account was not enacted at the time the budget was prepared; 

therefore, this account is operating under a continuing resolution (P.L. 112-175). The amounts included for 2013 

reflect the annualized level provided by the continuing resolution.
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Obligations by Object ClassificationBB................................ -2 ...........................

Amounts Available for Obligation

(dollars in thousands)

Appropriation and Adjustments 2012 2013 2014

Discretionary budget authority:

Discretionar y budget authority:Annual appropriation ................................................ $102,818 $102,624 $107,500

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

Discretionar y budget authority:Across-the-board increase (P.L. 112-175)................ 0 +628 0

Discretionar y budget authority:Subtotal, appropriation ............................................. 102,624 103,252 107,500

Discretionar y budget authority:Unobligated balance, expiring -109 0 0

Total, direct obligations ........................................... 102,515 103,252 107,500
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Obligations by Object ClassificationBB................................ -3 ...........................

Obligati ons by Obj ect Classi fication

CHANGE FROM

Object Class 2012 2013 2014 2013 to 2014

11.10 Full-time permanent $56,469 $58,856 $58,159 ($697)

11.31 Full-time temporary 1,558 1,233 1,138 (95)

11.32 Part-time 1,677 1,335 2,587 1,252

11.33 Consultants 222 0 0 0

11.51 Overtime 12 18 18 0

11.52 Awards 614 451 251 (200)

11.80 Other Compensation 0 0 0 0

 Compensation subtotal 60,552 61,893 62,153 260

12.00 Benefits 17,093 17,905 18,436 531

13.10 Benefits for former personnel 0 0 0 0

 Comp/benefits subtotal 77,645 79,798 80,589 791

21.00 Travel 546 826 826 0

22.00 Transportation of things 1 0 0 0

23.10 Rental Payments to GSA 8,343 8,314 8,314 0

23.31 Communications 340 162 162 0

23.32 Postage/fees 15 36 36 0

 Subtotal 23 8,698 8,512 8,512 0

24.00 Printing & Reproduction 23 13 13 0

25.10 Advisory and Assistance Svcs 0 0 0 0

25.21 Other Services 898 1,513 1,041 (472)

25.22 Training/Tuition/Contracts 142 320 305 (15)

25.23 Field Readers 0 0 0 0

25.30 Goods/Services from Gov't 2,638 2,865 2,773 (92)

25.40 Operations/Maint of Facilities 0 1 1 0

25.50 Research & Development 0 0 0 0

25.71 Operations/Maint of Equipment 21 15 15 0

25.72 IT Services/Contracts 11,643 9,243 13,280 4,037

 Subtotal 25 15,342 13,957 17,415 3,458

26.00 Supplies 176 51 43 (8)

31.10 IT Equipment/Software 76 95 102 7

31.30 Other Equipment 8 0 0 0

 Subtotal 31 84 95 102 7

32.00 Building Alterations 0 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 102,515 103,252 107,500 4,248

 Note: The amount shown in FY 2013 includes a 0.612 percent across-the-board increases provided 

by P.L. 112-175.

Obligations by Object Classification

(dollars in thousands)
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Obligations by Object ClassificationBB................................ -4 ...........................

Summary of Changes

(dollars in thousands)

2013................................................................................................. $102,6241

2014................................................................................................. 107,500

Net change ............................................................... +4,876

______________

1 Excludes a 0.612 percent across-the-board increase of $628,000 in FY 2013 provided by

P.L. 112-175.

Increases: 2013 base Change from base

Built in:

i Built in Increase in salaries primarily to support a proposed 

1 percent Governmentwide pay raise. $61,424 +$460

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

retirement, and other benefits. 17,905 +531

Program:

ProgramIncrease in other services for electronic records 

management and renewal of periodical law and 

disability subscriptions. 885 +156

ProgramIncrease in information technology services/

contracts for the biennial Civil Rights Data 

Collection. 9,243 +4,037

ProgramSmall increase in Information Technology 

equipment/software. 95 +7

Subtotal, increases +5,191
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Obligations by Object ClassificationBB................................ -5 ...........................

Summary of Changes

(dollars in thousands)

Decreases:

2013 base Change from base

Program:

ProgramDecrease in awards. $451 -$200

ProgramDecrease in training. 320 -15

ProgramDecrease in goods/services due to lower projected

amount for security background investigations. 2,865 -92

ProgramDecrease in supplies. 51 -8

Subtotal, decreases -315

Net Change +4,876
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Authorizing Legislation

(dollars in thousands)

Activity

2013

Authorized

footnote

2013

Estimate

footnote

2014

Authorized

footnote

2014

Request

footnote

Civil Rights (DEOA) Indefinite $102,624 Indefinite $107,500

Total definite authorization 0 0

Total appropriation 102,624 107,500

Total annual appropriation including 0.612 percent ATB increase 103,252

BB-6
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Appropriations History

(dollars in thousands)

Year

Budget 

Estimate 

to Congress

House 

Allowance Foot

-

note

Senate 

Allowance Foot

-

note AppropriationFootnote

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

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

2007 92,866 N/A1 N/A1 91,205

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

2009 96,826 96,0402 89,6122 96,826

2009 Transfer 0 0 0 -60

2010 103,024 103,024 103,0243 103,024

2011 105,700 103,0244 105,7003 102,8185

2012 107,772 102,8186 102,8186 102,624

2013 102,624 102,6247 102,6247 103,2528

2014 107,500

1 This account operated under a full-year continuing resolution (P.L. 110-5). House and Senate allowances 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. 7 The levels for the House and Senate allowances reflect action on the regular annual 2013 appropriations bill, 

which proceeded in the 112th Congress only through the House subcommittee and the Senate Committee. 8 The amount shown includes the 0.612 percent across-the-board increase provided by P.L. 112-175, in effect 

through March 27, 2013.
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Office for Civil Rights

(DEOA, section 203)

(dollars in thousands)

FY 2014 Authorization: Indefinite

Budget Authority:

Annual Fund

2012 2013 2014

Change

from 2012

Personnel Costs $78,997 $79,798 $80,589 +$1,592

Non-personnel costs 23,627 22,826 26,911 +3,284

Total 102,624 102,6241 107,500 +4,876

FTE 603 598 598 0

___________________

1 Excludes a 0.612 percent across-the-board increase provided by P.L. 112-175.

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 16,900 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 is located in 12 enforcement offices throughout 

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

Headquarters 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 the 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 the 

Department’s programs and initiatives and among Federal Agencies. Policy Guidance letters 

have been issued in priority areas to inform recipients about their legal obligations and the legal 

framework of complaint investigations and compliance reviews.

The Resource Management Group supports OCR nationwide in the areas of customer service, 

information technology, budget, procurement, and human capital management.

OCR has become a more effective and visible organization, and requests for OCR’s services 

are increasing while the appropriations have remained flat. Complaint receipts are not only 

rising (a documented 13 percent increase from FY 2010 to FY 2012), but becoming increasingly 

complex. Cases are being resolved with extensive and effective relief for the complainants, 

such as: access to appropriate education programs, activities and services; counseling 

services; auxiliary aids and services, and facility modifications to provide access to students 

with disabilities; housing relocations; and, in a vast majority of cases, fundamental changes in 

institutional policies and/or practices to comply with the applicable laws. Compliance reviews 

have resulted in resolution agreements with robust systemic remedies that not only remediate 

concerns about whether recipients are in compliance with the civil rights laws, but help prevent 
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future discrimination. Requests for technical assistance have also increased (by 112 percent 

from FY 2010 to FY 2012) and OCR is focusing on monitoring activities to ensure that 

commitments made to remedy civil rights violations are fully implemented.

Boston

New York City

Philadelphia

Washington, D.C.

(Headquarters

and field office)

Regional Offices

Field Offices

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FY 2014 Headquarters/Regional Staff

Seattle

San

Francisco Denver

Kansas

City

Chicago

Atlanta

Dallas

Clev eland

Regional & Field Offices: 529 FTE

Headquarters: 69 FTE

Total Staff level: 598 FTE

Office of Management and Budget Memorandum – Promoting Efficient Spending to 

Support Agency Operations

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

investigative procedures and information management systems to become better stewards of 

taxpayer dollars. These productivity improvements will help OCR manage its rising complaint 

workload and education initiatives while redirecting critical staff resources to address issues of 

systemic discrimination through strengthened proactive compliance and enforcement 

activities. However, 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 welleducated and highly trained staff. It requires successive years of sufficient resources and 

depends on funding the 598 FTE in this budget request. As discussed below, improvements 

and efficiencies in OCR’s processes help ensure that Federal funds are used for purposes that 

are appropriate, cost effective, and help fulfill OCR’s core mission.

Complaint Processing Pilot

Data analysis reveals that over a 10-year-period, 50 percent of OCR’s cases claimed 

discrimination on the basis of disability. In May 2012, a pilot program was initiated (in 4 of 12 
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field offices for a period of 4 months) using a new approach to address OCR’s high proportion of 

disability-only complaints. The pilot uses a “rapid resolution” approach for appropriate individual 

disability-based complaints. The OCR team assigned to a case determines if the complaint is 

appropriate for rapid resolution. Complaints with class implications are not subject to the new 

process. If the complaint is appropriate for rapid resolution, immediate contact is made with the 

school district or university (e.g., through a phone call) to obtain relevant information and 

attempt to resolve the complaint. Additionally, to expedite resolutions obtained through this 

process, final approval authority is streamlined. The pilot was evaluated at the end of FY 2012 

and we found, in fact, that this approach reduced the resolution time for typical cases of this 

nature. In light of this, OCR implemented the rapid resolution process for single-issue disability 

cases nationwide in FY 2013.

Finding ways to obtain positive case resolutions more quickly not only provides better customer 

service for complainants so they can move forward with their education, it also ensures that 

OCR has sufficient staff resources to devote to more complex cases.

Funding levels for the past 5 fiscal years were:

iscal Year

(dollars in thousands)

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

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

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

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

2013.................................................................................... 102,6241

______________________

1 Excludes a 0.612 percent across-the-board increase provided by P.L. 112-175.

FY 2014 BUDGET REQUEST

The total FY 2014 request is $107 5 million with an FTE level of 598. This request is a 

$4.9 million increase, or 4.8 percent, above the FY 2013 level of $102.6 million.

• The Personnel Compensation and Benefits (PC&B) request of $80.589 million is an 

increase of $791,000 over the FY 2013 level due to a proposed pay raise of 1 percent, as 

well as built-in benefits increases. The FTE level of 598 is the same as the FY 2013 level.

• OCR’s FY 2014 share of the Department’s centralized services (overhead) amount is

$20.474 million.

• Non-Personnel costs, excluding centralized services, will be $6.437 million, which is an 

increase of $4.530 million over the FY 2013 level. The majority of non-personnel funds 

are for the biennial Civil Rights Data Collection (CRDC) ($4.942 million), for software 

support to operate OCR’s Case and Activity Management System (CAMS) ($255,000),

and for travel ($826,000).
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FY 2014 Budget

(dollars in thousands)

Total: $107.500

FTE: 598

Personnel Costs

For FY 2014, PC&B costs are 75 percent of the request, or $80.589 million, $791,000 over the 

FY 2013 level of $79.798 million. As the chart below shows, over the past 9 years, from 2004 to 

2012, OCR reduced its staffing level by 11.1 percent while complaint receipts rose by 

55 percent.

Awards & Overtime

OCR is requesting $251,000 for awards and $18,000 for overtime for a total of $269,000, a 

decrease of $200,000 below the FY 2013 level. OCR rewards staff based upon performance. 

The requested amount will compensate those employees who work additional hours to 

complete critical projects within constricted timeframes, consistent with departmental policy.

FY 04 FY 05 FY 06 FY 07 FY 08 FY 09 FY 10 FY 11 FY 12 FY 13* FY 14*

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

Complaints Received 5,044 5,533 5,805 5,894 6,194 6,364 6,933 7,841 7,833 8,000 8,200

5,000

5,500

6,000

6,500

7,000

7,500

8,000

8,500

540

560

580

600

620

640

660

680

Complaints Received

FTE Usage

*Estimated 

Complaints

*Non-Personnel:

Travel

Trans. of things

Printing

Training

Communications

Copier rentals

Supplies

Non-IT equip./

furniture

Technology

Building 

alterations

Personnel

$80.589

75%

(includes 

Overtime & 

Awards)

Centralized 

Services

$20.474

19%

*NonPersonnel

$6.437

6%
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Non-Personnel Costs

The total request for non-personnel activities in FY 2014, excluding departmental centralized 

services, is $6.437 million, an increase of $4.530 million above the 2013 level.

The majority of OCR’s non-personnel costs include CRDC, CAMS, and travel. The requested 

non-personnel 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.

Information Technology Services/Civil Rights Data Collection (CRDC) — OCR is requesting 

$4.942 million for the CRDC, an increase of $4.484 million above the FY 2013 level of 

$458,000. Due to the anticipated funding reduction in FY 2013, CRDC activities in that fiscal 

year have been scaled back. A portion of the CRDC and analysis funds in FY 2014, therefore,

will be used to complete survey activities relating to the data for the 2011-2012 school year 

collected from the entire universe, as opposed to a sample, of all school districts in the country. 

The last universal survey was conducted in the 2000-2001 school year. Since then, important 

changes have occurred in the demographics of local educational agencies and the students 

they serve.

The 2011-2012 survey will provide OCR with current information about all school districts that 

will be used for investigating complaints and making decisions about proactive activities. In 

addition, stakeholders, including parents, school districts, Department of Education staff, the 

Department of Justice, the Congress, and the public, will have access to the information for 

research, compliance, and public policy purposes.

FY 2014 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. The funds will also 

support planning activities for the next universal data collection, scheduled for the 2013-2014 

school year. OCR has been working with other offices at the Department, including the National 

Center for Education Statistics (NCES), to identify key new data items, such as those relating to 

school safety, for inclusion in the 2013-14 CRDC.
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Academic Year Activity Fiscal Year 

2012

Fiscal Year 

2013

Fiscal Year 

2014

2011-2012 CRDC Data Collection $1,115,000 $0 $0

2011-2012 CRDC Guidance (Q&A) 379,537 0 0

2011-2012 CRDC

File specifications and edit 

tool 257,274 0 0

2011-2012 CRDC Web site enhancement 98,720 0 0

2011-2012 CRDC Database updates 66,732 0 0

2011-2012 CRDC Data file collections 60,740 0 0

2011-2012 CRDC Universal survey costs 0 458,000 0

2011-2012 CRDC Completion costs for data 

collection and Web hosting 0 0 942,000

2013-2014 CRDC

Start-up cost universal 

collection 0 0 4,000,000

Total 1,978,003 458,000 4,942,000

Information Technology Services/Case Activity Management System (CAMS) — OCR is 

requesting $255,000 for CAMS, level funded from 2013. 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. The 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, level-funded at the FY 2013 level. In 2014, 

these funds will be used to print updated pamphlets in various languages; the “Report to the 

President on Accomplishments”; OCR letterhead; and restocking OCR’s publications inventory.

Travel — OCR is requesting a travel budget of $826,000, the same level as FY 2013. The 

overwhelming majority of OCR’s travel funds are used to investigate complex complaints, 

conduct proactive compliance reviews, and monitor corrective action plans. To get essential 

evidence for resolution of complex cases or to ascertain the results of corrective action taken by 

recipients, it is often necessary for staff to go onsite to gather data and conduct face-to-face 

interviews.

OCR has already significantly reduced other travel costs such as travel for training, 

conferences, and management. If funds are not provided at the requested level, OCR’s 

reinvigorated enforcement and monitoring activities will be greatly diminished.

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

requesting $178,000, the same level as FY 2013. The funds are needed for existing copier 

rental and maintenance agreements ($177,000) and maintenance of facilities ($1,000).

Other Services/Goods and Services/Transportation/Supplies — OCR is requesting $223,000, 

an increase of $46,000 above the FY 2013 level. The request includes:
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• Legal Research Services ($71,000) — This is level-funded at the FY 2013 level. The

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

to 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 require staff to perform legal research out of the office.

• All Other Services/Goods and Services/Transportation/Supplies ($152,000) — These 

areas have been increased by $46,000 due to cuts made in 2013. Support for ED Pubs is 

increased by $20,000, for a total of $50,000; miscellaneous services like renewal of 

periodical subscriptions relating to law, disabilities, general news, and support for case 

files maintenance, are increased by $39,000, for a total of $50,000. Other items included 

are interagency services for General Services Administration leased vehicles and 

equipment ($23,000), and for supplies and copier paper ($29,000), a decrease of $13,000.

Departmental Centralized Support

Approximately 76 percent of the total non-personnel budget request is to cover OCR’s share of 

the Department’s centralized services. The FY 2014 request is $20.474 million, a decrease of

$445,000 below the FY 2013 level of $20.919 million. 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.

PROGRAM OUTPUT MEASURES

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

FY 2005. Actual data are shown for fiscal years 2005-2012 and estimates are shown for fiscal 

years 2013-2014.
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Complaint Receipts and Resolutions

FY 2005 – FY 2014

FY 2012 complaint receipts remained approximately the same as the previous year (7,833 

compared to 7,841). For FY 2012, the number of complaint resolutions increased 9.8 percent

(8,163 compared to 7,434), with a more than 8.2 percent increase in complaints that were 

resolved with change, including Early Complaint Resolution. Based on these facts, in FY 2014, 

OCR estimates that its complaint receipts will increase another 4.6 percent to 8,200.

FY 2012 complaints alleging discrimination on the basis of disability comprise 47 percent of total 

complaint receipts, as shown in the following chart.

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

Resolutions 5,365 5,893 5,737 5,943 6,150 6,830 7,434 8,163 8,400 8,500

Receipts 5,533 5,805 5,894 6,194 6,364 6,933 7,841 7,833 8,000 8,200

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000
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FY 2012 Complaint Caseload by Jurisdiction

(October 1, 2011 – September 30, 2012)

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.

Current performance measures for complaint workload:

Measure: Percentage of complaints resolved within 180 days.

Year Target Actual

2009 80 92

2010 80 90

2011 80 92

2012 80 93

2013 80

2014 80

Race/National 

Origin 1,267 (16%)

Sex Discrimination 

686 (9%)

Disability 

Discrimination 

3,683 (47%)

Age Discrimination 

134 (2%)

Multiple 

Allegations 

1,192 (15%)

Other Complaints 

871 (11%)

Total Complaints - 7,833
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Measure: Percentage of complaints pending over 180 days.

Year Target Actual

2009 < 25 15

2010 < 25 22

2011 < 25 18

2012 < 25 19

2013 < 25

2014 < 25

Additional information:

The first performance measure has two targets encompassing OCR’s entire complaint 

workload. Together, the two targets hold OCR accountable for efficient case resolution.

Complaint receipts are rising and becoming more complex. Despite lower staffing levels, OCR 

has implemented an ambitious proactive agenda of complex compliance reviews and technical 

assistance activities. There has also been an increased number and increased level of 

monitoring of resolution agreements to ensure an entity’s full compliance. For FY 2012,

workload and OCR’s GPRA scores were relatively the same as in FY 2011.

Measure: Mean score of customer satisfaction survey.

Year Target Actual

2009 3.66 3.93

2010 3.66 3.89

2011 3.66 3.86

2012 3.66 3.86

2013 3.66

2014 3.66

Additional information:

OCR’s second performance measure looks at customer satisfaction through a customer service 

survey that is distributed to both complainants and recipients after case resolution. The survey 

measures courteous and considerate treatment of customers; prompt, 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).

OCR is committed to keeping GPRA scores high as well as conducting the full range of 

proactive compliance reviews, technical assistance, 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 and that students have equitable access a 

high-quality education, with great teachers, and college- and career-ready coursework. To 
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transform levels of achievement in an increasingly diverse Nation, students must also be free 

from discrimination. 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 began implementation of its strategic plan with goals that align 

resources and compliance and enforcement activities for maximum impact, and it continues to 

implement this plan. 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.

• 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 Policy Guidance 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 Policy Guidance

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 its 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. The effectiveness of OCR’s strategic plan relies on 

using all compliance and enforcement tools at its disposal.

In addition, OCR’s mission and strategic goals are aligned with the Department’s strategic 

goals, primarily Equity Goal 4. In addition, because equity is infused throughout all of ED’s 

strategic goals, OCR helps identify disparities for other ED components. For example, the Civil 

Rights Data Collection is a tool that is used by other ED components to identify and track equity 

issues relating to their program areas.

Civil Rights Compliance and Enforcement 

• Externally-initiated activities:

o Complaint investigations resolving allegations of discrimination brought by the public. 

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

allegations of discrimination, accurately determine whether the civil rights laws have 
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been violated, and remedy the violation. In FY 2012, OCR received 7,833 complaints 

and resolved 8,163, some of which had been filed in previous years.

• Proactive activities initiated by OCR:

o Compliance reviews allow OCR to target its resources on issues of discrimination that 

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

Selection for compliance review sites is based on data researched from a variety of 

sources, including the CRDC. Emphasis has shifted from merely increasing numbers of 

reviews to ensuring that robust remedies are developed to address areas of 

noncompliance.

Between FY 2010 and FY 2012, OCR initiated 80 compliance reviews. Most of the 

reviews were large-scale and required extensive investigations in FY 2012. While OCR 

will continue to open new compliance reviews as needed, its focus is on 

resolving/closing reviews that are currently open, primarily in the area of equal access to 

Science, Technology, Engineering and Mathematics (STEM) and college and careerready curriculum; access to equal educational opportunities for language minority 

students; and equal access to a free and appropriate public education for students with 

disabilities, and discipline reviews based, in part, on racial disparity in school discipline 

identified from analysis of CRDC data.

Compliance Reviews Initiated and Resolved

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. OCR has undertaken a systematic, strategic and 

organized approach to technical assistance and outreach. To be effective, these 

activities have been carried out to reach the broadest possible segment of the education 

community—including State and local agencies, communities that may be isolated, 

disenfranchised, or otherwise lacking in effective communication resources -- such as 

language minority communities, and the public-at-large. These activities maximize the 

FY 05 FY 06 FY 07 FY 08 FY 09 FY 10 FY 11 FY 12

Initiated 73 9 23 42 29 37 37 6

Resolved 66 72 26 38 24 27 4 14

0

10

20

30

40

50

60

70

80

Compliance Reviews
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positive results of OCR’s complaint and compliance review investigations. As a result, 

many more recipients are changing discriminatory 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. Thus, new policy 

guidance and accompanying documents focus on practical applications and technical 

assistance. For example, in FY 2012, OCR issued a Policy Guidance Letter regarding 

the Americans with Disabilities Act Amendments Act accompanied by a Frequently 

Asked Questions document. OCR also issued Voluntary Use of Race Guidance with 

specific examples of the permissible use of race to diversify educational institutions.

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

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

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 2011 to FY 2012, there was a 15 percent increase in cases requiring

monitoring, from 1,480 to 1,697. In FY 2012, OCR completed the monitoring of a 

number of resolution agreements and, after ensuring that all commitments had been fully 

implemented, closed 549 cases.

Strategic Initiatives and Accomplishments

Civil Rights Data Collection

In March 2012, OCR rolled out an entirely new Web site (http://ocrdata.ed.gov) for the release 

of CRDC data (for multiple years), redesigned from the ground up to enhance user-friendliness 

with a more intuitive search function and graphical data reports for schools and districts. The 

new Web site improves efficiency and productivity for all users of CRDC data, as it significantly 

enhances the speed and ease of locating and understanding the data. Enhancements include 

visually intuitive snapshot reports for every school and district in the 2009-2010 sample, and

highlighting a few key indicators with click-through access to graphical displays of every data 

item in the entire survey. The source of the data is clearly identified, and there are readily 

available avenues for submitting data corrections. At the data collection stage, a partner 

support center is available to provide school districts training on the content of data to be 

submitted (i.e., data definitions) and technical assistance in both entering and correcting the 

data.

When it releases the 2009-2010 State and national data estimates in the spring of 2013, OCR 

will – for the first time – release the statistical weights used for the calculations. This will aid 
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education researchers in performing their own statistical analyses of CRDC data. With this 

release, OCR will also expand the scope of the State and national estimations to include new 

data collected by the 2009-2010 CRDC. 

The increased visibility of the data has led to greater use by OCR, other ED offices, school 

districts, advocates, researchers, education policymakers, and others and is helping to drive 

change. An example is the increased visibility of the disparities in student discipline practices,

which is leading to increased focus on how disciplinary policies and practices affect educational 

and life outcomes for students.

To expand and improve on the success of the new Web site and the 2009-2010 school year 

CRDC data posted on the site, the 2011-2012 CRDC, which is being conducted in fiscal years 

2012-2013, expands from the previous sample of 7,000 LEAs to include the universe of all 

(approximately 18,000) public school districts, juvenile justice facilities, charter schools, 

alternative schools, and schools serving students with disabilities. It also adds a new data 

element: preschool suspension and expulsion.

The 2013-14 CRDC will continue to collect key information about discipline in schools. OCR 

has been working with NCES to identify key new data items, such as those relating to school 

safety, for inclusion in the 2013-14 CRDC.

Discipline

OCR will issue a Policy Guidance 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.

College- and Career-Ready Standards and Courses

In some school districts, college-prep, 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 of the 

Civil Rights Act (CRA) and Title IX of the Educational Amendments of 1972 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

Staff will use new data collected in the CRDC in the 2009-2010 academic year to analyze 

claims of inequitable resource distribution. The data includes information that will reveal 
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discrepancies in how districts and schools provide specified college preparatory curricula, and 

other issues. 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 CRA 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 status 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. 

Identification for Medical and Health Services

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

pursuant to Section 504 of the Rehabilitation Act of 1973 (RA) 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 RA Section 504.

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 

them and their families.

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. In FY 2012, although the number of FOIA 

requests remained approximately the same as in FY 2011, the amount of information and the 

complexity of the FOIA requests increased, requiring sustaining current resources dedicated to 

this function.
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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. Limited revisions to the CPM were 

implemented in FY 2012. OCR continues to look for ways to improve the CPM and expects 

more comprehensive changes in FY 2013.

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 office 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.

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.

Issue Networks

OCR has reinvigorated issue networks in the areas of: Title IX Athletics, disability, Lau 

(language minority students), racial harassment, and sexual harassment. Each is headed by a 

regional director and a steering committee that includes representatives from field offices. Most 

networks host a training call or presentation every 4-6 weeks. Not only do they connect staff to 

internal subject-matter experts, they also enable OCR staff to learn from external subject-matter 

experts at low cost. While their primary purpose is to increase agency knowledge in areas that 

are either new or complex, they can also be tapped for training newer staff and, as appropriate, 

refresher training for other staff.

Information Technology Tools and Activities Supporting Civil Rights Enforcement

Case and Activities Management System 

OCR’s case processing manual 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. At the end of FY 2012, OCR reached a milestone with nearly 

700,000 documents stored in CAMS and 100 percent of all final case resolution documents 

available electronically to OCR staff. Several civil rights offices in other Federal agencies and 
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other components of the Department have contacted OCR for information on CAMS and are 

considering developing similar systems.

Posting of Case Resolution Letters and Agreements

In FY 2012, OCR continued posting compliance review resolution letters and settlement 

agreements on ED’s Web 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.