Department of Education 

OFFICE FOR CIVIL RIGHTS 

Fiscal Year 2010 Budget Request 

CONTENTS 

Page

Appropriation Language...................................................................................................... CC-1 

Amounts Available for Obligation........................................................................................ CC-2 

Obligations by Object Classification.................................................................................... CC-3 

Summary of Changes ......................................................................................................... CC-4 

Authorizing Legislation........................................................................................................ CC-6 

Appropriations History......................................................................................................... CC-7 

Activity: 

 Office for Civil Rights ........................................................................................................ CC-8 

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

the Department of Education Organization Act, [$96,826,000] $103,024,000. (Department of 

Education Appropriation Act, 2009.) 
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2008 2009 2010

Discretionary appropriation:

Appropriation $91,205 $96,826 $103,024

Across-the-board reduction -1,593 0 0

Subtotal, appropriation 89,612 96,826 103,024

Unobligated balance expiring -124 0 0

Total, direct obligations 89,488 96,826 103,024

Amounts Available for Obligation

($000s)
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Obligations by Object Classification

($000s)

CHANGE FROM

Object Class 2008 2009 2010 2009 to 2010

11.10 Full-time permanent $53,294 $54,163 $56,759 $2,596

11.31 Full-time temporary 1,075 855 969 114

11.32 Part-time 1,982 1,520 1,743 223

11.33 Consultants 1 0 0 0

11.51 Overtime 7 18 18 0

11.52 Awards 930 550 550 0

11.80 Other Compensation 0 0 0 0

 Compensation subtotal 57,289 57,106 60,039 2,933

12.00 Benefits 14,472 14,808 15,636 828

13.10 Benefits for former personnel 250 0 0 0

 Comp/benefits subtotal 72,011 71,914 75,675 3,761

21.00 Travel 850 1,000 1,000 0

22.00 Transportation of things 3 4 4 0

23.10 Rental Payments to GSA 8,217 9,038 9,986 948

23.31 Communications 555 1,018 1,018 0

23.32 Postage/fees 57 36 36 0

 Subtotal 23 8,829 10,092 11,040 948

24.00 Printing & Reproduction 20 86 86 0

25.10 Advisory and Assistance Svcs 0 0 0 0

25.21 Other Services 1,007 3,274 4,702 1,428

25.22 Training/Tuition/Contracts 72 300 300 0

25.23 Field Readers 0 0 0 0

25.30 Goods/Services from Gov't 3,395 2,617 2,615 (2)

25.40 Operations/Maint of Facilities 0 1 1 0

25.50 Research & Development 0 0 0 0

25.71 Operations/Maint of Equipment 38 0 0 0

25.72 IT Services/Contracts 2,654 7,014 7,076 62

 Subtotal 25 7,166 13,206 14,694 1,488

26.00 Supplies 127 222 223 1

31.10 IT Equipment/Software 365 232 232 0

31.30 Other Equipment 117 20 20 0

 Subtotal 31 482 252 252 0

32.00 Building Alterations 0 50 50 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 89,488 96,826 103,024 6,198
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Summary of Changes 

($000s) 

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

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

 Net change................................ +6,198 

 Change 

 2009 basefrom base 

Increases: 

 Built in:

Increase in personnel compensation primarily 

for the 2.9 percent 2009 and 2 percent proposed 

2010 pay increases. $56,538 +$1,168

 Increase in benefits for OCR’s share of 

 health, retirement, and other benefits. 14,808 +379 

 Increase in rent due to tax increases, relocations, 

 and lease renewals. 9,038 +948 

 Program:

Increase in personnel and compensation for 19 

additional FTE necessary to ensure successful 

management of OCR programs and priorities. 2,038 +2,214 

 

Small increase in supplies. 222 +1 

 Slight increase in Information Technology services 

 to restore to a level necessary to fund IT Certification 

 and Accreditation of the Case and Activity Management 

 System and for IT reasonable accommodations. 7,014 +62 

 Increase in Other services for the Civil Rights Data 

 Collection ($1.5M), offset by other decreases. 3,274 +1,428

 

 Subtotal, increases +6,200 
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Summary of Changes 

($000s) 

 Change 

 2009 base from base

Decreases: 

Program:

 Decrease in goods/services from Government 

 due to lower projected amount for E-Gov 

 initiative e-Training GoLearn On-line Training. $2,617 -$2

 

 Subtotal, decreases -2 

 Net change +6,198 
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Authorizing Legislation 

($000s) 

 2009 2009 2010  Activity Authorized Estimate Authorized Civil rights (DEOA, Section 203) Indefinite $96,826 Indefinite 

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Appropriations History 

($000s) 

 Budget 

 Estimate House Senate 

 to Congress Allowance Allowance Appropriation 

2001 76,000 71,200 73,244 75,822 

2002 79,934 79,934 79,934 79,934 

2002 Rescission -268 

2003 89,710 86,276 86,276 85,715 

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/A1 91,2051

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

 

2009 96,826 96,0402

 89,6122 96,826 

2010 103,024 

 

 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. 
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Office for Civil Rights 

 (DEOA, section 203) 

FY 2010 Authorization ($000s): Indefinite 

Budget Authority ($000s): 

 

 2009 2010 Change

Personnel $71,914 $75,675 +$3,761 

Non-Personnel 24,912 27,349 + 2,437

Total $96,826 $103,024 +$6,198 

FTE Level 595 614 19 

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); and 

• 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). 
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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; 82 State 

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 

OCR‘s enforcement of civil rights law is multi-faceted and requires a sufficient number of welleducated and highly trained staff. OCR considers these “knowledge workers” essential to fulfill 

its mission to ensure equal access to educational programs and activities through civil rights law 

enforcement. OCR’s law enforcement program includes policy development, proactive 

initiatives, administrative enforcement, and other activities. With an approximate annual 

caseload of 6,000 complaints per year, resolving complaints alleging discrimination is the core 

work of the organization. 

Moreover, as described throughout this document, OCR promotes compliance with civil rights 

through its extensive technical assistance and outreach activities. These activities, in all of the 

areas over which OCR has jurisdiction, include a wide range of presentations to and 

consultations with recipients and covered entities regarding civil rights requirements, as well as 

the issuance of policy guidance to advise recipients and covered entities about their legal 

obligations and about OCR’s approach to enforcing and applying civil rights laws in varied 

situations. 

Organizational Structure and Staffing 

The Office for Civil Rights requires a staffing level of 614 FTEs to fulfill its mission. Eighty-nine 

percent of OCR’s staff are located in 12 enforcement offices and the remaining 11 percent are 

located within OCR’s headquarters office. The Assistant Secretary is the head of OCR. There 

are two Deputy Assistant Secretaries that report directly to the Assistant Secretary. The Deputy 

Assistant Secretary for Enforcement is responsible for managing the 12 enforcement offices. 

There are two Enforcement Directors that report to the Deputy Assistant Secretary for 

Enforcement. These Directors provide leadership and coordinate compliance activities on a 

daily basis with the 12 Enforcement offices. In addition, the Deputy Assistant Secretary for 

Policy oversees headquarters’ Program Legal Group and the Resource Management Group. 

As shown on the following map, OCR’s headquarters office is located in Washington, DC, and 

the 12 enforcement offices are located in 10 regional centers and 2 field office locations 

throughout the Nation: Boston; New York; Philadelphia; Washington, DC; Atlanta; Dallas; 

Cleveland; Chicago; Kansas City; Denver; San Francisco; and Seattle. Compliance activity 

teams in the field offices, which consist mainly of attorneys, investigators, and Equal 

Employment Opportunity Specialists, are the organizational units responsible for investigating 

discrimination complaints, undertaking compliance reviews, and providing technical assistance 

to recipients, students, parents, and other stakeholders. 
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Bosto n

New Y or k City

P hiladelphia

W ashington, D.C.

(Headquar ter s

and field office)

Reg io na l O ff ice s

Fiel d Of fice s

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FY 2010 H eadquarters/Reg ional Staff

S eattle

S an

Fr ancisco Denver Kansas

City

Chicago

Atlanta

Dallas

Cleveland

Reg io n al & F ield O ffi ces : 5 4 8 FTE

H ead q u arters : 6 6 FTE

To tal C ei lin g : 6 1 4 FTE

Within headquarters, the Program Legal Group provides a range of legal services including: 

developing policy guidance on civil rights issues, developing technical assistance materials, and 

consulting on cases from the Enforcement Directors. This group also consults with other 

Department offices on the Civil Rights Data Collection (CRDC), oversees the data analysis and 

dissemination, and helps ensure that civil rights issues are appropriately addressed within 

Department programs and initiatives and among Federal agencies. The Resource Management 

Group supports OCR in the following major areas: customer service and technology 

information, budget and procurement, and human resources. The Resource Management 

Group responds to a nationwide complaint hotline call center and correspondence, coordinates 

and responds to FOIA requests, manages the appropriate filing of official documents and 

records, and requests the mailing of pamphlets through ED Pubs. Budget and procurement 

functions include budget formulation, justification, and execution ensuring that OCR operates 

within its appropriation; maintaining financial records, reconciling accounts, and certifying all 

procurement for the Office nationwide. Human resources functions include the management of 

human capital and personnel activities and ensure that personnel regulations are followed in 

accordance with the Office of Personnel Management. 
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Funding levels for the past 5 fiscal years were: 

 ($000s)

2005 ............................................................................... 89,375 

2006 ............................................................................... 90,611 

2007 ............................................................................... 91,205 

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

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

FY 2010 BUDGET REQUEST 

The total FY 2010 request is $103.024 million, a net increase of $6.198 million or 6.4 percent 

over the 2009 level, with an increase of 19 in full-time equivalent (FTE) staff to 614. 

• Personnel will increase $3.761 million. The increase is due to the proposed 2 percent pay 

raise and benefit costs in 2010, and an additional 19 FTE to restore staff to levels necessary 

to ensure successful management of OCR programs and priorities. 

• OCR’s share of the Department’s centralized services, or overhead, will increase by 

$896,000. The increase is for rent across OCR’s offices nationwide ($948,000), offset by a 

decrease in Homeland Security Presidential Directive 12 ($50,000). 

• Non-Personnel costs, excluding centralized services, will be $5.346 million, or $1.541 million 

above the 2009 level. The majority of the increase is due to the biennial Civil Rights Data 

Collection (CRDC) and analysis. In addition to the CRDC and analysis, non-personnel costs 

are primarily for travel, training, legal services, and software support to operate OCR’s case 

and activity management system (CAMS). 

Due to budget constraints, OCR reduced its 2009 FTE level by 34 and 2010 FTE level by 15 

from the budgeted 2008 level. However, if OCR reduces staffing level below 614 FTE, it will 

jeopardize OCR’s ability to initiate a full range of activities, hindering both OCR and the 

Department’s mission of ensuring equal access to students’ education. 

In addition, the CRDC and data analyses must be fully funded, as they are an integral part of 

OCR’s statutorily mandated law enforcement program (Department of Education Organization 

Act (20 U.S.C. 3413)) and the only source of data for analyzing many high priority civil rights 

issues. 
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The distribution of the requested funds for 2010 is shown below. 

Distribution of Costs 

($ in thousands)

Centralized Services

$22,003

21%

Personnel

$75,675

74%

(Includes Awards & Overtime)

Non-Personnel *

$5,346

5%

*Non P ersonnel:

Travel

Printing

Training

Communication

Copier Rentals

Oper & M aint

Supplies

Equip/Furniture

Technology

Personnel Costs

Approximately 74 percent, or $75.675 million, of the total FY 2010 request is for personnel 

compensation and benefits (PC&B) to support a staffing level of 614 FTE. The increases OCR 

has received over the past 6 years for its appropriation were not sufficient to cover the increases 

in its fixed costs (centralized services). To manage the funding gap, OCR reduced FTE levels 

by strategically aligning and aggressively managing its human capital in order to improve 

efficiency. OCR reduced its staffing level over 13 percent even though complaint receipts have 

increased by 23 percent over the past 6 years, from 5,019 in 2002, to 6,194 in 2008. The 

following chart compares complaints received and FTE levels from 2002 to 2008. 

560

580

600

620

640

660

680

700

720

FTE Level

5,000

5,200

5,400

5,600

5,800

6,000

6,200

6,400

Complaints Received

FTE Usage 698 672 655 640 630 614 614

Complaints Received 5,019 5,141 5,044 5,533 5,805 5,894 6,194

FY 02 FY 03 FY 04 FY 05 FY 06 FY 07 FY 08
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The PC&B request represents an increase of $3.761 million over the 2009 level. The increase 

covers the Governmentwide pay raise of 2.9 percent in 2009 and proposed pay raise of 

2 percent in 2010 and historically based increases for benefits. It also covers additional costs of 

restoring FTE levels necessary to ensure successful management of OCR programs and 

priorities. 

Awards & Overtime

In FY 2010, OCR is requesting $568,000 for awards and overtime, which is level-funded from 

2009. OCR awards staff based upon performance. This amount will enable OCR to provide 

appropriate recognition for high performance and will compensate those who work additional 

hours to complete work in tight deadlines, consistent with departmental policy. 

Non-Personnel Costs 

Non-personnel costs are critical to ensure that OCR staff has the required resources to 

accomplish its mission of civil rights enforcement. The total request for non-personnel activities 

in FY 2010, excluding Departmental centralized services, is $5.346 million, which is an increase 

of $1.541 million from the 2009 level, mostly due to the CRDC. The increases are in the 

following areas: Information Technology Services not covered by the EDUCATE contract 

($62,000), supplies ($1,000), and the CRDC ($1.493 million). 

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. 

Below is a summary of the resources required for OCR to carry out its mission: 

Information Technology Services/Contracts and Equipment — OCR is requesting a total of 

$250,000, which is an increase of $62,000 above the 2009 level. The total increase includes an 

additional $30,000 requested for IT Information Assurance and certification and accreditation 

costs, and another $32,000 for miscellaneous IT services/contracts such as IT reasonable 

accommodation requests not included in the EDUCATE contract. 

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

documents associated with each case and activity. It utilizes a combination of three software 

applications, Case Management System (CMS), Activity Management System (AMS), and 

Open Text Document Management System (DMS). The funding 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; (c) software subscription 

services to maintain version upgrades and technical phone support on the Open Text Document 

Management portion. 

The Federal Information Security Management Act (FISMA) required IT systems to be certified 

and accredited (C&A). In order to be compliant with Federal and departmental IT security 

requirements, additional expenses will be required to ensure the system remains in C&A status. 

In FY 2007 and FY 2008, OCR was provided a waiver for some areas identified as needing 

improvement. As a result, OCR needs $30,000 in IT Information Assurance to ensure the 
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software application meets the required certification and accreditation standards. These funds 

will be used to start the improvement process. 

Printing — The request of $86,000 for printing is the same as the 2009 level. Funds requested 

are for printing regulations, policy guidance, pamphlets, Dear Colleague letters, the annual 

report to Congress, restocking OCR’s publications inventory, printing personnel recruitment 

advertisements, and OCR letterhead. 

Travel — For FY 2010, OCR is requesting a travel budget of $1.0 million, level-funded from 

2009. The majority of OCR’s travel funds 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 training, 

conference attendance, workshops, invitational speakers, and OCR-wide management 

meetings in central locations. If funds are not provided at the requested level, it will greatly 

diminish OCR’s ability to conduct onsite investigations, proactive activities, and training of 

enforcement offices, thus negatively impacting OCR’s law enforcement program. 

Training — OCR is requesting a training budget of $162,000 for FY 2010, the same as the 2009 

level. A significant number of OCR staff will be eligible for retirement by 2010 and will be 

replaced by those with less experience. The requested funds will enable OCR to implement a 

training and development strategy to ensure that OCR employees receive adequate 

programmatic and professional development to keep pace with the changing work environment 

and the investigative approach to case processing. The strategy includes internal and external 

training on leadership development and supervision; policy and civil rights case law; innovative 

investigative techniques; nationwide quality, consistency, and efficiency in case processing; and 

the expanded use of electronic systems for case management.

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

requesting a total of $96,000, no change over the 2009 level. The funds are needed for existing 

copier rental agreements ($95,000) set in place prior to the EDUCATE contract, along with the 

rental agreements. 

Other Services/Interagency — OCR is requesting a total of $3.458 million for the following 

services. This is $1.478 million above the 2009 level. The increase is due mostly to the CRDC. 

Funds requested include: 

• Civil Rights Data Collection and Analysis ($3.203 million) — This is an increase of 

$1.493 million above the 2009 level. This includes the additional cost of activities to support 

the transition of the collection of CRDC data from a sample of 6,000 school districts to a 

system where data are collected through State education agencies for each year and for 

every school district. OCR will continue the development of State and national projections, 

all related analytical activities, and documentation of all data items in the CRDC data file. 

• IPEDS Fall Enrollment Report ($25,000) — The IPEDS survey is conducted in collaboration 

with the National Center for Education Statistics during even numbered fiscal years only. 
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For the IPEDS fall enrollment report, data are collected on student enrollment in 

postsecondary education institutions by race, ethnicity, and sex. 

• Legal Research Services ($100,000) — This is level-funded from 2009. This 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 completely 

eliminate the ability for attorneys to conduct desktop legal research and would necessitate 

their spending valuable time out of the office conducting legal research. 

• All Other Services/Interagency ($130,000) — This is level-funded from 2009. It includes ED 

Pubs ($50,000); conference space rentals ($36,000); and interagency services for General 

Services Administration (GSA) leased vehicles and equipment ($44,000). 

Supplies — OCR is requesting $220,000, an increase of $1,000. A significant amount of supply 

funds are used to purchase and renew educational journal subscriptions and other legal 

publications in order to maintain updated materials in OCR’s law libraries. Funds are also spent 

on copier paper, case file folders, and toner cartridges for printers. 

Equipment/Furniture and Building Alterations — OCR is requesting $70,000 for furniture/ 

equipment and building alterations, which is the same as 2009. The equipment/furniture will be 

used for unusual and special orders. Funding for building alterations includes additions and 

modifications made to the building structure, to improve the lighting, and other costs to improve 

working conditions. 

Departmental Centralized Support 

Approximately 78 percent of the total non-personnel budget request is to cover OCR’s share of 

the Department’s centralized services. The FY 2010 request is $22.003 million, an increase of 

$896,000, or 4.2 percent, over the 2009 level. The funding request will cover the cost of 

services such as: rent; training; records information management support services; and 

interagency agreements for administrative services provided by other Federal agencies, such as 

payroll processing, overtime utilities, and training coordinator and career counseling; and the 

EDUCATE contract that covers telecommunications, IT processing services, network support, 

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

OCR is a civil rights law enforcement agency whose core business is resolving complaints 

alleging discrimination in federally funded educational programs and activities. 

The following chart shows the number of complaint receipts and resolutions since 1997. Actual 

data are shown for FYs 1997-2008, and estimates are shown for FYs 2009-10. 

 

Complaint Receipts and Resolutions 

FYs 1997 – 2010 

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

Resolutions Receipts

Resolutions 4,981 4,753 5,369 6,634 4,777 4,842 5,246 4,968 5,365 5,893 5,737 5,943

Receipts 5,296 4,847 5,528 4,897 4,571 5,019 5,141 5,044 5,533 5,805 5,894 6,194 6,100 6,100

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

OCR provides information to the public on its activities that include assistance on how to file 

complaints. As of September 30, 2008, complaints alleging discrimination on the basis of 

disability comprised over 51 percent of the complaints filed with OCR, as shown in the following 

chart. 
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FY 2008 Complaint Caseload by Jurisdiction 

(October 1, 2007- September 30, 2008)

Sex Discrimination

328 (5%)

Other Complaints

695 (11%)

Race/National Origin 

Discrimination

993 (16%)

Disability 

Discrimination

3,165 (51%)

Age Discrimination

96 (2%)

Multiple Allegations

917 (15%)

Total Complaints - 6,194

PROGRAM PERFORMANCE INFORMATION 

Performance Measures 

As evidenced in the following performance measures, OCR is committed to resolving 

discrimination complaints within 180 days of receipt. Denying equal educational access to 

students for longer than 6 months can have a negative impact on their education and their lives. 

OCR’s performance 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: 80 percent of complaints with due dates in the relevant fiscal 

year are resolved in 180 days and no more than 25 percent of pending complaint workload is 

over 180 days old. Together, the two targets hold OCR accountable for efficient case 

resolution. 
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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 

was kept informed about his or her case. Based on responses to the survey in FY 2005, OCR’s 

customer satisfaction performance baseline was established at 3.66 (on a scale of 1 through 5). 

The score has steadily increased and was 3.99 for FY 2008. 

Current performance measures for complaint workload: 

Measure: Percentage of complaints resolved within 180 days 

Fiscal Year Target Percent Actual Percent 

2006 80 91 

2007 80 93 

2008 80 91 

2009 80 

2010 80 

Measure: Percentage of complaints pending over 180 days 

Fiscal Year Target Percent Actual Percent 

2006 < 25 21 

2007 < 25 18 

2008 < 25 18 

2009 < 25 

2010 < 25 

Measure: Mean score of customer satisfaction survey 

Fiscal Year Target Baseline Actual 

2006 3.66 3.84 

2007 3.66 3.96 

2008 3.66 3.99 

2009 3.66 

2010 3.66 
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Civil Rights Compliance and Enforcement 

Over the past decade, from FY 1998 to 2008, OCR’s complaint receipts have risen 28 percent, 

from 4,847 to 6,194. While OCR’s appropriation has gradually increased over the past decade 

due to inflation and the rising costs of centralized services, OCR’s budgeted FTE has decreased 

13 percent, from 724 in 1998 to 629 in 2007 and 2008. With an all-time staffing low of 595 FTE 

in 2009 and a rising workload, OCR is challenged in its ability to execute its law enforcement 

activities. 

In FY 2008, OCR received 6,194 complaints, an almost 5 percent increase over 2007, and 

resolved 5,737 complaints. Eight hundred and eighty cases were in monitoring. Because of a 

2004 change in the Case Resolution and Investigation Manual (revised as of March 2008, and 

now the Case Processing Manual (CPM)) notifying complainants that there is a formal twotiered process for requesting reconsideration of OCR’s investigative case findings, an increased 

number of requests for reconsideration added to OCR’s workload both in the field and in 

headquarters. In 2006, 375 first-level requests for reconsideration were received in the field and 

approximately 100 second-level requests in headquarters. The numbers are growing. In 2007, 

465 first-level requests for reconsideration were received in the field and approximately 108 

second-level requests were received in headquarters. In 2008, 417 first-level requests for 

reconsideration were received and 144 second-level requests. There were 163 second-level 

requests pending in headquarters at the end of the 2008. Because there are fewer staff to 

accomplish more work, timelines for monitoring resolution agreements and responding to 

requests for reconsideration of case investigations are increasing. In addition, OCR’s capacity 

to deliver technical assistance, which is labor intensive but the best means of preventing civil 

rights violations, is at risk. 

Complaint investigation is a labor-intensive activity. A variety of techniques are used to resolve 

complaints. (OCR’s complaint resolution process was outlined most recently in OCR’s CPM, 

issued in March 2008.) Under some circumstances, OCR facilitates a voluntary resolution 

between the parties. More typically, however, once a complaint has been evaluated and the 

allegations are found to be within OCR’s jurisdiction, an investigation is conducted. Agreements 

are negotiated with recipients when compliance concerns are established. Once an agreement 

is reached, OCR monitors the agreement’s implementation until the recipient completes all 

necessary action. If the recipient is unwilling to negotiate with OCR or if the negotiations reach 

an impasse, OCR issues a Letter of Findings. The recipient is then given another opportunity to 

negotiate a remedy before OCR issues a Letter of Impending Enforcement Action and initiates 

and conducts enforcement proceedings through an administrative hearing or refers the case to 

the Department of Justice (DOJ). 

Over the last decade, more than 50 percent of OCR’s complaint receipts have alleged disability 

discrimination. OCR intends to maximize the impact of resources spent on these investigations 

by expanding its proactive compliance and technical assistance activities under Section 504 and 

Title II. OCR’s National Enforcement Strategy includes activities in the area of disability, 

addressing such issues as: equal access to education for disabled veterans, 

overrepresentation of minorities in special education, misidentification of language minority 

students in special education, physical accessibility to postsecondary education programs and 

facilities, and the transition of students with disabilities from high school to college. 
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Initiatives Supporting the Department’s Goals 

Boy Scouts of America Equal Access Act 

OCR has developed information to aid staff in enforcing the Boy Scouts Act and its 

implementing regulations. The Boy Scouts Act regulation requires public elementary and 

secondary schools, local educational agencies (LEAs), and State educational agencies (SEAs) 

that receive funds made available through the Department to submit an assurance of 

compliance with the law. OCR revised OCR’s assurance of compliance form to include the Boy 

Scouts Act and sent all LEAs and SEAs (approximately 17,000 recipients) the revised 

assurance of compliance form and has followed up with those entities that have not yet 

submitted the assurance of compliance form. OCR is working with the Office of Management in 

the Department to obtain OMB approval to continue to distribute assurances forms to recipients 

as needed. 

Outreach to Limited English Proficiency (LEP) Parents and the Misidentification of LEP Students 

in Special Education 

OCR will continue its proactive initiative to increase proper communications with LEP parents 

and to avoid misidentification of LEP students in special education. While special education 

programs are essential to ensure that students with disabilities receive an appropriate 

education, studies have documented discrepancies in the rates of referral and placement of 

LEP students in special education. OCR’s compliance reviews, focusing on school districts with 

a disproportionately high percentage of LEP students in special education, will determine 

whether national-origin minority students have been subjected to discrimination on the basis of 

their LEP status in the referral, evaluation and placement in special education programs. If 

compliance issues are found, OCR's activities will include technical assistance and outreach to 

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

Overrepresentation of Minorities in Special Education

OCR will continue conducting its compliance reviews, focusing upon inappropriate placement of 

minority students in special education. Where investigations have revealed school districts not 

in compliance, OCR has been negotiating agreements with the school districts to remedy 

violations. 

Sexual Harassment Initiative 

OCR is committed to addressing issues of sexual harassment in the Nation’s schools. OCR will 

conduct compliance reviews related to sexual harassment in schools to ensure that students 

have a safe and secure educational environment that affords them equal educational 

opportunities, regardless of their sex. As part of its continuing technical assistance in this area, 

in September 2008, OCR published a revised pamphlet, Sexual Harassment: It’s Not 

Academic, which contains information for students, parents, school administrators, school 

employees, and others on recognizing and addressing sexual harassment under Title IX as it is 

interpreted by OCR. 

 

Use of Race in Admission to Educational Institutions

In July 2007, the United States Supreme Court ruled in Parents Involved in Community Schools 

v. Seattle School District, 127 S. Ct. 2738 (2007) (Parents Involved), in which the Court 

evaluated two school districts’ consideration of students’ individual racial classifications in 

elementary and secondary school admissions, to reduce racial isolation and secure the 
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educational benefits of diversity. Under Title VI, OCR is interpreting and applying this decision 

in the context of complaint cases in OCR’s civil rights reviews of Magnet School Assistance 

Program grant applications, and in the provision of technical assistance. OCR is also providing 

technical assistance guidance to postsecondary institutions regarding the appropriate, narrowly 

tailored use of race as a factor, as well as the use of race-neutral factors, in college admission 

decisions, consistent with current Supreme Court jurisprudence. In addition, OCR has 

developed and issued two policy guidance documents addressing how OCR assesses whether 

the use of race in assigning students to elementary and secondary schools, and to admitting 

students to institutions of postsecondary education, is consistent with Title VI. OCR will face 

continuing complaints, technical assistance, and policy workload in the “use of race” area, as 

the recent Supreme Court decisions are interpreted and applied to varied fact patterns. 

Activities Supporting Departmental Priority Initiatives 

Compliance with OMB’s Bulletin on Good Guidance Practices 

OMB issued requirements for Federal agencies to follow in developing and distributing new 

significant guidance documents and in posting existing significant guidance documents on 

agency Web sites. These requirements address drafting and using appropriate language, 

agency clearance, OMB notification and review, posting on agency Web sites, public input 

through public comment, and the filing of public complaints. OCR is working with the 

Department’s Office of General Council (OGC) and other offices in the Department to implement 

these requirements. Among other developments, OCR’s significant guidance documents have 

been published on the Department’s Web site (http://www.ed.gov/policy/gen/guid/significantguidance.doc). 

Title IX Compliance Initiative

OCR will continue to conduct its initiative to train recipients on all aspects of Title IX compliance. 

OCR will provide recipients with technical assistance and self-evaluation tools to help them 

come into compliance, as well as give presentations on the subject at regional conferences, with 

particular emphasis on the requirements of compliance. 

Civil Rights Data Collection 

Historically, the Civil Rights Data Collection (CRDC) has collected school and district level civil 

rights data directly from school districts. Currently, OCR is working with the Department’s Office 

for Planning, Evaluation, and Policy Development (OPEPD) to transition from collecting the data 

from school districts, using a Web-based tool, to having all States provide school and district 

level civil rights data through the Department’s EDEN Submission System (ESS). OCR and 

OPEPD had previously planned to have the full transition completed by the 2010-2011 data 

collection. Based upon feedback from States received in response to the Department’s most 

recent EDFacts OMB Clearance Package, it has become clear that a longer transition period 

will be needed. As a result, OCR will need to provide the cost of funding the CRDC for the 

2010-2011 data collection. 

Since FY 2003, OCR has supported the Department’s centralized data collection efforts with 

staff and fiscal resources. In 2003, OCR transferred $2.1 million to the Department to build a 

civil rights survey tool. OCR transferred additional funds to the Department in 2005 ($658,000), 

2006 ($2.8 million), 2007 ($705,731), and 2008 ($705,731). In 2009 OCR will transfer 

$1.6 million for the CRDC. 
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The anticipated cost of the 2010-2011 CRDC is $3.2 million. OCR anticipates that data 

collection costs will increase for the 2010-2011 CRDC, in part due to the costs of transitioning 

from district-level data submission to State-level data submission. After completion of this 

transition – which may take two collection cycles – OCR expects data collection costs to 

decrease. 

Civil Rights Data Review and Analyses

OCR has continuing responsibility for the analysis and reporting functions related to the CRDC, 

which includes the development of State and national projections for the 2008-2009 CRDC. 

Consistent with its authorizing legislation, OCR will also study and analyze high priority civil 

rights issues such as racial isolation in elementary and secondary schools and the 

underrepresentation of certain groups in Advanced Placement courses. The information gained 

through these studies and analyses will help OCR develop legal theories and approaches for 

conducting reviews in those areas. In addition, OCR will continue to support the development of 

analytic tools available through the EDFacts reporting system and make data from the CRDC 

available to the public through the Internet. 

Management Tools and Activities Supporting Civil Rights Enforcement 

National Enforcement Strategy 

OCR’s National Enforcement Strategy contains proactive activities such as: overrepresentation 

of minorities in special education; misidentification of language minority students in special 

education; physical accessibility to postsecondary and elementary and secondary education 

programs and facilities; the transition of students with disabilities from high school to college, 

including Dear Colleague letters informing students and parents of their rights and 

responsibilities; a training initiative on Title IX compliance; comprehensive procedural and policy 

reviews under Title VI, Title IX, and Section 504/Title II; and studies and/or analyses of several 

high priority civil rights issues such as non-discriminatory access to Advanced Placement 

courses for students with disabilities and minority students. In addition to starting new 

compliance reviews and numerous technical assistance activities, OCR will continue resolving 

open reviews and monitoring resolution agreements. 

Case Processing Manual

For several years, OCR’s Case Resolution and Investigation Manual (CRIM) provided 

procedures for promptly and effectively investigating and resolving complaints. In March 2008, 

OCR issued a new Case Processing Manual to replace the CRIM. Like the CRIM, the CPM 

sets forth procedures for all phases of case processing, including evaluation, investigation, 

resolution, monitoring, and enforcement. Also like the CRIM, utilizing the CPM ensures that 

investigations are legally sufficient and dispositive of allegations raised in complaints. However, 

it also builds on numerous suggestions from all OCR staff for improving OCR's case processing 

procedures, with the goal of providing greater flexibility and consistency for OCR staff, while at 

the same time addressing appropriately the interests of complainants and recipients. 

Recognizing that training is always critical to the success of any initiative, training sessions have 

been conducted for each OCR enforcement office as well as staff in headquarters. 

Quality Improvement and Review Program 

OCR’s Quality Improvement and Review Program was established to identify best investigative 

practices and facilitate measurable reduction of errors in case processing. Cases are reviewed 
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to identify the best practice approaches to case investigation, and analytical models are shared 

among all enforcement offices to enhance the quality, efficiency, and consistency of OCR’s 

investigative work nationwide. 

Training and Development Strategy 

OCR will continue to implement its training and developmental strategy, ensuring that OCR 

employees receive adequate programmatic and professional development. Staff training and 

development is part of OCR’s succession planning strategy and provides opportunities for staff 

to participate in leadership programs, supervisory training, management retreats, policy 

conferences, college-level courses, and continuing legal education. It also incorporates training 

on the expanded use of electronic systems for case and document management and FOIA 

requests and appeals, development of OCR-specific Web-based training modules, and ongoing 

training on use of the CPM to promote consistent application of OCR’s case management 

process. 

Web-Based Training Modules 

As part of the training strategy, OCR has invested in the development of two Web-based 

training modules: one on general investigative procedures and a second on investigating 

allegations of harassment. While Web-based training will not replace classroom training, it will 

be available to the staff at their desks and at minimal cost to the agency. The first of the 

courses is completed, and after edits to align it with the new CPM changes, the course will be 

available to staff at their desks. 

Electronic Government (E-GOV) Initiatives 

Case and Activities Management System 

OCR’s Case and Activities Management System (CAMS) tracks both OCR’s case-related and 

non-case related activities. CAMS also includes an electronic document management system 

(DMS) function for document management, storage, and retrieval. OCR provides staff CAMS 

training on the System’s functionality to increase productivity and is expanding the use of CAMS 

within OCR components. Software upgrades and maintenance are performed annually. 

Electronic Policy Library 

The Electronic Policy Library, completed in 2009, expands upon the foundation established by 

the electronic Policy Repository, which currently offers a single, reliable, searchable userfriendly electronic document storage and retrieval system for current OCR policy documents in 

three formats (PDF, HTML, and Word). A comprehensive Web-based library reference tool, the 

Electronic Policy Library enables OCR staff to gain a quick understanding of unfamiliar areas of 

law and policy through succinct narrative explanations of OCR’s statutory jurisdictions and 

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

reference guide. In 2010, OCR will engage in ongoing review and revision of the Electronic 

Policy Library to ensure that this knowledge management tool continues to increase OCR’s 

ability to share information, build program expertise, reduce research time, and strengthen the 

integrity of information used to support OCR decisions.
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Electronic Records Management 

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

or received in OCR. 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 electronic RM system and 

program is implemented.