OCR=s baseline for FY 1998 was 20. In FY 1999 OCR=s target was 30, and OCR achieved corrective action and no violation findings in 20 cases. Accomplishment of two-thirds of the targeted level is consistent with OCR=s having received one-third fewer complaints during FY 1999 involving interethnic adoption issues. In addition, this output level is not the only reflection of OCR activities to ensure nondiscrimination in adoption services. During FY 1999, in addition to investigations and reviews, OCR completed more than 50 technical assistance and outreach activities focusing on this program priority, an increase of 30 such actions from FY 1998. Given that OCR has only a single year=s data showing a shortfall in case-related results and a parallel increase in outreach/technical assistance, OCR will retain this case-related measure, while reducing the FY 2000 and FY 2001 targets to a more modest ten percent per annum increase. OCR also will closely monitor the mix of case investigations and outreach initiatives to determine whether there is a continuing shift to outreach and technical assistance as OCR=s primary program activity for this objective.

OCR=s baseline for FY 1998 was 14. In FY 1999 the target was 28, and OCR completed 13. The target was set to reflect OCR=s initiation of activities focused on state and local providers of adoption services. As noted above, during FY 1999, in addition to investigations and reviews, OCR completed 51 technical assistance and outreach activities focusing on this program priority. This was an increase of 31 such actions from FY 1998. Although the number of reviews completed decreased by one in FY 1999, in effect, the total of completed OCR-initiated activities (i.e., reviews and outreach/technical assistance) increased by 30. This increase in all types of OCR-initiated work in this arena is significantly greater than the 14 additional reviews set as the target for this objective. Given that OCR has only a single year=s data showing a shortfall in review-related outputs, and an increase in outreach/technical assistance, OCR will retain this case-related measure, while reducing the FY 2000 and FY 2001 targets to a more modest ten percent per annum increase. As in the case of objective I.A.1.a. above, OCR will closely monitor the mix of case investigations and outreach initiatives to determine whether there is a continuing shift to outreach and technical assistance as OCR=s primary program activity for this objective.

Developmental Measures: OCR is using the outcome measures above because data have shown that, when compared to non-minority children, a disproportionate percentage of minority children in the adoption/foster care system were waiting permanent adoptive placement and that the waiting time for minority children was longer than that experienced by non-minority children. These two outcome measures are developmental because it will take two to three years to establish baselines. With respect to outcome measures, OCR developed a system for collecting pre- and post-review/complaint investigation data over a two- to three-year period to show the effect of OCR=s involvement on protected beneficiaries of actions taken by HHS service providers.

OCR=s baseline for FY 1998 was 10. In FY 1999 the target was 40, and OCR completed 27. The target for corrective actions and no violation findings was set on the basis that managed care initiatives would represent a significant proportion of all OCR-initiated reviews and investigations. This was based on preliminary planning estimates by ten regional offices. The FY 1999 accomplishment in this area reflects a 170 percent increase in corrective actions and no violation findings focused on managed care organizations. Furthermore, the proportion of all post-grant reviews and investigations completed that addressed managed care increased from 4.4% to 10 percent from FY 1998 to FY 1999. OCR=s target for FY 1999 overestimated the total number of new post-grant reviews and investigations that would be started. Given that the total number of post-grant reviews and investigations completed in all program areas during FY 1999 increased by only 18.9% above FY 1998, the nearly three-fold increase in corrective actions and no violation findings focused on civil rights and managed care is still considerable. Given the success in concentrating more resources on managed care as the performance plan projected, OCR has adjusted the FY 2000 and FY 2001 targets to a more modest ten percent per annum increase that continues the proportional level of effort focused on this priority area.

Developmental Measure: According to OCR=s stakeholders, because managed care plans may not hire a sufficient number of minority practitioners, the minority patients of these practitioners effectively would not have access to these plans because patients most often want to stay with their physician. In addition, minority patients may feel uncomfortable going to a practitioner who does not have a similar cultural background. The lack of minority practitioners may result in managed care plans not marketing to minority patients. OCR selected this outcome measure because OCR wanted to show if, as a result of OCR=s intervention, managed care plans hired more minority practitioners, resulting in more minorities having access to these plans.

Developmental Measures: OCR is using the two outcome measures above because OCR=s initial reviews of managed care plans have shown that they do not have an adequate number of LEP, hearing and speech interpreters. This results in barriers for LEP persons and persons with hearing and speech disabilities in enrollment and receipt of services within the plans.

Developmental Measure: OCR has added this as a performance measure because reviews are activities that OCR initiates and is thereby able to focus its resources on recipients for which OCR has information indicating potential compliance problems. By increasing the number of reviews of managed care plans, OCR will be focusing more of its resources in priority areas where OCR expects to achieve change from OCR=s involvement. OCR will establish a baseline and target for this measure in FY 2000.

The three outcome measures under this sub-objective (I.B.1.b., c. and d.) are developmental because it will take two to three years to establish baselines. With respect to outcome measures, OCR developed a system for collecting pre- and post-review/complaint investigation data over a two- to three-year period to show the effect of OCR=s involvement on protected beneficiaries of actions taken by HHS service providers. OCR has begun to collect data for the measure above prior to the initiation of a review or complaint investigation of a managed care provider (or during the review/investigation if pre-existing data are unavailable). OCR will collect data through subsequent monitoring after a sufficient period of time has elapsed to evaluate if there has been an increase as a result of OCR=s involvement. The collection of such pre-OCR and post-OCR involvement data is the means by which OCR will be able to validate if the work it is carrying out is having the expected effect on HHS beneficiaries. Therefore, although OCR may have initial data in FY 2000 for performance measures I.B.1.b., c., and d., in order to have a sufficient baselines from which to establish targets, OCR projects that it will have the baseline data for these three outcome measures by the end of FY 2001.

Performance: OCR established these two performance measures because they are indicators of the extent to which advocacy groups, managed care organizations, and other partners have gained knowledge about civil rights requirements and responsibilities that will increase managed care plans= compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for minorities and persons with disabilities. The baselines for these measures are 16 partnerships and 19 outreach activities.

Performance: OCR established this performance measure because it is an indicator of the extent to which OPDIV staff, grantees and program providers have gained knowledge about civil rights requirements and responsibilities that will increase their ability to recognize whether programs and services funded by the Department may have civil rights compliance issues. OCR expects that this increased knowledge will help ensure that recipients of HHS funds are in compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for LEP persons. The baseline for this measure is 54.

Performance: OCR established these two performance measures because they are indicators of the extent to which advocacy groups, service providers, and other partners have gained knowledge about civil rights requirements and responsibilities that will increase programs= compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for LEP persons. The baselines for these measures are 51 partnerships and 76 outreach activities.

OCR=s baseline for FY 1998 was 98. In FY 1999 the target was 125, and OCR completed 146, exceeding the target by 21 corrective actions and no violation findings. The targets for FY 2000 and FY 2001 reflect increases above FY 1999. However, based on the FY 1999 data and on the projected allocation of resources in FY 2000 and FY 2001 to other program priorities, including nondiscriminatory quality health care and most integrated settings for persons with disabilities, OCR anticipates that the proportion that limited English proficiency-related cases constitutes of the total workload and of corrective actions and no violation findings will be reduced. OCR continues to project an increase in corrective actions and no violation findings in this program area but at a reduced overall proportion of all corrective actions and no violation findings.

Performance: OCR established this as a performance measure because reviews are activities that OCR initiates and is thereby able to focus its resources on recipients for which OCR has information indicating potential compliance problems. By increasing the number of limited English proficiency reviews, OCR will be focusing more of its resources on priority areas where OCR expects to achieve change from OCR=s involvement.

OCR=s baseline for FY 1998 was 92. In FY 1999 the target was 117, and OCR completed 132, exceeding the target by 15 reviews. In FY 1999 just over 90 percent of corrective actions and no violation findings in limited English proficiency cases were achieved in post-grant reviews and investigations. The targets for FY 2000 and FY 2001 project increases above FY 1999 and are related to the corrective action and no violation targets set in I.C.3.a. above. The review targets reflect a continuation of the proportion that reviews constituted of all corrective actions and no violation findings in cases involving limited English proficiency issues in FY 1999.

Developmental Measures: These performance measures were established because OCR reviews and investigations have shown that providers frequently do not have an adequate number of interpreters, documents, and other aids that can assist limited English proficient individuals to access and benefit from services. In addition, stakeholders, advocacy groups in particular, consistently have identified in meetings with OCR leadership and in other forums that LEP individuals have serious difficulties in accessing services and in receiving quality services due to language and cultural barriers. These measures will indicate whether OCR=s reviews and investigations have resulted in increased access for this population. These four outcome measures are developmental because it will take two to three years to establish baselines. With respect to outcome measures, OCR developed a system for collecting pre- and post-review/complaint investigation data over a two- to three-year period to show the effect of OCR=s involvement on protected beneficiaries of actions taken by HHS service providers.

Performance: OCR established this performance measure because it is an indicator of the extent to which state and local welfare agencies and service providers have gained knowledge about civil rights requirements and responsibilities that will increase their ability to recognize whether their programs and services funded by the Department may have civil rights compliance issues. OCR expects that this increased knowledge will help ensure that TANF programs are in compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for minorities and persons with disabilities. The baseline for this measure is 16.

Performance: OCR established these two performance measures because they are indicators of the extent to which advocacy groups, service providers, and other partners have gained knowledge about civil rights requirements and responsibilities that will increase programs= compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for minorities and persons with disabilities. The baselines for these measures are 20 partnerships and 26 outreach activities.

OCR=s baseline for FY 1998 was eight. In FY 1999 the target was 16, and OCR completed 23, exceeding the target by seven corrective actions and no violation findings. The targets for FY 2000 and FY 2001 reflect increases above FY 1999 based on an assumption that, despite the projected allocation of resources in FY 2000 and FY 2001 to other program priorities, including nondiscriminatory quality health care and most integrated settings for persons with disabilities, the proportion that TANF-related case closures constitutes of total closures will remain the same as in FY 1999.

Performance: OCR established this as a performance measure because reviews are activities that OCR initiates and is thereby able to focus its resources on recipients for which OCR has information indicating potential compliance problems. By increasing the number of TANF reviews, OCR will be focusing more of its resources on priority areas where OCR expects to achieve change from OCR=s involvement.

OCR=s baseline for FY 1998 was seven. In FY 1999 the target was 14, and OCR completed 19, exceeding the target by five reviews. The targets for FY 2000 and FY 2001 reflect increases and are based on the relationship between the number of FY 1999 corrective actions and no violation findings and the number of completed reviews. As noted in I.D.3.a above, despite the allocation of resources to new program priorities, OCR expects that the proportion of TANF-related corrective reviews will remain the same as in FY 1999.

Developmental Measures: These measures will indicate whether OCR=s reviews and investigations have resulted in increased access for these populations. Stakeholders, particularly advocacy groups, have indicated concerns that both minorities and persons with disabilities are being steered to lower end jobs and training opportunities under TANF. These two outcome measures are developmental because it will take two to three years to establish baselines. With respect to outcome measures, OCR developed a system for collecting pre- and post-review/complaint investigation data over a two- to three-year period to show the effect of OCR=s involvement on protected beneficiaries of actions taken by HHS service providers.

Developmental Measures: OCR established these three performance measures because they are indicators of the extent to which advocacy groups, service providers, and other partners have gained knowledge about civil rights requirements and responsibilities that will increase programs= compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to services for minorities. These measures also may indicate the extent to which various stakeholders are working together with OCR to enhance minorities= access to and receipt of nondiscriminatory quality health care. OCR expects to establish baselines and targets for these measures in FY 2001.

Developmental Measure: OCR established this as a performance measure because reviews are activities that OCR initiates and is thereby able to focus its resources on recipients for which OCR has information indicating potential compliance problems. By increasing the number of reviews, OCR will be focusing more of its resources where OCR expects to achieve change from OCR=s involvement. OCR expects to establish a baseline and target for this measure in FY 2001.

Developmental Measure: OCR established this performance measure because it is an indicator of the extent to which OPDIV staff, grantees and program providers have gained knowledge about civil rights requirements and responsibilities that will increase their ability to recognize whether programs and services funded by the Department may have civil rights compliance issues. OCR expects that this increased knowledge will help ensure that recipients of HHS funds are in compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to community-based services for persons with disabilities. OCR will establish a baseline and target for this measure in FY 2001.

Developmental Measures: OCR established these two performance measures because they are indicators of the extent to which advocacy groups, service providers, and other partners have gained knowledge about civil rights requirements and responsibilities that will increase programs= compliance with OCR=s laws and regulations, thereby enhancing nondiscriminatory access to community-based services for persons with disabilities. OCR will establish baselines and targets for these measures in FY 2001.

Developmental Measure: OCR established this as a performance measure because reviews are activities that OCR initiates and is thereby able to focus its resources on recipients for which OCR has information indicating potential compliance problems. By increasing the number of most integrated setting and disability reviews, OCR will be focusing more of its resources on priority areas where OCR expects to achieve change from OCR=s involvement. OCR expects to establish a baseline and target for this measure in FY 2001.

Developmental Measure: This measure will indicate whether OCR=s reviews and investigations have resulted in increased nondiscriminatory access to community-based services for persons with disabilities. Stakeholders, particularly advocacy groups, have indicated concerns that persons with disabilities are being inappropriately provided services in institutional settings and are being denied placements in the most integrated setting appropriate to their needs. This outcome measure is developmental because it will take two to three years to establish baselines. With respect to outcome measures, OCR developed a system for collecting pre- and post-review/complaint investigation data over a two- to three-year period to show the effect of OCR=s involvement on protected beneficiaries of actions taken by HHS service providers.

Performance: OCR=s baseline for FY 1998 was 23% and/or 150. In FY 1999 the target was 30% and/or 233. In FY 1999 the actual percentage of closures focusing on high priority issues was 32.6% and the number of such closures was 209. OCR exceeded its objective of increasing the proportion of closures focusing on high priority issues. The targets for FY 2000 and FY 2001 reflect increases above FY 1999 and are based on a five percent per year increase in the proportion of completed OCR-initiated reviews and investigations that focus on priority issues and an assumption that the proportion of complaint closures that address priority issues will remain a constant six to seven percent of all complaint closures. With an increase in complaint receipts in FY 1999 that was significantly higher than had been projected last year and continuing projected increases in FY 2000 and FY 2001, the overall proportion of case closures focusing on high priority issues will rise more modestly than had been projected last year. This is the case even though the number of OCR-initiated reviews and investigations focusing on priority issues will increase.

Performance: OCR=s baseline for FY 1998 was 21% and/or 123. In FY 1999 the target was 28% and/or 191. In FY 1999 the actual percentage of corrective actions and no violation findings focusing on high priority issues was 31.8% and the number of such corrective actions and no violation findings was 204. OCR exceeded its objectives for increasing the proportion and number of corrective actions and no violation findings focusing on high priority issues. The targets for FY 2000 and FY 2001 reflect increases above FY 1999 and, as noted in II.A.1.a above, are based on a five percent per year increase in the proportion of completed OCR-initiated reviews and investigations that focus on priority issues and an assumption that the proportion of complaint closures that address priority issues will remain a constant six to seven percent of all complaint closures. With an increase in complaint receipts in FY 1999 that was significantly higher than had been projected last year and continuing increases in FY 2000 and FY 2001, the overall proportion of case closures focusing on high priority issues and the associated corrective actions and no violation findings will rise more modestly than had been projected last year. This is the case even though the number of OCR-initiated reviews and investigations focusing on priority issues will increase.

Performance: OCR selected this performance measure because it indicates how efficiently staff are processing high priority cases and the extent to which staff are becoming increasingly familiar with the complex issues raised in each of these priority areas. OCR=s baseline for FY 1998 was 244 days. In FY 1999 the target was 238 days. In FY 1999 the actual average age of priority case closures increased by just over one percent to 247 days. A detailed look at the data suggests that a concerted effort nationwide to close older cases (both priority and non-priority issue-focused cases) resulted in this increase. OCR closed 76.2% of priority issue cases that had been carried into FY 1999 from the prior fiscal year. This compares favorably, particularly in light of the more than three-fold increase in such cases in FY 1999, with the 68.3% of carry-in priority cases closed during FY 1998, the year in which the baseline had been set. The data on closures of more recently received or started cases carried into the fiscal year (i.e., less than 180 days old) and closure of new receipts and starts during FY 1999 are even more encouraging. During FY 1999 OCR closed 63.3% of these cases compared with 52.4% of such cases in FY 1998. In FY 1999, therefore, OCR simultaneously worked to close cases focusing on priority issues that were older (i.e., greater than 180 days old at the start of the fiscal year), while also increasing the proportion of newer priority cases that were both received/initiated and closed during the year.

< increased number of reviews conducted,

< increased number of corrective actions and no violation findings from review and complaint investigation activities,

< increased number of consultations/technical assistance provided,

< increased number of partnerships established.

< increased number of outreach activities conducted, and