Filing a Complaint

**Overview**Below is a summary of OCR's complaint processing procedures.  For additional information please see our Case Processing Manual.

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## U.S. Deparment of EducationOffice for Civil Rights (OCR)

# OCR COMPLAINT PROCESSING PROCEDURES1

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LAWS ENFORCED BY OCR

OCR enforces the following laws: - Title VI of the Civil Rights Act of 1964, which  prohibits discrimination on the basis of race, color or national origin;
- Title IX of the Education  Amendments of 1972, which prohibits discrimination on the basis of sex;
- Section 504 of the  Rehabilitation Act of 1973, which prohibits discrimination on the basis of  disability;
- Age Discrimination Act of 1975,  which prohibits discrimination on the basis of age;
- Title II of the Americans with  Disabilities Act of 1990, which prohibits discrimination on the basis of  disability;
- Boy Scouts of America Equal  Access Act, which prohibits denial of access to or other discrimination against  the Boy Scouts or other Title 36 U.S.C. youth groups in public elementary  schools, public secondary schools, local education agencies, and state  education agencies that have a designated open forum or limited public forum.

 

# EVALUATION

OCR evaluates the written information that it receives to  determine whether it constitutes a complaint that is subject to further  processing.  If so, OCR determines  whether it can investigate the complaint. OCR makes this determination with  respect to each allegation in the complaint. For example, OCR must determine  whether OCR has legal authority to investigate the complaint; that is, whether  the complaint alleges a violation of one or more of the laws OCR enforces. OCR  must also determine whether the complaint is filed on time. Generally, a  complaint must be filed with OCR within 180 calendar days of the date of the  alleged discrimination.2 If the complaint is  not filed on time, the complainant should provide the reason for the delay and  request a waiver of this filing requirement. OCR will decide whether to grant  the waiver. In addition, OCR will determine whether the complaint contains  enough information about the alleged discrimination to proceed to  investigation. If OCR needs more information in order to clarify the complaint,  it will contact the complainant; and the complainant has 14 calendar days  within which to respond to OCR’s request for information unless the complainant  has requested additional time to provide the information. 

Some of the reasons for OCR’s dismissal  of a complaint include: 
              - OCR does not have legal  authority to investigate the complaint;
              - The complaint fails to state a  violation of one of the laws OCR enforces;
              - The complaint was not filed  timely (within 180 calendar days of the date of the alleged discrimination) and  a waiver of the timeliness requirement was not granted;
              - The complaint is speculative,  conclusory, or incoherent, or lacks sufficient detail to infer discrimination  and the complainant does not provide the information that OCR requests within 14  calendar days of OCR’s request, unless the complainant requests additional time  to provide the requested information;
              - The allegations raised by the  complaint have been resolved and are therefore no longer appropriate for  investigation;
              - The complaint has been  investigated by another Federal, state, or local civil rights agency or through  a recipient’s internal grievance procedures, including due process proceedings,  and there was a comparable resolution process pursuant to legal standards that  are acceptable to OCR or, if still pending, OCR anticipates that there will be  a comparable resolution process pursuant to legal standards that are acceptable  to OCR.  OCR will advise the complainant  that he or she may re-file within 60 days of the completion of the other  entity’s action;
              - The  same or similar allegations based on the same operative facts have been filed  by the complainant against the same recipient in state or Federal court.  OCR will advise the complainant that he or  she may re-file within 60 days of the termination of the court proceeding if  there has been no decision on the merits of the case or settlement of the court  complaint; 

 

# OPENING THE COMPLAINT FOR INVESTIGATION

If OCR determines that it will  investigate the complaint, it will issue letters of notification to the  complainant and the recipient. Opening a complaint for investigation in no way  implies that OCR has made a determination with regard to the merits of the  complaint. During the investigation, OCR is a neutral fact-finder. OCR will  collect and analyze relevant evidence from the complainant, the recipient, and  other sources, as appropriate. OCR will ensure that the actions it takes in investigations  are legally sufficient, supported by evidence, and dispositive of the  allegations raised in the complaint. 

 

# INVESTIGATION OF THE COMPLAINT

OCR may use a variety of  fact-finding techniques in its investigation of a complaint. These techniques  may include reviewing documentary evidence submitted by both parties,  conducting interviews with the complainant, recipient’s personnel, and other  witnesses, and/or site visits. At the conclusion of its investigation, OCR will  determine, with regard to each allegation, whether: 
              - There is insufficient evidence  to support a conclusion that the recipient failed to comply with the law, or
              - A preponderance of the evidence  supports a conclusion that the recipient failed to comply with the law.

OCR’s determination will be  explained in a Letter of Findings sent to the complainant and recipient.  Letters of Findings contain fact-specific investigative findings and  dispositions of individual cases. Letters of Findings are not formal statements  of OCR policy and they should not be relied upon, cited, or construed as such.  OCR’s formal policy statements are approved by a duly authorized OCR official  and made available to the public. 

 

# RESOLUTION OF THE COMPLAINT AFTER A DETERMINATION OF  NONCOMPLIANCE

If OCR determines that a  recipient failed to comply with the civil rights law(s) that OCR enforces, OCR  will contact the recipient and will attempt to secure the recipient’s  willingness to negotiate a voluntary resolution agreement. If the recipient  agrees to resolve the complaint, the recipient will negotiate and sign a  written resolution agreement that describes the specific remedial actions that  the recipient will undertake to address the area(s) of noncompliance identified  by OCR. The terms and obligations of the resolution agreement, if fully  performed, will remedy the identified violation(s) in compliance with  applicable civil rights law(s). OCR will monitor the recipient’s implementation  of the terms and obligations of the resolution agreement to verify that the  remedial actions agreed to by the recipient are being properly implemented . 

If the recipient does not agree  to correct its noncompliance with the civil rights law(s) by entering into a  resolution agreement, OCR may initiate proceedings to suspend, terminate, or  refuse to grant or continue Federal financial assistance to the recipient, or may  refer the case to the Department of Justice. 

 

# RESOLUTION OF THE COMPLAINT PRIOR TO THE CONCLUSION  OF THE INVESTIGATION

**Facilitated Resolution Between the Parties:**

Facilitated Resolution Between  the Parties (FRBP) allows the parties (the complainant and the recipient which  is the subject of the complaint) an opportunity to resolve the complaint  allegations quickly; generally, soon after the complaint has been opened for  investigation. If both parties are willing to try this approach, and if OCR  determines that FRBP is appropriate, OCR will facilitate settlement discussions  between the parties and work with the parties to help them understand the legal  standards and possible remedies. Staff assigned by OCR to conduct FRBP will not  be the staff assigned to the investigation of the complaint. 

OCR does not approve, sign or  endorse any agreement reached between the parties as a result of FRBP, and OCR  does not monitor the agreement. However, if the recipient  does not comply with the terms of the  agreement, the complainant may file another complaint with OCR within 180 days  of the date of the original discrimination or within 60 days of the date the  complainant learns of the failure to comply with the agreement, whichever date  is later. 

**Resolution Agreement Reached  During an Investigation**

A complaint may also be resolved  before the conclusion of an investigation, if the recipient expresses an  interest in resolving the complaint **and**OCR  determines that it is appropriate to resolve the complaint because OCR’s  investigation has identified issues that can be addressed through a resolution  agreement.  The provisions of the resolution  agreement must be tied to the allegations and the evidence obtained during the  investigation, and will be consistent with applicable regulations.  OCR will inform the recipient that this  resolution process is voluntary before proceeding to resolution under this section,  and will notify the complainant of the recipient’s interest in resolution.  OCR will monitor a resolution agreement  reached with the recipient before the conclusion of an investigation . After  the recipient signs the resolution agreement, OCR will issue a Resolution  Letter, which will address all allegations in the case resolved pursuant to CPM  Section 302.  

**Appeal**

OCR affords complainants an  opportunity to  appeal a determination(s)  based on a finding of noncompliance (Section 303(a) of OCR’s CPM) and  dismissals based on Sections 108(a), (b), (c), (d), (h), and (i) of OCR’s CPM.  An appeal can be filed electronically, by  mail, or fax.  The complainant must  either submit electronically a completed appeal form  or   submit a written statement of no more than ten (10) pages  (double-spaced, if typed) to the Office for Civil Rights, U.S. Department of  Education, 400 Maryland Avenue SW, Washington, D.C. 20202; if submitted by  e-mail, to OCR@ed.gov; if submitted by fax, to 202-453-6012.  The filing date of an appeal submitted by  mail is the date the appeal is postmarked or submitted electronically or by fax.

In the appeal, the complainant  must explain why he or she believes the factual information was incomplete or  incorrect, the legal analysis was incorrect, or the appropriate legal standard  was not applied, and how correction of any error(s) would change the outcome of  the case; failure to do so may result in dismissal of the appeal.

An appeal must be submitted  within 60 calendar days of the date indicated on the letter of finding or the  dismissal.  A waiver of the 60-day  timeframe may be granted where the complainant was unable to submit the appeal  within the 60-day timeframe because of illness or other circumstances, or because  of circumstances generated by OCR’s action that have adversely affected the  complainant’s ability to submit the appeal timely.

OCR will forward a copy of the  complainant’s appeal to the recipient.  The  recipient has the option to submit to OCR a response to complainant’s  appeal.  Any response to complainant’s  appeal must be submitted to OCR within 14 calendar days of the date that OCR  forwarded a copy of the complainant’s appeal to the recipient.

OCR will issue a written  decision on the appeal to the parties.

 

# ADDITIONAL INFORMATION

**Right to File a Separate Court Action**

The complainant may have the  right to file suit in Federal court, regardless of OCR’s findings. OCR does not  represent the complainant in case processing, so if the complainant wishes to  file a court action, he or she must do so through his or her own attorney or on  his or her own through the court’s pro se clerk’s office. 

If a complainant alleges discrimination  prohibited by the Age Discrimination Act of 1975, a civil action in Federal  court can be filed only after the complainant has exhausted administrative  remedies. Administrative remedies are exhausted when either of the following  has occurred:  
              - 180  days have elapsed since the complainant filed the complaint with OCR and OCR  has made no findings; or
              - OCR issues a finding in favor of the recipient.  If this occurs, OCR will promptly notify the  complainant and will provide additional information about the right to file for  injunctive relief.

**Prohibition against Intimidation or Retaliation**

A recipient under the  jurisdiction of the Department of Education may not intimidate, threaten,  coerce, or retaliate against anyone who asserts a right protected by the civil  rights laws that OCR enforces, or who cooperates in an investigation.  Anyone who believes that he or she has been  intimidated or retaliated against should file a complaint with OCR.

**Investigatory Use of Personal Information**

In order to investigate a  complaint, OCR may need to collect and analyze personal information such as  student records or employment records.   The Privacy Act of 1974, 5  U.S.C. § 552a (Privacy Act), Family Educational Rights and Privacy Act  (FERPA), 20 U.S.C. §1232g, and the Freedom of Information  Act (FOIA), 5 U.S.C. §552, govern the use of personal information that is submitted  to all Federal agencies and their individual components, including OCR. The  Privacy Act protects individuals from the misuse of personal information held  by the Federal government. It applies to records that are maintained by the Federal  government and that are retrieved from a system of records by the individual's  name, social security number, or other personal identifier. It regulates the  collection, maintenance, use and dissemination of  personal information in records contained in  systems of  records of Federal government.   

The information  that OCR collects is analyzed by authorized personnel within the agency and  will be used by OCR only for authorized civil rights compliance and enforcement  activities. However, in order to investigate or resolve a complaint, OCR may  need to reveal certain information to persons outside the agency to verify  facts or gather additional information. Such details could include, for  example, the name, age, or physical condition of the person who is the alleged  subject of discrimination. Also, OCR may be required to reveal information  requested under FOIA, which gives the public the right of access to records of  Federal agencies. Disclosure will only be made as consistent with  the Privacy Act, FERPA, and FOIA.

 

However, OCR can release certain  information about your complaint to the press or general public, including the  name of therecipient; the date your complaint was filed; the type of  discrimination included in the complaint; the date the complaint was resolved,  dismissed or closed; the basic reasons for OCR’s decision; or other related  information. Any information OCR releases to the press or general public will  not include the complainant’s  name or  the name of the person on whose behalf   the complaint was filed.

FOIA gives  the public the right of access to records   of Federal agencies. Individuals may obtain items from many categories  of records of the Federal government, not just materials that apply to them  personally. OCR must honor requests for records under FOIA, with some  exceptions. If records are covered by the Privacy Act they must be required to  be released under FOIA. Generally, OCR is not required to release records during  the case evaluation and investigation process or enforcement proceedings, if  the release could reasonably be expected to interfere with or affect the  ability of OCR to do its job. 5 U.S.C. § 552(b)(7)(A). Also, a federal  agency is not required to release records if they are pre-decisional documents  that would be subject to certain privileges in litigation. See 5 U.S.C. §  552(b)(5). A Federal agency  may refuse a request for records if their release would or could reasonably be  expected to result in an unwarranted invasion of privacy of an individual. 5  U.S.C. § 552(b)(6) and (7)(C),  such as  medical records, which may be denied where disclosure would be a clearly  unwarranted invasion of privacy.

 

Updated November 2018

1 These procedures are a summary  of OCR’s Case Processing Manual (CPM); the CPM contains more detailed  explanations of OCR’s procedures.

2 Complaints that allege discrimination based on age are timely if filed with OCR  within 180 calendar days of the date the complainant first knew about the  alleged discrimination. 
Top  Last Modified: 03/19/2024