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INTRODUCTION

The Office for Civil Rights’ (OCR) core mission as a law enforcement 
  agency is to ensure that recipients of federal funds do not engage in discriminatory 
  conduct. The Case Resolution and Investigation Manual (CRIM) provides OCR with 
  the procedures to promptly and effectively investigate and resolve complaints 
  against recipients allegedly engaging in discriminatory practices.

Updated May 2005



**TABLE OF CONTENTS**

**Article I EVALUATION OF THE COMPLAINT**

Section 101 Determine What Constitutes a Complaint 
    Section 102 Acknowledge the Complaint 
    Section 103 Assign a Case Number and Establish a File for Each 
    Complaint 
    Section 104 Determine Subject Matter Jurisdiction 
    Section 105 Determine Personal Jurisdiction 
    Section 106 Determine Whether There is Sufficient Factual Basis 
    to Proceed 
    Section 107 Determine Whether the Complaint is Timely 
    Section 108 Determine Whether A Waiver Should Be Granted 
    
    Section 109 Determine Whether to Proceed Further with Complaint 
    Resolution 
    Section 110 Notify the Parties Following Complaint Evaluation

**Article II EARLY COMPLAINT RESOLUTION (ECR)**

Section 201 Informing Parties of the ECR Process 
    Section 202 ECR Resolution 
    Section 203 Investigative Determination When ECR is Not Achieved

**Article III INVESTIGATION AND RESOLUTION OF THE COMPLAINT 
  AND ISSUING LETTERS OF FINDING**

Section 301 Case Planning 
    Section 302 Investigative Determinations 
    Section 303 Request for Review of OCR Decisions 
    
	Section 304 Monitor Post-Investigation OCR Agreements 
    
    Section 305 Notify the Department of Justice (DOJ) or EEOC when Required 
    Section 306 Prepare a Letter of Findings 
    Section 307 Issue a Violation Letter of Findings

**Article IV INITIATING ENFORCEMENT ACTION**

Section 401 Initiate Administrative Proceedings Where Appropriate 
    
    Section 402 Refer to DOJ Where Appropriate 
    Section 403 Move to Enforcement for Denial of Access 
    Section 404 Move to Enforcement for Failure to Comply with 
    OCR Agreement

**Article V COMPLIANCE REVIEWS**

**Article VI APPENDICES**

Section 601 Special Intake Procedures

(a) Age Discrimination Complaints 
(b) Title VI Complaints Against Proprietary Schools 
(c) Title VI and Title IX Employment Complaints 
(d) Title II ADA Complaints (Other than Employment) 
(e) Disability Employment Complaints

Section 602 Data Collection and Information Gathering

(a) Generally 
(b) OCR's Authority for Obtaining Information 
(c) Requests for Records

Data Request Letters
Timeframes for Recipient's Response
Data Provided by Recipient
Confidentiality


(d) Interviews

Introduction
Notice
Privacy
Interviews with Minors (Persons Under 18) or Legally Incompetent 
Individuals
Records of Interviews


(e) Limitations on Obtaining Information

Actions Constituting Denial of Access
Refusals to Provide Data or Access to Witnesses


Section 603 Freedom of Information Act and Privacy Act

Section 604 Recipients Operating Under Federal Court Order

(a) United States a Party
(b) United States Not a Party

Section 605 Early Complaint Resolution

Section 606 Information about OCR's Complaint Resolution 
    Procedures

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**Article I EVALUATE THE COMPLAINT**

If OCR determines that written information provided to the U.S. Department 
  of Education (the Department) is a complaint, OCR will establish whether it 
  has sufficient information to proceed to complaint resolution. OCR will provide 
  complainants with assistance regarding the nature of their rights and of the 
  OCR investigation process. Additionally, OCR staff will provide appropriate 
  assistance to complainants who are persons with disabilities and individuals 
  of limited English proficiency.

For additional information on the complaint resolution process see Sections 
  602 and 606.

All information within investigation files is subject to Freedom of Information 
  Act and Privacy Act. (See Section 603.)

**Section 101 Determine What Constitutes a Complaint**

A complaint is a written or electronic statement to the 
  Department alleging that the rights of one or more persons have been violated 
  and requesting that the Department take action. Complaints may be filed online 
  as well as by mail, fax, or in person. Some correspondence that OCR receives, 
  even if it concerns an alleged civil rights violation, may not be a complaint. 
  Immediately upon receipt, OCR will determine whether or not the correspondence 
  is a complaint. Until OCR is able to accept electronic signatures, if a complaint 
  is filed electronically, by e-mail or fax, a signed consent form must be secured 
  in lieu of a signed complaint form.

The following are not complaints:

(a) Oral allegations that are not reduced to writing and signed; 
    (b) Anonymous correspondence; 
    (c) Courtesy copies of correspondence or a complaint filed with others; or 
    
    (d)	Inquiries that seek advice or information but do not seek action or intervention from the Department.

**Section 102 Acknowledge the Complaint**

A letter will be sent to the complainant to acknowledge 
  receipt of the complaint. The complainant will be informed that the complaint 
  will be evaluated to determine whether OCR has authority to investigate the 
  allegations. OCR also will inform the complainant that the complaint is being 
  evaluated and that further communications about the complaint will occur in 
  the near future. If not already provided by the complainant, a consent form 
  will be included with OCR's acknowledgement letter. The response will also include 
  a copy of "Information About OCR's Complaint Resolution Procedures." 
  (See Section 606.)

**Section 103 Assign a Case Number and Establish 
    a File for Each Complaint**

The case opening date is the date a complaint is received 
  by the appropriate OCR Enforcement office. Complaints received by email or by 
  fax over a weekend or on a holiday will be considered received on the next workday. 
  Upon receipt by the appropriate OCR Office, OCR assigns the incoming complaint 
  a case number. The office establishes a case file for each complaint. The complaint, 
  however it was filed, must be included in the case file.

In cases of multiple complaints, the following guidelines should be applied 
  in determining how many case numbers should be assigned:

(a) The office will assign a separate case number to each recipient1 
  named in the complaint. If, during the course of the investigation, OCR determines 
  that other recipients are involved in the alleged acts of discrimination, the 
  office will open separate complaints and assign a case number for each such 
  recipient; the case opening date for such complaints is the date determined 
  by OCR that the complaint should be opened.

(b) Complaints from more than one person against the same recipient that contain different allegations are treated as separate complaints.

(c) Complaints filed by more than one person that raise substantially identical allegations against the same recipient may be treated as one complaint and assigned one case number or, if received later, incorporated into an existing complaint.  If the complaints raise individual allegations, the office should assign separate case numbers.

(d) New allegations filed by the same person against the same 
  recipient after complaint resolution has begun are reviewed on a case-by-case 
  basis to determine whether the allegations should be added to the open complaint 
  or treated as a new complaint.

**Section 104 Determine Subject Matter Jurisdiction**

OCR must have jurisdiction over the subject matter of the 
  complaint. For OCR to establish jurisdiction, the complaint must allege, or 
  OCR must be able to infer from the facts given, an allegation of: 1) discrimination 
  based on race, color, national origin, sex, disability or age, 2) discrimination 
  in violation of the Boy Scouts of America Equal Access Act, or 3) retaliation 
  for the purpose of interfering with any right or privilege secured by the civil 
  rights laws enforced by OCR, or as a result of making a complaint, testifying, 
  or participating in any manner in an OCR proceeding. 34 C.F.R. §§ 
  100.7(e), 104.61, 106.71, 110.34; 28 C.F.R. § 35.134.

OCR has jurisdiction under the following statutory authorities:

**(a) Title VI of the Civil Rights Act of 1964**, 
  42 U.S.C. §§ 2000d et seq., 34 C.F.R. Part 100

Under Title VI, OCR has jurisdiction to investigate complaints 
  involving program participants (e.g., students, parents) and certain employment 
  complaints based on race, color, or national origin. With respect to employment, 
  OCR has jurisdiction if (1) the alleged discrimination could adversely affect 
  program beneficiaries on the basis of race, color, or national origin, or (2) 
  a primary objective of the federal financial assistance is to provide employment. 
  See Section 601(b) for processing Title VI complaints 
  with respect to proprietary vocational schools. For employment complaints, OCR 
  follows procedures consistent with the employment coordinating regulations; 
  28 C.F.R. Part 42 and 29 C.F.R. Part 1691. See Section 601(c) 
  regarding these procedures.

**(b) Title IX of the Education Amendments of 1972**, 
  as amended, 20 U.S.C. §§ 1681 et seq., 34 C.F.R. Part 106

Under Title IX, OCR has jurisdiction to investigate complaints 
  involving program participants (e.g., students, parents) and employment complaints 
  based on sex that involve educational programs and activities. For employment 
  complaints, OCR follows procedures consistent with the employment coordinating 
  regulations; 28 C.F.R. Part 42 and 29 C.F.R. Part 1691. See Section 
  601(c) regarding these procedures.

**(c) Section 504 of the Rehabilitation Act of 1973**, 
  as amended, 29 U.S.C. § 794, 34 C.F.R. Part 104

Under Section 504, OCR has jurisdiction to investigate complaints 
  involving program participants (e.g., students, parents) and employment complaints 
  based on disability. For employment complaints, OCR follows procedures consistent 
  with the employment coordination regulations, 28 C.F.R. Part 37 and 29 C.F.R. 
  Part 1640. See Section 601(e) regarding these procedures.

**(d) Age Discrimination Act of 1975**, 42 U.S.C. 
  §§ 6101 et seq., 34 C.F.R. Part 110

Under the Age Discrimination Act, OCR has jurisdiction to investigate 
  complaints involving program participants (e.g., students, parents). See Section 
  601(a)2 for instructions regarding referral of complaints to the Federal 
  Mediation and Conciliation Services (FMCS) before investigation. OCR does not 
  have jurisdiction over employment under the Age Discrimination Act. See Section 
  601(a)(1) for procedures on referral to EEOC.

**(e) Title II of the Americans with Disabilities Act 
  of 1990**, 42 U.S.C. §§ 12131 et seq., 28 C.F.R. Part 35

Title II prohibits discrimination on the basis of disability 
  by public entities, whether or not they receive federal financial assistance. 
  OCR has jurisdiction over Title II complaints involving program participants 
  (e.g., students, parents) against public elementary and secondary education 
  systems and institutions, institutions of higher education and vocational education 
  (other than schools of medicine, dentistry, nursing, and other health-related 
  schools), and libraries. OCR also has jurisdiction over employment complaints 
  against these entities, subject to the provisions of the employment coordination 
  regulations at 28 C.F.R. Part 37 and 29 C.F.R. Part 1640, which address coordinating 
  disability employment complaints with DOJ and the EEOC. (See Section 
  601(e) regarding these procedures.)

**(f) Boy Scouts of America Equal Access Act**, 
  20 U.S.C. § 7905, 34 C.F.R. Part 108 (proposed)

Under the Boy Scouts Act, OCR has jurisdiction over complaints 
  alleging denial of equal access or a fair opportunity to meet to, or other discrimination 
  against, the Boy Scouts or other Title 36 U.S.C. youth groups. OCR’s jurisdiction 
  under this act is limited to public elementary schools, public secondary schools, 
  LEAs and SEAs that have a designated open forum or a limited public forum and 
  that received funds from the Department.

**Section 105 Determine Personal Jurisdiction**

OCR must also have jurisdiction over the institution alleged 
  to have discriminated. OCR has jurisdiction over institutions that receive federal 
  financial assistance from the Department, institutions for which OCR has been 
  delegated authority from other federal agencies, and certain public entities 
  (see n. 1). If a complaint is filed against an institution 
  OCR does not cover or does not state a claim under the statutes identified above, 
  OCR will not proceed further. When appropriate, the Enforcement Office will 
  refer the complaint to another agency.

**Section 106 Determine Whether There is Sufficient 
    Factual Basis to Proceed**

In order for OCR to proceed, the complainant must provide 
  OCR with sufficient information to support the factual basis for the complainant’s 
  belief that discrimination has occurred and when it occurred. Generally, statistical 
  data alone are not sufficient, absent allegations that actions by a recipient, 
  if true, would violate one of the laws that OCR enforces. The complaint should 
  include a written explanation of what happened; a way to contact the complainant 
  (if complaint is filed by e-mail OCR must have the complainant’s actual 
  name and address); identification of the person or group injured by the alleged 
  discrimination; and identification of the person or institution alleged to have 
  discriminated.

OCR may contact the complainant by phone or in writing to request information 
  that will assist OCR to understand the basis for the complaint. OCR may close 
  a complaint where the complainant fails to provide information that is necessary 
  for OCR to proceed, provided that OCR has made a written request to the complainant 
  for the information and has informed the complainant that the complaint may 
  be closed if the information is not received within 20 calendar days (or a longer 
  period if warranted) of the date of the written request. If the complaint is 
  closed for failure to provide necessary information within the stated time period, 
  the complainant will be so informed in writing. In certain circumstances OCR 
  may identify information relevant to the evaluation through other sources (e.g., 
  websites, public information).

If the complaint contains sufficient information with respect to at least one 
  allegation, but lacks sufficient information with respect to other allegations, 
  OCR will attempt to obtain the missing information, as described above. Where 
  sufficient information to support an allegation is not supplied within the 20-day 
  timeframe, the allegation will be closed; OCR will initiate complaint resolution 
  only for those allegations for which sufficient information has been provided.

When disclosure of the identity of the complainant is necessary, OCR will require 
  written consent before proceeding to complaint resolution. OCR does not need 
  a specific form from the complainant, but does need written confirmation that 
  the complainant authorizes OCR to disclose the complainant's name. A complainant 
  filing on behalf of another person is responsible for securing the written consent 
  from that individual, including when a parent files for a student over the age 
  of 18. Where the person is a minor (under the age of 18) or a legally incompetent 
  adult, the consent form must be signed by that person's parent or legal guardian. 
  Parental or legal guardian consent may not be required for persons under the 
  age of 18 if they are emancipated under state law and are therefore considered 
  to have obtained majority. Proof of emancipation or incompetence must be provided. 
  The written consent should include an assurance of cooperation with OCR's investigation 
  and complaint resolution activities. OCR will inform the complainant that the 
  complaint will be closed if written consent is not received within 20 calendar 
  days of the date of request. If OCR does not receive such timely written consent, 
  the complaint will be closed, and the complainant informed in writing.

**Section 107 Determine Whether 
  the Complaint is Timely**

OCR will take action only with respect to those complaint 
  allegations that have been filed within 180 calendar days of the date of the 
  last act of alleged discrimination unless the complainant is granted a waiver 
  under Section 108. The filing date of a complaint is the earlier of the following:

(a) the postmark of the complaint (or date of the e-mail, fax 
  or electronic submission);
  (b) the date the complaint is received by any Department office; or
  (c) for Title II complaints referred from DOJ, the date the complaint is received 
  by DOJ.

Timely complaints may include those where the complainant 
  alleges a continuing discriminatory policy or practice. The person or team evaluating 
  the complaint shall make the determination of the existence of a continuing 
  discriminatory policy or practice, in consultation with legal staff.

**Section 108 Determine Whether a Waiver Should be 
    Granted**

If a complaint is not filed in a timely manner, OCR will notify the complainant 
    of the opportunity to request a waiver. The Office Director, or designee, 
    may grant a waiver of the 180-day filing requirement under any of the following 
    circumstances:

(a) The complainant could not reasonably be expected to know 
  the act was discriminatory within the 180-day period, and the complaint was 
  filed within 60 days after the complainant became aware of the alleged discrimination;

(b) The complainant was unable to file a complaint because of 
incapacitating illness or other incapacitating circumstances during the 180-day 
period, and the complaint was filed within 60 days after the period of incapacitation 
ended;

(c) The complainant filed a complaint alleging the same discriminatory 
  conduct within the 180-day period with another federal, state, or local civil 
  rights enforcement agency, and filed a complaint with OCR within 60 days after 
  the other agency had completed its investigation or notified the complainant 
  that it would take no further action;

(d) The complainant filed, within the 180-day period, an internal 
  grievance, including a due process hearing, alleging the same discriminatory 
  conduct that is the subject of the OCR complaint, and the complaint is filed 
  no later than 60 days after the internal grievance is concluded; or

(e) Unique circumstances generated by OCR’s action have 
  adversely affected the complainant.

If a waiver is not requested or requested but not granted, 
  the case will be closed and the complainant informed of the decision.

**Section 109 Determine Whether 
  to Proceed Further with Complaint Resolution**

There are a variety of reasons why OCR will decline to 
  proceed further with complaint allegations:

(a) The complaint has been investigated by another agency and 
  the resolution of the complaint meets OCR regulatory standards; i.e., all allegations 
  were investigated, appropriate legal standards were applied, and any remedies 
  secured meet OCR's standards.

(b) The complaint allegations are foreclosed by previous decisions 
  of the federal courts, the Secretary of Education, the Civil Rights Reviewing 
  Authority, or OCR policy determinations.

(c) OCR obtains credible information at any time indicating 
  that the allegations raised by the complaint have been resolved, or are moot 
  and there are no class-wide allegations. In such a case, OCR will attempt to 
  ascertain the apparent resolution. If OCR determines that there are no current 
  allegations appropriate for further complaint resolution, the complaint will 
  be closed.

(d) The Enforcement Office determines that its ability to complete 
  the investigation is substantially impaired by the complainant's or injured 
  party's refusal to provide information necessary for investigation of the complaint. 
  The Office will so inform the complainant or injured party in writing as soon 
  as possible. The letter must also inform the complainant or injured party that 
  if the necessary information is not provided within 20 calendar days of the 
  date of the letter, OCR will close the case.

(e) The complaint is so weak, insubstantial, 
  or lacking in detail that it is without merit, or so replete with incoherent 
  statements that it, as a whole, cannot be considered to be grounded in fact.

There are a variety of reasons why OCR may decline to proceed 
  further with complaint allegations:

(f) The complaint is a continuation of a 
  pattern of previously filed complaints involving the same or similar allegations 
  against the same recipient or other recipients that have been found factually 
  or legally insubstantial by OCR.

(g) The same allegations and issues of the 
  complaint have been addressed in a recently resolved OCR complaint or compliance 
  review.

(h) The complainant decides to withdraw his or her complaint. 
  If the complaint included class allegations, the office may:

close out the entire complaint;
    pursue resolution of the class allegations; or
    use the information to target future compliance review activity.


(i) Litigation has been filed raising the 
  same allegations. An OCR complaint may be re-filed within 60 days following 
  termination of the court proceeding if there has been no decision on the merits 
  or settlement of the complaint allegations. (Dismissal with prejudice is considered 
  a decision on the merits.)

(j) The same complaint allegations have been filed with another 
  federal, state, or local agency, or through a recipient’s internal grievance 
  procedures, including due process proceedings, and OCR anticipates that there 
  will be a comparable resolution process under comparable legal standards; i.e., 
  all allegations were investigated, appropriate legal standards were applied, 
  and any remedies secured met OCR’s standards. The complainant should be 
  advised that she or he may re-file within 60 days of the completion of the other 
  entity’s action. Generally, OCR will not conduct its own investigation; 
  instead, OCR reviews the results of the other entity’s action and determines 
  whether the other entity provided a comparable process and met appropriate legal 
  standards.

(k) Some complaints over which OCR has jurisdiction may be 
  closed when OCR transfers or refers the complaint to another agency for investigation. 
  For clarification see Section 601, Special Intake Procedures.

(l) The death of the complainant or injured 
  party makes it impossible to investigate the allegations fully, or when the 
  death of the complainant or injured party forecloses the possibility of relief 
  because the complaint involved potential relief solely for the complainant or 
  injured party.

(m) A complaint, because of its scope, 
  may require extraordinary resources. In such instances, the Office Director 
  in consultation with the Enforcement Director and the Deputy Assistant Secretary 
  for Enforcement may consider treating such a complaint as a compliance review. 
  Similarly, a compliance review may be the most effective means of addressing 
  multiple individual complaints against the same recipient. If the Enforcement 
  Office selects this option, it should discuss the decision with the complainant(s), 
  close the complaint, assign a compliance review number, and initiate the review 
  as soon as possible. OCR will provide the complainant(s) with a copy of the 
  resolution documents upon completion of the compliance review.

**Section 110 Notify the Parties Following Complaint 
    Evaluation**

OCR will notify the complainant and, where appropriate, 
  the recipient whether OCR will proceed:

(a) If OCR decides not to proceed for one of the reasons identified 
  above, the letter to the complainant (and recipient if appropriate) will explain 
  the reason for the decision. All such letters will be approved by legal staff 
  assigned to the case. In addition, for closures under Sections 106 and 109 (a), 
  (b), (c), (e) and (k) the letter will be approved by the Chief Attorney or a 
  person specifically designated to act on behalf of the Chief Attorney.

(b) If OCR decides to proceed, the evaluation letters to the 
  complainant and recipient will contain:

the basis for the complaint;
    a brief statement of the allegations over which OCR has jurisdiction;
    a brief statement of OCR's jurisdiction over the complaint; and
    an indication of when the parties will be contacted.


Where a letter is sent to the recipient, the document "Information 
  About OCR's Complaint Procedures" should be attached. OCR's objective is 
  to complete complaint evaluation promptly. The time required to complete the 
  evaluation of complaint allegations will vary depending upon the nature of the 
  complaint and the nature and sufficiency of the information provided to OCR. 
  For planning purposes, a target date for completion of complaint evaluation 
  should be established.

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**Article II EARLY COMPLAINT RESOLUTION (ECR)**

The ECR process facilitates the resolution of complaints by providing an opportunity 
  for the parties involved to resolve the allegations that prompted the complaint 
  voluntarily.

**Section 201 Informing Parties of the ECR Process**

If the office determines that ECR is appropriate and the 
  complainant and the recipient are willing to proceed, the office will initiate 
  ECR to facilitate an agreement between the recipient and the complainant. ECR 
  may take place at any time during the investigative process. OCR does not sign, 
  approve, or endorse any agreement reached between the parties. However, OCR 
  should assist both parties in understanding pertinent legal standards and possible 
  remedies.

**Section 202 ECR Resolution**

At the conclusion of ECR, OCR should obtain a copy of a 
  statement that the allegation has been resolved, signed by the complainant, 
  or a copy of any settlement agreement that has been signed by the complainant. 
  Once resolution of any allegation has been obtained, OCR may notify the parties 
  in writing that the allegation(s) has or have been resolved; other outstanding 
  issues, if any, are to be resolved through the investigation and resolution 
  process. (See Article III.) A copy of any agreement between 
  the parties should be attached to the resolution letter. (See Section 
  605 for more information on the ECR process.)

**(a) Breach of Agreements**

OCR will not monitor the agreement but will inform the parties 
  that if a breach occurs, the complainant has the right to file another complaint. 
  If such a new complaint is filed, OCR will address the original allegations 
  and will not address the alleged breach of the agreement. To be considered timely, 
  the new complaint must be filed either within 180 days of the date of the original 
  discrimination or within 60 days of the date the complainant obtains information 
  that a breach occurred, whichever date is later.

**Section 203 Investigative Determination When ECR is Not Achieved**

The office should monitor the process of ECR carefully 
  to ensure adequate time for completion of the investigation in the event that 
  ECR is unsuccessful. The investigation must be completed in accordance with 
  normal case processing standards and timelines. (See also Section 
  602.)

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**Article III INVESTIGATION AND RESOLUTION OF THE COMPLAINT 
AND ISSUING LETTERS OF FINDING**

OCR will keep the parties (complainants and recipients) informed of the progress 
  in resolving a complaint and will communicate with the parties regularly regarding 
  the status of any unresolved complaint. OCR staff will return the parties’ 
  telephone calls promptly, by the end of the following business day. OCR staff 
  will acknowledge receipt of the parties’ substantive letters and emails 
  promptly and, where a response is needed, normally provide a response to those 
  letters and emails in a timely manner. These communications will be documented 
  in the case file.

**Section 301 Case Planning**

Case planning will begin as early as possible and will 
  be conducted throughout the life of every case to ensure high quality decisions, 
  prompt resolutions and efficient use of OCR resources. Planning decisions will 
  reflect sound legal standards and will be adjusted as necessary to take into 
  account new information obtained during case processing. Planning will be collaborative 
  and will include staff such as the attorney and the investigator, and, as appropriate, 
  a manager.

The following essential elements of case planning will 
  be addressed in every OCR case and placed in the file (unless inapplicable):

(a) Allegation(s)
  (b) OCR’s jurisdiction over subject matter and parties
  (c) Legal issue(s) and approach
  (d) Resolution approach (e.g. ECR, Article I closure, or investigation) 
  (e) Investigation strategy
  (f) Settlement agreement (including alignment of remedies with legal issues)
  (g) Efficient use of resources including time

Management is accountable for effective planning and will 
  participate in critical planning decisions commensurate with the nature and 
  complexity of the case, to ensure consistent high quality casework.

The case file will contain documentation that supports 
  the decisions made with respect to each of the applicable essential planning 
  elements. Planning documentation should be organized so that it can be readily 
  located in the case file. In routine closures under Article I provisions, the 
  required documentation may be satisfied by the closure letter.

OCR staff will carefully plan all settlement activities. 
  These planning activities will ensure accountability for high quality and consistency 
  with OCR standards and will address:

(a) required action(s) to achieve compliance, 
(b) dates for completion of specific actions,
(c) verification/reporting requirements (e.g. a description of specific data, 
documentation and other needed information),
(d) dates for reporting to OCR, and
(e) efficient resource use including:

verification methods (e.g. reports/ reviews and/or onsite visits); and
reporting requirements.


**Section 302 Investigative Determinations**

After the investigation begins, a complaint may be resolved 
  in either of the following ways:

> OCR determines that there is insufficient evidence to support a conclusion 
>     of noncompliance; or
>   OCR determines that there is sufficient evidence to support a conclusion 
>     of noncompliance and the recipient enters into an agreement.
>     (For recipients operating under federal court order see Section 
>     604.)

The resolution letter will be reviewed and approved by 
  the Office Director and Chief Attorney or persons specifically designated to 
  act on their behalf. All resolution letters that make a determination under 
  Title II of the Americans with Disabilities Act will include the following language: 
  the complainant may file a private suit pursuant to section 203 of the Americans 
  with Disabilities Act, whether or not OCR finds a violation of Title II.

**(a) Insufficient Evidence Determination**

When OCR determines that the evidence does not support a conclusion 
  that the recipient failed to comply with applicable regulations, OCR will inform 
  the parties in writing. The resolution letter to the parties should include:

a statement of the complaint issues addressed by the letter;
    a statement of OCR's jurisdiction over the complaint; and
    sufficient explanation of the pertinent legal standard and factual analysis 
      so that those receiving the document can understand how OCR reached its 
      determination.


The case file should include an index of documents in the file 
  and a key referencing by tab of the evidence relied upon in making the determination.

The resolution letter will be reviewed and approved by the Office 
  Director and Chief Attorney, or persons specifically designated as acting on 
  their behalf

**(b) Resolution Through an Agreement**

When OCR determines that the evidence supports a conclusion 
  that the recipient failed to comply with applicable regulations, OCR will negotiate 
  with the recipient to reach a voluntary agreement. This agreement may be reached 
  before or after completion of an investigation but must be based on evidence 
  of legal non-compliance, rather than unfounded allegations or nonspecific concerns.

**1. Statement of the Case** Whenever OCR enters into a resolution agreement a Statement 
    of the Case is required, which the Chief Attorney or designee must approve. 
    The file will include a Statement of the Case that sets out the issues investigated; 
    OCR’s basis for entering into a resolution agreement; and an explanation 
    of how the terms of the agreement are aligned with the issues investigated 
    and are consistent with applicable regulations. A cross-reference and/or key 
    to the evidence in the case file will also be included. **(i) Agreement Reached During An Investigation** A complaint may be resolved when, in the course of an investigation, 
    the recipient asks to resolve the complaint. Such a resolution agreement will 
    require that the recipient admit in some manner that it has acted as alleged 
    by the complainant or as the investigation thus far has indicated, although 
    the admission need not be in writing. This admission should be reflected in 
    the case file. The provisions of the agreement will be aligned with the complaint 
    or the investigation information and will be consistent with applicable regulations. 
    The complaint will be considered resolved and the recipient deemed compliant 
    if the recipient enters into an agreement that, fully performed, will remedy 
    the identified violations. A copy of the agreement will be included with the 
    resolution letter. **(ii) Agreement Reached After Completion of Investigation** When OCR concludes that the recipient has violated applicable 
    law, OCR will contact the recipient, explain the basis for its conclusion, 
    and attempt to negotiate an agreement that resolves the identified areas of 
    noncompliance. The agreement must be consistent with policy and aligned with 
    the identified violation. The complaint will be considered resolved and the 
    recipient deemed compliant if the recipient enters into an agreement that, 
    fully performed, will remedy the identified violations. A copy of the agreement 
    will be included with the resolution letter. The file will include a Statement 
    of the Case as outlined above. **2. Guidelines for Agreements** Settlement planning will be documented in the case file 
    either separately or by reference to the resolution agreement. (i) Settlement Agreements will: be signed by a person with authority to bind the recipient;
      be approved by the Chief Attorney or a person specifically designated 
        as acting on his/her behalf;
      be approved by the Office Director or a person specifically designated 
        as acting on his/her behalf; and
      include: 
        specific acts or steps the recipient will take to resolve compliance 
            issues;
          dates for implementing each act or step; and
          dates for submission of reports and documentation verifying implementation. Where the agreement is memorialized through an exchange of letters, each of the above elements must be satisfied. While many agreements may be fully implemented within 
    a short period of time, some agreements will involve more complex terms that 
    require additional time to complete. The general expectation is that settlement 
    agreements should be implemented and monitored for not more than two years 
    after its issuance of the resolution letter. (ii) Following are examples of circumstances that may justify 
    extending the period of implementation and monitoring beyond two years: action involving construction of, or major modification to, a recipient’s 
        facilities;
      action that cannot be completed without action by a legislative body; 
        or
      action requiring the collection and analysis of data lasting more than 
        one school year. A copy of the agreement will be attached to the resolution 
    letter. **3. Guidelines for Resolution Letters** In addition, after the agreement is signed, the resolution 
    letter to the parties should include: (i) a statement of the complaint issues addressed by the 
    letter;
    (ii) a statement of OCR’s jurisdiction over the complaint; and
    (iii) sufficient explanation of the pertinent legal standard and factual analysis 
    so that those receiving the document can understand how OCR reached its determination. The resolution letter will be approved by the Chief Attorney 
    and the Office Director or persons specifically designated as acting on their 
    behalf.


**(c) Non-compliance Determination Without an Agreement**

When OCR’s investigation has resulted in a determination 
  that the recipient has not complied with applicable regulations and the recipient 
  declines to enter into an agreement, the Enforcement Office will follow the 
  procedures in Section 306 and 307.

**Section 303 Request for Review of OCR Decisions**

(a) OCR is committed to a high quality resolution of every 
  case. OCR affords an opportunity for reconsideration of resolution or closure 
  decisions that include a determination adverse to the complainant. Notice of 
  the reconsideration process is provided to complainants in the information sheet 
  that is enclosed with OCR’s letter acknowledging receipt of the complaint 
  (CRIM Section 606). Notice of OCR’s reconsideration 
  process is also published on OCR’s Internet site: http://www.ed.gov/about/offices/list/ocr/complaints-how.html.
  In addition, OCR will provide a specific notice of the reconsideration process 
  in letters to complainants closing allegations or issues pursuant to the following 
  sections of the CRIM: 106, 109(e), (f), 
  (g), (i), (l), 
  (m) and 302(a).
  In letters closing a complaint under the above-cited sections of the CRIM, the 
  complainant will be informed that any questions or concerns about OCR’s 
  case determination should be raised with the OCR staff person whose name appears 
  in the letter. The complainant also will be informed that if he or she still 
  has concerns after consulting the staff person, he or she may send a request 
  for reconsideration to the Office Director within 60 days of the date of the 
  letter and that contacting the staff person neither tolls the 60 day timeline 
  nor is a prerequisite to filing a request for reconsideration with the Office 
  Director. The complainant will be directed to be as specific as possible, focusing 
  on factual or legal concerns that could change the disposition of the case. 
  General dissatisfaction with the decision will not be sufficient.
  Although a complainant generally is expected to submit a request for reconsideration 
  within 60 days of the date of the resolution letter, the Office Director may 
  exercise discretion in granting a waiver of the 60-day timeframe where:

the complainant was unable to submit the request for reconsideration 
        within the 60-day timeframe because of illness or other incapacitating 
        circumstances and the request was filed within 30 days after the period 
        of illness or incapacitation ended; or
    unique circumstances generated by agency action have adversely affected 
      the complainant.


If a complainant files a request for reconsideration with the 
  Office Director, the Office Director will issue a written decision on a request 
  for reconsideration as promptly as possible.

(b) The response from the Office Director will include notice 
  that if the complainant is dissatisfied with the decision of the Office Director, 
  the complainant may submit a request for reconsideration in writing to the office 
  of the Deputy Assistant Secretary for Enforcement within 60 days of receipt 
  of the written decision of the Office Director. The complainant will be advised 
  to be as specific as possible, focusing on factual or legal questions that could 
  change the disposition of the case, and advised also that the Deputy Assistant 
  Secretary for Enforcement will not consider any issues or concerns that were 
  not raised with the Office Director. If the complainant raises a concern that 
  the Office Director inappropriately declined to waive the 60-day timeframe and 
  the Deputy Assistant Secretary determines that the waiver should have been granted, 
  the Deputy Assistant Secretary will return the case to the appropriate enforcement 
  office for reconsideration. The decision of the Deputy Assistant Secretary constitutes 
  the final agency decision.

**Section 304 Monitor Post-Investigation OCR Agreements**

OCR will promptly conduct its monitoring activities consistent 
  with the following standards and procedures.

**(a) Verification of Recipient's Implementation**

OCR will obtain sufficient information to determine whether 
  the commitments made by the recipient have been implemented consistent with 
  the terms of the settlement agreement. In many instances verification of remedial 
  actions can be accomplished by careful review of reports, documentation and 
  other information submitted by recipients and knowledgeable persons. In some 
  instances, a site visit may be required to verify actions taken by the recipient 
  or may be deemed the most efficient method of verification. Monitoring site 
  visits will be conducted as necessary to verify or ensure compliance with the 
  agreement and will be approved by the Office Director or by a person specifically 
  designated to act on behalf of the Director.

**(b) Responding to Monitoring Reports**

OCR will acknowledge receipt of monitoring reports promptly. 
  OCR will evaluate the report, and issue a decision as promptly as possible. 
  Substantive responses to interim monitoring reports (e.g. where OCR determines 
  actions taken are sufficient or insufficient under the agreement) must be approved 
  by an attorney and a manager.

**(c) Changed Circumstances Affecting Agreements**

**1. Mootness or Change in Law or Policy** OCR may agree to modify or terminate the settlement 
    agreement if it learns that circumstances have arisen that fully resolve, 
    or render moot, some or all of the compliance concerns that were addressed 
    by the resolution agreement (e.g., further remedial action is not required 
    because the student has moved out of the school district or the programs at 
    issue no longer exist). OCR will also modify the agreement in response to 
    changes in controlling case law, statutes, regulations, or agency policy that 
    make some or all of the provisions contained in the agreement no longer legally 
    required. **2. New Compliance Issues** Compliance issues identified for the first time during 
    monitoring should, in consultation with the Office Director, be addressed 
    by providing technical assistance or opening a new complaint, or considered 
    for a future compliance review. **3. Implementation Problems** OCR will promptly provide written notice to the recipient 
    of any deficiencies with respect to implementation of terms of the agreement, 
    and will promptly request appropriate action to address such deficiencies. 
    Where a recipient notifies OCR that it will not carry out a provision of the 
    agreement in the agreed-upon time or manner, or when OCR reaches this determination, 
    OCR will take appropriate steps to address the problem. OCR may seek additional 
    commitments where necessary to address the failure of the recipient to implement 
    commitments in the original agreement. Appropriate investigative, legal and 
    management staff will participate in such determinations to ensure accountability 
    for high quality and consistency with OCR standards. If the Enforcement Office 
    and the recipient are unable to resolve any deficiencies in the implementation 
    of the agreement, the Enforcement Office should take appropriate action. (See 
    Section 404.) **4. Approval of Modifications** Any modifications to the agreement must be appended to 
    the original agreement. Modification of the agreement provisions, reporting 
    provisions, or timetable for completion or reporting will be documented in 
    the case file. Extensions of time of up to 30 days for each report may be 
    granted as authorized by the team leader or other management representative. 
    Other modifications to the agreement will be reviewed and approved by the 
    Office Director and Chief Attorney or persons specifically designated as acting 
    on their behalf. The Office Director or person specifically designated as 
    acting for the Director must approve any modification that would extend the 
    total monitoring period beyond two years from the date of the original agreement. 
    The recipient and the complainant will be notified, in writing, of significant 
    modifications to the agreement.


**(d) Conclusion of Monitoring**

OCR will conclude the monitoring of a case when it determines 
  that the recipient has fully implemented the terms of settlement agreement, 
  including any subsequent modifications to the agreement. The recipient and complainant 
  will be promptly notified in writing of this decision. The letter informing 
  the parties that monitoring is concluded will be reviewed and approved by the 
  Office Director and Chief Attorney or their designees.

**Section 305 Notify the Department 
  of Justice (DOJ) or EEOC When Required**

If a Title II complaint was referred to OCR by the Department 
  of Justice, OCR will send a copy of the letter resolving the case to DOJ. When 
  a Title II/504 employment discrimination complaint has been dual-filed with 

  EEOC and OCR and referred to OCR, OCR will notify the EEOC once the complaint 
  has been resolved. (For precision please refer to 28 C.F.R Part 37 and 29 C.F.R 
  Part 1640.)

**Section 306 Prepare a Letter 
  of Findings**

When OCR’s investigation has resulted in a determination 
  that the recipient has not complied with applicable regulations and the recipient 
  declines to enter into an agreement, the Enforcement Office will prepare a violation 
  letter of findings. The letter of findings will be prepared in consultation 
  with the Chief Attorney. The following information should be included, as appropriate, 
  in the violation Letter of Findings:

(a) A statement of OCR's jurisdictional authority, including 
  recipient status and the statutory basis for the investigation;

(b) A statement of each issue and the findings of fact for each, 
  supported by any necessary explanation or analysis of the evidence on which 
  the findings are based;

(c) Conclusions for each issue that reference the relevant facts, 
  the applicable regulation, and the appropriate legal standards;

(d) Notice that the LOF is not intended and should not be construed 
  to cover any other issue regarding the recipient's compliance;

(e) Notice of the time limit on OCR's settlement process and 
  the consequence of failure to reach settlement; and

(f) If a decision is made to defer final approval of any applications 
  by the recipient for additional federal financial assistance over what the recipient 
  is presently receiving, the letter also will provide notice of such possible 
  deferral. A separate deferral letter will be prepared if appropriate.

(g) Title II letters will include the following language: the 
  complainant may file a private suit pursuant to section 203 of the Americans 
  with Disabilities Act, whether or not OCR finds a violation of Title II.

The office should consult with the Enforcement Director, 
  the Deputy Assistant Secretary for Enforcement, and others as appropriate during 
  the preparation of this draft document and during any negotiations that may 
  occur after issuance of the LOF.

**Section 307 Issue a Violation 
  Letter of Findings**

The Chief Attorney and the Office Director will approve 
  the LOF. The LOF, and other documentation as appropriate, will be shared electronically 
  with the Enforcement Director. The Enforcement Director will obtain authorization 
  from the Deputy Assistant Secretary for Enforcement and the Assistant Secretary 
  prior to instructing the Enforcement Office to issue the LOF.

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**Article IV INITIATING ENFORCEMENT ACTION**

If OCR is unable to negotiate a settlement with the recipient OCR will initiate 
  enforcement action. OCR may: (1) initiate administrative proceedings to suspend, 
  terminate, or refuse to grant or continue and defer ED financial assistance 
  to the recipient; or (2) refer the case to DOJ for judicial proceedings to enforce 
  any rights of the United States under any law of the United States.

**Section 401 Initiate Administrative Proceedings 
    Where Appropriate**

If post-LOF negotiations do not result in an agreement, 
  the Enforcement Office will notify the Office of the Assistant Secretary that 
  an administrative proceeding will be initiated. OCR will establish a team to 
  prosecute the case. If deferral of funds has been imposed, the Notice of Opportunity 
  will be issued within 30 days of the notice of the deferral action.

**Section 402 Refer to DOJ Where 
Appropriate**

If post-LOF negotiations do not result in an agreement, 
  the Enforcement Office will notify the Office of the Assistant Secretary and 
  that office will issue a 10-day letter, informing the recipient that the case 
  will be referred to DOJ within 10 days of the date of the letter if an agreement 
  cannot be reached. OCR will prepare a draft of the referral letter to DOJ for 
  the General Counsel’s signature. The Enforcement Directors, in conjunction 
  with OGC, will consult with DOJ where appropriate.

**Section 403 Move to Enforcement for Denial of 
    Access**

Where the recipient has denied access to information necessary 
  to investigate the case (see Section 602), an LOF of violations 
  is not necessary to proceed to enforcement. No such action can be taken until 
  30 days have elapsed after notification of recipient. As soon as the Enforcement 
  Office concludes that the recipient will not voluntarily provide access, it 
  will notify the recipient of the Enforcement Office's determination and the 
  Enforcement Office's intention to recommend enforcement. The Enforcement Office 
  will then prepare a draft letter, which may include notice of OCR's intention 
  to impose deferral of funds. These documents will be forwarded to the Enforcement 
  Director and Deputy Assistant Secretary for Enforcement.

**Section 404 Move to Enforcement 
for Failure to Comply with OCR Agreement**

Where the recipient has failed to comply with the agreement 
  it is necessary to prepare an LOF consistent with the procedures outlined under 
  Sections 305 and 306. If a new agreement 
  cannot be reached after issuance of the LOF, procedures set forth in Sections 
  401 and 402 will be followed, as appropriate.

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**Article V COMPLIANCE REVIEWS**

The investigation procedures identified in the manual for complaint resolution 
  should be utilized for compliance reviews, where appropriate. The "start 
  date" is the date the on-site begins or, if there is no on-site, the date 
  that data are first requested from the recipient.

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**Article VI APPENDICES**

**Section 601 Special Intake Procedures**

**(a) Age Discrimination Complaints**

An age discrimination complaint is timely if it is filed within 
  180 days of the date the complainant first had knowledge of the alleged discrimination.

**1. Employment Complaints** OCR does not have jurisdiction over employment complaints 
    under the Age Discrimination Act. Employment complaints filed by persons 40 
    and older are referred to the appropriate EEOC office, and the OCR complaint 
    is closed. Employment complaints filed by persons under 40 are not within 
    the jurisdiction of EEOC and may be closed with notice to the complainant 
    that there is no jurisdiction under the Act. If the complaint alleges age 
    discrimination in employment that is within EEOC's jurisdiction and also contains 
    allegations of discrimination in services within the jurisdiction of OCR, 
    the complaint is split into two separate cases. Each is given its own case 
    number, the age employment complaint is referred to EEOC with the OCR age 
    employment case being closed, and OCR proceeds with the age services complaint. **2. Service Complaints** All complete and timely (see 34 C.F.R. §§ 110.31 
    and 110.32) complaints containing an allegation of age discrimination in services, 
    including those also containing allegations under Title VI, Title IX, Title 
    II, and/or Section 504, are promptly referred to: Federal Mediation and Conciliation Service 
            2100 K Street, N.W. 
            Washington, D.C. 20427 Copies of the complaint and letters of acknowledgment 
    to the complainant and recipient and a completed FMCS "Request for ADA 
    Mediation Assistance" must be included. If the complaint is not resolved by FMCS within 60 days 
    from the date of filing with OCR, OCR will resume processing the complaint. 
    The date that the complaint, or any portion of a complaint, is sent to FMCS 
    shall be entered in CMS; the date that the complaint is referred back from 
    FMCS shall also be entered in CMS. FMCS’s processing time will, therefore, 
    not be included in OCR's case processing time. The complainant will be informed that they may file a 
    civil action under the Age Discrimination Act in federal court only after 
    they have exhausted administrative remedies. Administrative remedies are exhausted 
    when either of the following has occurred: 1) 180 days have elapsed since 
    the filing of a complaint with OCR and OCR has made no finding, or 2) OCR 
    issues a finding in favor of the recipient.


**(b) Title VI Complaints Against Proprietary 
      Schools**

Authority to process Title VI complaints against proprietary 
  vocational schools (privately owned, profit-making enterprises that teach a 
  trade or skill leading to immediate employment) has, with certain exceptions, 
  been delegated to the Department of Veterans Affairs. Such complaints must be 
  forwarded to:

Veterans Benefits Administration
            Office of Diversity Management and
            Equal Employment Opportunity 20M2 
            U.S. Department of Veterans Affairs 
            810 Vermont Avenue, N.W. 
            Washington, D.C. 20420


OCR must refer to the Department of Health and Human Services 
  Title VI complaints filed against a proprietary school operated by a hospital. 
  The complainant must be notified of the referral, and the complaint closed.

The following exceptions apply:

OCR remains responsible for enforcement of Title VI where a proprietary vocational school is operated by a college or university.  See 38 C.F.R. § 18a.1(a).
    OCR remains responsible for enforcement of Title VI where a proprietary vocational school offers non-degree courses for which credit is given and which, on transfer, would be accepted toward a baccalaureate or higher degree by a degree-granting institution.  See 38 C.F.R. § 18a.1(b).


**(c) Title VI and Title IX Employment 
  Complaints** (see 29 C.F.R. §§ 1691.1 – 1691.13 and 28 
  C.F.R. §§ 42.601 – 42.613)

Race, national origin and sex discrimination in employment 
    complaints will be processed in accordance with the government-wide regulations. 
    OCR will:

Within ten days of receipt, notify the complainant and the recipient 
    that OCR has received the complaint, including the date, place and circumstances 
    of the alleged unlawful employment practice.
  Within thirty days of receipt:


Determine whether OCR has jurisdiction over the complaint under Title 
      VI or Title IX.
    Determine whether EEOC may have jurisdiction over the complaint.
    Transfer to the EEOC all complaints over which OCR does not have jurisdiction 
      but over which EEOC may have jurisdiction. Notify the complainant and the 
      recipient of the transfer, the reason for the transfer, the location of 
      the EEOC office to which the complaint was transferred and that the date 
      the agency received the complaint will be deemed the date it was received 
      by EEOC.
    Refer to the EEOC certain complaints over which both OCR and EEOC appear 
      to have jurisdiction (“joint complaints”), consistent with the 
      following guidance:
  
 
   
	(i) Absent special circumstances, OCR will refer a joint complaint that solely 
    alleges employment discrimination against an individual.
  (ii) Absent special circumstances, OCR will not refer a joint complaint alleging 
    a pattern or practice of employment discrimination.
  (iii) Absent special circumstances, OCR will not refer a joint complaint 
    that alleges discrimination in employment and includes allegations regarding 
    other practices of a recipient. If, because of special circumstances, the 
    employment allegations of such a complaint are referred to EEOC, OCR will 
    assign a new case number to the allegations that are retained.
  (iv) Notify the complainant and recipient of the action taken on the joint 
    complaint. In the case of a referral to EEOC, the notice will include the 
    location of the EEOC office to which the complaint was referred, the civil 
    rights provision(s) involved, the authority of EEOC under this regulation 
    and that the date the agency received the complaint will be deemed the date 
    it was received by EEOC.
  (v) For those joint complaints retained for OCR investigation, OCR will contact 
    the EEOC to ensure that, in the event EEOC has also received the complaint, 
    EEOC defers its investigation.


**(d) Title II ADA Complaints (Other 
  than Employment)** (see 28 C.F.R. § 35.171(2)(i)

OCR has jurisdiction to investigate Title II complaints against 
  public educational entities and libraries. If OCR receives an ADA-only complaint 
  over which it does not have jurisdiction, it should be referred to the Department 
  of Justice, then closed. The complainant should be notified of the referral.

**(e)  Section 504 and Title II Disability 
  Employment Complaints** (for precision, please refer to 28 C.F.R Part 
  37 and 29 C.F.R. Part 1640)

**1. Referral or deferral** (i) Disability employment complaints shall be referred to 
    the Department of Justice Civil Rights Division if OCR has no jurisdiction 
    under either Title II of the ADA or Section 504 of the Rehabilitation Act 
    of 1973, and EEOC does not have jurisdiction under Title I (i.e., recipient 
    has fewer than 15 employees). If EEOC has jurisdiction under Title I (recipient 
    has 15 or more employees) the complaint shall be referred to them. (ii) OCR shall defer individual complaints unless the complainant 
    elects to have OCR process the charge. OCR must notify the complainant that 
    he or she may choose whether to have OCR or the EEOC process the complaint 
    and that if the complainant would like OCR to process the complaint, OCR must 
    receive such written request within twenty calendar days of the date of the 
    letter. (28 C.F.R. § 37.8(a)(1)) If special circumstances make deferral inappropriate, OCR 
    and the appropriate agency may jointly determine to reallocate investigation 
    responsibilities. (28 C.F.R. § 37.8(e)) **2. Retention** (i) If OCR has jurisdiction over a disability employment complaint 
    under Section 504, OCR shall retain the complaint if: The EEOC does not have jurisdiction under Title I (i.e., if fewer than 
        15 employees);
      The EEOC has jurisdiction, but the complainant elects to have OCR process 
        the complaint;
      The complaint alleges discrimination in both employment and in other 
        practices or services covered by section 504; or
      The complaint alleges a pattern or practice of employment discrimination. 
        (28 C.F.R. § 37.6(d)(1)) (ii) If OCR has jurisdiction under Title II of the ADA but not under Section 
      504 OCR shall retain jurisdiction over a complaint if it determines that 
      EEOC does not have jurisdiction under Title I. (28 C.F.R. §§ 37.6(d)(2) 
      and (3))


**Section 602 Data Collection and Information Gathering**

**(a) Generally**

Generally, OCR requests documentary evidence from the recipient, 
  develops interview questions based upon those data and any other available information, 
  and conducts interviews with the complainant, recipient personnel, and others 
  as appropriate. The exact approach taken to data/information collection will 
  vary from case to case depending on the issues raised, the extent to which relevant 
  data are in the control of the recipient or others, and investigation strategies. 
  Some general principles that should guide decision-making during data collection 
  include:

Obtain independent written documentation to corroborate oral statements.
    Label all evidence, both documents, electronic media, and written records 
      of contact, with information identifying the case being investigated and 
      the circumstances under which the evidence was obtained (e.g., where and 
      when an interview was conducted, and who provided a given document).


**(b) OCR's Authority to Obtain Information**

OCR has the right of access during a recipient's regular business 
  hours to recipient’s facilities and to information maintained by the recipient 
  that is necessary to determine compliance status on those issues under investigation. 
  See 34 C.F.R. § 100.6(c) and 34 C.F.R. § 99.31(a)(3)(iii). Generally, 
  this includes access to oral information from a recipient's employees as well 
  as to written or non-written information, such as electronic storage media, 
  microfilming, retrieval systems, and photocopies maintained by the recipient. 
  OCR, not the recipient, decides what information is relevant to a determination 
  of compliance.

OCR has no legal authority to require the complainant or any 
  other non-recipients to provide information.

See Section 106 regarding any case where 
  the complainant's refusal to provide information interferes with OCR's ability 
  to investigate the case.

**(c) Requests for Records**

**1. Data Request Letters** A data request seeks information from the recipient relevant 
    to the investigation. It can be used to initiate information collection or 
    to request additional information after the primary information collection 
    activity has been completed. **2. Timeframes for Recipient's Response** The recipient will be given 15 calendar days from the 
    date of OCR's request to submit the information required. This timeframe may 
    be modified, at OCR’s discretion, depending on the nature and extent 
    of data and/or other special circumstances. **3. Data Provided by Recipient** A recipient must submit information as necessary for 
    OCR’s compliance activities. However, other federal regulations and 
    policies may restrict OCR's information requests: (i) For example, unless the request is made in the context 
    of an ongoing complaint or compliance review investigation (see 5 C.F.R. § 
    1320.3), OCR may not generally require a recipient to record information on 
    a "form" or other standardized data collection instrument without 
    obtaining prior approval for its use by the Office of Management and Budget. 
    OCR may, however, suggest suitable formats to be used at the discretion of 
    the recipient as information collection instruments. (ii) Similarly, OCR must consider federal policies concerning 
    paperwork burdens when requesting a recipient to do more than provide OCR 
    access to normally maintained information. Requests that a recipient manipulate 
    or compile information to meet an OCR need must be reasonable and take into 
    consideration the burden being placed on the recipient. (iii) If a recipient invites OCR to come on-site and collect 
    the requested information, and provides OCR with sufficient access to files, 
    records, logs, and appropriate indexes for OCR to obtain the needed information, 
    then the recipient has provided OCR with the requisite access. **4. Confidentiality** OCR has access to a recipient's records, even if those 
    records identify individuals by name. To protect the confidential nature of 
    the records, OCR, for example, may permit the recipient to replace names with 
    a code and retain a key to the code. However, OCR should inform the recipient 
    that if at any time such a procedure impedes the timely investigation of the 
    case, OCR shall have access to the unmodified records. See also 20 U.S.C. 
    §§ 1232g(b)(1) and 1232g(b)(3) regarding the applicable provisions 
    of the Family Educational Rights and Privacy Act.


**(d) Interviews**

**1. Introduction** Interviews are an integral part of most investigations. 
    The objective of interviews is to gain an understanding of the records and 
    data relevant to the issues in the case; to obtain information from and assess 
    the credibility of witnesses; and to evaluate recipient defenses. **2. Notice** Prior to initiating an interview, OCR should inform the 
    witness of the following: (i) The general purpose of the interview, including OCR’s 
    role, what law or laws may be pertinent to the investigation, and where appropriate, 
    a brief explanation of what is under investigation. (ii) The potential uses of the information to be obtained 
    from the witness and the Freedom of Information Act. A witness who wants a 
    more thorough explanation should be given a copy of the OCR Notice of Witness 
    Rights. (iii) The witness’s right to personal representation 
    during the interview by a person of their choice. (iv) If the witness is an employee of a recipient, his or 
    her right to refuse to have anyone else present during the interview and his 
    or her right to refuse to reveal the content of an interview. (v) The regulatory provisions concerning prohibition of intimidating 
    or retaliatory acts by a recipient. (vi) In most cases, the recipient's counsel will be allowed 
    to be present during upper level management interviews. **3. Privacy** Interview witnesses under circumstances that assure privacy. 
    An interpreter may be used if safeguards are taken to ensure the competence 
    of the interpreter and to protect the witness’s privacy. **4. Interviews with Minors (Persons Under 
      18) or Legally Incompetent Individuals** OCR shall obtain written consent from a parent or guardian 
    prior to interviewing any person under 18 years of age or otherwise adjudicated 
    legally incompetent, for example, mentally impaired. Parental or legal guardian 
    consent may not be required for persons under 18 if they are emancipated under 
    state law and are therefore considered to have obtained majority. It may be 
    advisable to obtain proof of emancipation. Parental or legal guardian consent 
    may not be necessary when the questions asked are of a general nature, not 
    related to any specific events in which the minor was involved, and there 
    are no records kept to identify the student. If a recipient refuses to allow 
    minor students to be interviewed without consent even in the above circumstance, 
    written consent must be obtained. If parents or guardians refuse to provide 
    consent for an interview, and OCR determines that the child's information 
    is critical, OCR may attempt to secure parental or guardian consent by inviting 
    the parent or guardian to be present during the interview. If consent is denied, 
    OCR will not interview the child. **5. Records of Interviews** A written record of both telephone and in-person interviews 
    must be kept. Interviewers will notify interviewees if a tape recording is 
    used and tape recording will be done only with the consent of the interviewee. 
    If interviewers use tape recording, the tape becomes part of the case record 
    along with the written record. Regardless of the technique used during the 
    interview, a written record of the interview must be created. The record of the interview to be placed in the case 
    file must contain the following information: (i) case identification (name and case number); (ii) name and identification of the interviewee, interviewer, 
    and any other person present (include an explanation for the presence of any 
    other persons); (iii) date, time, and location of interview (including whether 
    the interview was conducted by telephone); (iv) a record of whether the interviewee was informed of required 
    notifications; and (v) written record reflecting the questions and responses 
    obtained during the interview (this need not be a verbatim transcript but 
    must accurately reflect the responses of the witness).


**(e) Limitations on Obtaining Information**

**1. Actions Constituting Denial of Access** A recipient denies access to OCR when it: (i) refuses to permit OCR access to written or unwritten 
    information, such as electronic storage media, microfilm, retrieval systems, 
    photocopies, etc., and the recipient's facilities during the recipient's normal 
    business hours; (ii) refuses to permit OCR access to employees during recipient's 
    regular business hours; (iii) fails to provide information by virtue of the refusal 
    of one of its employees to do so or to provide access to information maintained 
    exclusively by an employee in his/her official capacity; or (iv) refuses to complete applicable OMB-approved compliance 
    and survey forms relevant to an investigation. **2. Refusals to Provide Data or Access to 
      Witnesses** (i) If the refusal is stated orally, either in person or over 
    the telephone, the investigator should attempt to ascertain the exact basis 
    for the recipient's refusal, and attempt to explain OCR's authority or provide 
    other information to address the recipient's concerns. (ii) If the investigator is unable to obtain access to the 
    requested information, the investigator will consult with OCR legal staff 
    (when on-site, this should be done over the telephone whenever possible before 
    the investigator leaves the recipient's premises). Where appropriate, OCR 
    legal staff should discuss the refusal to provide information directly with 
    the recipient's representative. (iii) Where attempts to persuade a recipient to provide information 
    have failed, a letter should be prepared setting forth OCR's authority to 
    obtain access to the information and addressing any particular concerns expressed 
    by the recipient. (iv) Whenever the office determines that compliance cannot 
    be achieved, the office shall recommend that the case be referred for enforcement. 
    (See Section III).


**Section 603 Freedom of Information Act and Privacy 
    Act**

The information OCR collects is analyzed by authorized 
  personnel within the agency and is used only for authorized civil rights compliance 
  and enforcement activities. In order to resolve a complaint OCR may need to 
  reveal certain information to persons outside the agency to verify facts or 
  gather additional information. Such information could include the age or physical 
  condition of a complainant. The Privacy Act of 1974, 5 U.S.C. § 552a, and 
  the Freedom of Information Act (FOIA), 5 U.S.C. § 552, govern the use of 
  personal information submitted to all federal agencies and their individual 
  components, including OCR.

The Privacy Act of 1974, 5 U.S.C. § 552a, regulates 
  the collection, maintenance, use, and dissemination of certain personal information 
  in federal agency files. OCR's investigation files have been exempted from the 
  provisions of the Privacy Act that provide individuals with access to records 
  maintained on them. The Department has published a Privacy Act system of records 
  notice entitled Complaint Files and Log, 18-08-01.

Third parties may not gain access to records about individuals 
  within a system of records without the consent of the subject individual except 
  as required by FOIA or pursuant to other statutory exceptions contained in the 
  Privacy Act. (5 U.S.C. § 552a(b)) The Freedom of Information Act (FOIA), 
  5 U.S.C. § 552, gives the public a right of access to records of federal 
  agencies. The FOIA is implemented by Department regulations. (34 C.F.R. Part 
  5)

Any requests for copies of documents or other access to 
  information contained in OCR's files should be referred to the Enforcement Office 
  staff responsible for handling FOIA and Privacy Act requests. Although each 
  request will be reviewed on a case-by-case basis, generally, OCR is not required 
  to release documents during the case resolution process or enforcement proceedings 
  if the release could affect OCR’s law enforcement activities. See 5 U.S.C. 
  §§ 552(b)(5) and (b)(7). Also, a federal agency may refuse a request 
  for records if their release would result in an unwarranted invasion of privacy 
  of an individual. See 5 U.S.C. § 552(b)(6). OCR will not reveal the name 
  or other identifying information about an individual unless it is necessary 
  for completion of an investigation or for enforcement activities against an 
  institution that violates the laws, or unless such information is required to 
  be disclosed under the FOIA or the Privacy Act.

**Section 604 Recipients Operating Under Federal 
    Court Order**

Enforcement Office legal staff will determine whether any 
  allegations made in a complaint are covered by a federal court order. If allegations 
  are covered by such an order, normal case processing procedures will be altered 
  as follows:

**(a) United States a Party**

The Office Director will inform the Enforcement Director and forward 
      to the Department of Justice (DOJ) a copy of the complaint and the court 
      order (if readily available) asking whether DOJ is currently active in the 
      district and whether OCR may proceed with an investigation. Based on DOJ’s 
      response OCR will either:
      (i) Refer the case to DOJ; or
      (ii) Proceed with an investigation.
    Accordingly, the Enforcement Office will then close the complaint and 
      notify the complainant that the case has been referred to DOJ, or accept 
      the complaint and so notify the complainant in the letter of acknowledgment.
    If OCR proceeds with an investigation, at the conclusion of its investigation, 
      the Enforcement Office will forward a report to DOJ of OCR's findings of 
      fact. If DOJ offers no objection, OCR will proceed to issue a resolution 
      letter consistent with routine case processing standards. (See Article 
      III)


**(b) United States Not a Party**

As part of evaluation of the complaint the Enforcement Office will consult 
      with parties about the current status of the court order and with the Litigation 
      Coordinator before proceeding to resolution.
    If a violation LOF is issued, the LOF should notify the complainant 
      and recipient that if settlement is not achieved, the case would be referred 
      to DOJ for enforcement. If settlement is not achieved, refer to Section 
      402.


**Section 605 Early Complaint Resolution**

A mutually acceptable resolution reached between the complainant 
  and the recipient regarding the allegations.

**(a) OCR's Role**

To serve as facilitator
    To inform the parties of the procedures, establish a constructive tone, 
      and encourage the parties to work in good faith toward a mutually acceptable 
      resolution
    To maintain an impartial approach and inform the parties that OCR will 
      not insist on particular terms or any specific resolution
    To review the allegations and make sure the parties understand the issues 
      that OCR has accepted for investigation, and, as appropriate, facilitating 
      an understanding of pertinent legal standards and possible remedies
    To facilitate a discussion between the parties regarding possible actions 
      that the parties may consider in working toward a resolution
    To offer assistance, as appropriate, with regard to reducing any resolution 
      to writing. If an agreement is reached, the parties are informed that OCR 
      will issue a closure letter reflecting the voluntary resolution of the complaint 
      by agreement of the parties.


**(b) Role of the Participants**

To participate in the discussions in good faith
    To consider offers or suggestions with an open mind and to work constructively 
      toward a mutually acceptable resolution
    To implement any agreement in good faith


**Section 606 Information About OCR's Complaint 
    Resolution Procedures**

**OCR’s Role** OCR enforces certain federal 
  civil rights laws that protect persons from discrimination based on race, color, 
  national origin, sex, disability and age. It also enforces laws that protect 
  certain youth groups from discrimination. OCR is a neutral fact finder and does 
  not represent the parties involved in the complaint process. The complainant 
  has the right to have a representative at all stages of the complaint process.

To resolve the complaint, OCR may need to collect and analyze 
  personal information. The Privacy Act of 1974, 5 U.S.C. § 552a, and the 
  Freedom of Information Act (FOIA), 5 U.S.C. § 552, govern the use of personal 
  information collected by OCR. OCR does not reveal the name or other personal 
  information about an individual unless it is necessary for completion of an 
  investigation or for enforcement activities against an institution that violates 
  the laws, or unless such information is required to be disclosed under the FOIA 
  or the Privacy Act.

**Complaint Evaluation** OCR reviews the information 
  provided to determine whether it indicates possible discrimination within OCR’s 
  jurisdiction. OCR contacts the complainant if more information is needed to 
  evaluate a complaint and OCR notifies the complainant in writing whether it 
  will proceed with the complaint. If OCR decides not to proceed, OCR provides 
  the reasons for the decision.

If, after evaluating a complaint, OCR decides it has jurisdiction 
  over the allegations, OCR notifies the complainant and the school district, 
  college or other entity where the discrimination was alleged to have occurred.

**Investigation and Resolution** The parties may 
  discuss complaint resolution at any time. OCR may provide assistance to the 
  parties in conducting voluntary resolution discussions.

If OCR’s investigation identifies a violation of law, 
  it contacts the responsible school district, college or entity and seeks a voluntary 
  agreement to correct the problem. OCR then issues a letter to the parties providing 
  the reasons for its determination and the actions that will be taken by the 
  entity to correct the problem. OCR will monitor these actions.

If OCR’s investigation does not identify a violation of 
  law, it sends a letter to the parties providing the reasons for its determination.

**Reconsideration of OCR’s Decision** If 
  the complainant disagrees with a decision to not proceed with a complaint or 
  a determination that the investigation did not establish a violation of law, 
  the complainant may ask OCR to reconsider the decision. A complainant may not 
  request reconsideration when OCR has investigated, found a compliance concern, 
  and entered into an agreement with a recipient. Requests for reconsideration 
  should be as specific as possible, focusing on factual or legal concerns that 
  could change the disposition of the case. General dissatisfaction with the decision 
  will not be sufficient. Any reconsideration request must be filed within 60 
  days of the date of the letter. Questions about procedures for requesting reconsideration 
  may be directed to the assigned OCR staff person.

**Prohibition on Retaliation** Institutions covered 
  by OCR’s laws shall not intimidate, threaten, coerce, or discriminate 
  against anyone because they have asserted a right protected by the civil rights 
  laws OCR enforces, filed an OCR complaint or cooperated in an OCR investigation. 
  Anyone who believes he or she has been intimidated or retaliated against can 
  file a complaint with OCR.

**More Information** For more information about 
OCR’s complaint process, you may contact the OCR staff member identified 
in OCR’s letter to you or you may visit OCR’s website at www.ed.gov/about/offices/list/ocr/complaintprocess.html.



1 For simplicity this manual uses the term recipient throughout.  A recipient is an entity that receives federal financial assistance, and with respect to Title II, the term is intended to include public entities whether or not they receive federal financial assistance.

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