U.S. DEPARTMENT OF EDUCATION

OFFICE FOR CIVIL RIGHTS

CASE PROCESSING MANUAL

(CPM)

Revised February 2015 (V1.2)
Case Processing Manual |Page 2

INTRODUCTION

The mission of the Office for Civil Rights (OCR) is to ensure equal access to education and to promote 

educational excellence throughout the nation through vigorous enforcement of civil rights. The Case 

Processing Manual (CPM) provides OCR with the procedures to promptly and effectively investigate and 

resolve complaints, compliance reviews and directed investigations to ensure compliance with the civil 

rights laws enforced by OCR.
Case Processing Manual |Page 3

TABLE OF CONTENTS

ARTICLE I EVALUATION OF COMPLAINTS ...............................................................................4

Section 101 Determine What Constitutes a Complaint.........................................................................................................................................4

Section 102 Assign a Case Number and Establish a File......................................................................................................................................5

Section 103 Acknowledge the Complaint.............................................................................................................................................................6

Section 104 Determine Subject Matter Jurisdiction..............................................................................................................................................6

Section 105 Determine Personal Jurisdiction .......................................................................................................................................................8

Section 106 Determine Whether the Complaint Allegations Are Timely ............................................................................................................8

Section 107 Determine Whether a Waiver Should Be Granted ............................................................................................................................8

Section 108 Dismissals.........................................................................................................................................................................................9

Section 109 Opening the Complaint Allegations(s) for Investigation.................................................................................................................10

Section 110 Determine Whether to Close the Complaint Allegation(s)*............................................................................................................10

ARTICLE II EARLY COMPLAINT RESOLUTION AND RAPID RESOLUTION PROCESS14

Section 201 Early Complaint Resolution............................................................................................................................................................14

Section 202 Initiation and Termination of the ECR Process...............................................................................................................................14

Section 203 Confidentiality of the ECR Process ................................................................................................................................................15

Section 204 Successful Conclusion of ECR.......................................................................................................................................................15

Section 205 Breach of ECR Agreements............................................................................................................................................................15

Section 206 Investigative Determination When ECR is not Achieved ...............................................................................................................15

Section 207 Rapid Resolution Process (RRP) ....................................................................................................................................................15

ARTICLE III INVESTIGATION AND RESOLUTION...................................................................17

Section 301 Essentials for Investigation and Resolution* ..................................................................................................................................17

Section 302 Resolution Agreement Reached During an Investigation*..............................................................................................................19

Section 303 Investigative Determinations* ........................................................................................................................................................20

Section 304 Guidelines for Resolution Agreements...........................................................................................................................................21

Section 305 Letter of Impending Enforcement Action .......................................................................................................................................22

Section 306 Appeals...........................................................................................................................................................................................23

Section 307 Referrals from the Department of Justice (DOJ) and the Equal Employment Opportunity Commission (EEOC)......................... 24

ARTICLE IV COMPLIANCE REVIEWS AND DIRECTED INVESTIGATIONS.....................25

Section 401 Compliance Reviews ......................................................................................................................................................................25

Section 402 Directed Investigations...................................................................................................................................................................25

ARTICLE V MONITORING RESOLUTION AGREEMENTS .....................................................26

Section 501 Respond to Monitoring Reports and Verify Recipient’s Implementation .......................................................................................26

Section 502 Implementation problems ...............................................................................................................................................................26

Section 503 Modifications of Agreements..........................................................................................................................................................26

Section 504 Conclusion of Monitoring...............................................................................................................................................................27

ARTICLE VI INITIATION OF ENFORCEMENT ACTION .........................................................28

Section 601 Initiate Administrative Proceedings Where Appropriate.................................................................................................................28

Section 602 Refer to DOJ Where Appropriate ...................................................................................................................................................28

Section 603 Enforcement for Denial of Access..................................................................................................................................................28

Section 604 Enforcement for Failure to Comply with OCR Agreement.............................................................................................................29

ARTICLE VII APPENDICES...............................................................................................................30

Section 701 Special Intake Procedures.................................................................................................................................................................30

(a) Age Discrimination Complaints................................................................................................................................................................30

(b) Title VI Complaints against Proprietary Schools......................................................................................................................................31

(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)......................... 31

(d) Title II ADA Complaints (Other than Employment) (see 28 C.F.R. § 35.171(a)(2)(i)) ............................................................................32

(e) Section 504 and Title II Disability Employment Complaints (see 28 C.F.R. Part 37 and 29 C.F.R. Part 1640)....................................... 32

Section 702 Data Collection and Information Gathering......................................................................................................................................33

(a) Generally......................................................................................................................................................33

(b) OCR’s Authority to Obtain Information ...................................................................................................................................................34

(c) Requests for Records................................................................................................................................................................................34

 1. Introduction ................................................................................................................................................35

 2. Notice.......................................................................................................................................................35

 3. Privacy......................................................................................................................................................35

 4. Interviews with Minors (Persons under 18) or Legally Incompetent Individuals...................................................................................36

 5. Records of Interviews............................................................................................................................................................................36

Section 703 Freedom of Information Act and Privacy Act................................................................................................................................36

Section 704 Recipients Operating Under Federal Court Order..........................................................................................................................37

(a) United States a Party................................................................................................................................................................................37

(b) United States Not a Party.........................................................................................................................................................................38

Note: Most recent revisions are marked with an asterisk (*) 
Case Processing Manual |Page 4

ARTICLE I EVALUATION OF COMPLAINTS

When OCR determines that written information provided to the U.S. Department of Education

(Department) is a complaint, OCR will establish whether it has sufficient information to proceed to 

investigation. OCR will provide complainants with assistance regarding the nature of their rights and of 

the OCR investigation process. Additionally, OCR will provide appropriate assistance to complainants 

who are persons with disabilities, individuals of limited English proficiency, and persons whose 

communication skills are otherwise limited.

To investigate the complaint, OCR may 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: (1) such information is necessary for the completion of an investigation or in 

enforcement activities against an institution that violates the laws; (2) such information is required to be

disclosed under the FOIA or the Privacy Act; or (3) such information is permitted to be disclosed under 

both the FOIA and the Privacy Act and OCR determines disclosure would further an interest of the 

Department or the United States. 

In addition, subject to the restrictions imposed by FOIA and the Privacy Act, OCR can release certain 

information about a complaint to the press or general public, including the name of the school or 

institution; the date a complaint was filed; the type of discrimination included in a complaint; the date a 

complaint was resolved, dismissed or closed; the basic reasons for OCR’s decision; or other related 

information. Under these circumstances, 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 

except as noted in the paragraph above.

All information within case files is subject to FOIA and the Privacy Act. See CPM Section 703.

SECTION 101 DETERMINE WHAT CONSTITUTES A COMPLAINT

A complaint is a written statement to the Department alleging that the rights of one or more persons have 

been violated and requesting that the Department take action. Complainants must also provide their

contact information. 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. Upon receipt, OCR will determine whether or not the correspondence is a complaint.

The following are not complaints:

• Oral allegations that are not reduced to writing.

• Anonymous correspondence.

• Courtesy copies of correspondence or a complaint filed with or otherwise submitted to another 

person or other entity.

• Inquiries that seek advice or information but do not seek action or intervention from the 

Department. 

The complaint should include a written explanation of what happened; identification of the person or 

group injured by the alleged discrimination;1 and identification of the person or institution alleged to have 

 1

 This manual uses the term “complainant” throughout. Note: The term “complainant” may also refer to the person or group injured by the 

alleged discriminations on whose behalf a complainant files a complaint.
Case Processing Manual |Page 5

discriminated. Generally, statistical data alone are not sufficient to warrant opening an investigation, but 

can serve to support the opening of an investigation when presented in conjunction with other facts and 

circumstances. 

SECTION 102 ASSIGN A CASE NUMBER AND ESTABLISH A FILE

OCR’s complaint processing commences on the date that a complaint is received by the appropriate OCR 

Enforcement Office. Complaints received by electronic mail or by fax, over a weekend, or on a holiday 

will be considered received on the next workday. Upon receipt by the appropriate Enforcement Office, 

OCR assigns the incoming complaint a case number. OCR 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 will be applied in determining how many case 

numbers should be assigned: 

• When OCR receives multiple identical complaints filed at the same time by the same complainant 

against the same recipient, OCR will assign one case number to the complaints. 

• OCR will assign a separate case number to each recipient2 named in the complaint. If, during the 

course of the investigation, OCR determines that other recipients are involved in the alleged acts 

of discrimination, OCR will open separate complaints and assign a separate case number for each 

such recipient; the case opening date for such complaints is the date on which OCR determines 

that other recipients are involved. 

• Complaints from more than one person against the same recipient that contain different or distinct 

allegations are treated as separate complaints and assigned separate case numbers.

• Complaints filed by one or more than one person that raise substantially identical allegations 

against the same recipient may be treated as one complaint and assigned one case number when 

OCR makes this determination prior to the docketing of the new complaint(s). When OCR is 

currently investigating a complaint(s) against the same recipient, a complaint(s) that is filed 

subsequently and that raises substantially identical allegations will be assigned a separate case 

number(s) and reviewed to determine whether to consolidate the investigation of the subsequently 

filed complaint(s) with the existing investigation.

• New complaint allegations filed by the same person against the same recipient after OCR has 

begun to investigate the original complaint 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 and 

assigned a separate case number and, if treated as a new complaint, whether to consolidate the 

investigation of the subsequently filed complaint allegation(s) with the investigation of the 

allegation(s) in the original complaint.

Revised October 2015

 2 This manual uses the term “recipient” throughout. With respect to Title VI, Title IX, Section 504 and the Age Discrimination Act, a recipient is 

an entity that receives federal financial assistance. With respect to the Boy Scouts of America Equal Access Act, a recipient is a public 

elementary or secondary school or local or State educational agency that receives funds made available through the Department and with respect 

to Title II, the term is intended to include public entities whether or not they receive federal financial assistance. Specifically, the Department of 

Justice has identified the Department of Education as the designated agency to carry out Title II compliance activities regarding public 

elementary and secondary education systems and institutions, public institutions of higher education and vocational education (other than schools 

of medicine, dentistry, nursing, and other health-related schools) and public libraries
Case Processing Manual |Page 6

SECTION 103 ACKNOWLEDGE THE COMPLAINT

OCR will promptly 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 and 

that further communications about the complaint will be forthcoming. A Consent Form, a Complaint 

Form, and OCR Complaint Processing Procedures are available at:

(https://www2.ed.gov/about/offices/list/ocr/complaintform.pdf).

In addition to the complaint, a signed Consent Form may be required. When disclosure of the identity of 

the complainant is necessary in order to resolve the complaint, OCR will require written consent before 

proceeding. The complainant will be informed that the complaint will be closed if written consent is 

necessary in order to resolve the complaint and is not received within 20 calendar days of the date of the 

acknowledgement letter or the date the Consent Form is requested from the complainant. The signed 

Consent Form may be submitted to OCR by mail, fax, electronic mail or in person. 

When OCR has determined that consent is necessary in order to resolve the complaint and OCR has not 

received a signed Consent Form by the 15th calendar days of the date of the acknowledgment letter or the 

date the Consent Form is requested from the complainant, OCR will contact the complainant (e.g., by 

phone) to inform the complainant that the complaint will be closed if the signed Consent Form is not 

received within 5 calendar days. If OCR does not receive signed written Consent Form, the complaint 

will be dismissed, and the complainant informed in writing.

A complainant filing on behalf of or pertaining to another person(s) is responsible for securing any 

necessary 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.

SECTION 104 DETERMINE SUBJECT MATTER JURISDICTION

OCR must have jurisdiction over the subject matter of the complaint. For OCR to establish subject matter

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 of 2001, 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. See 34 C.F.R. §§ 

100.7(e), 104.61, 106.71, 108.9, 110.34; and 28 C.F.R. § 35.134.

When the subject matter of a complaint allegation(s) does not fall under any of the following statutory 

and regulatory authorities, OCR will dismiss the allegation(s) pursuant to CPM Section 108.

OCR has jurisdiction pursuant to the following statutory and regulatory authorities:

• 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 individuals covered by 

the law (e.g., applicants, 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.
Case Processing Manual |Page 7

See CPM subsection 701(b) for processing Title VI complaints with respect to proprietary 

vocational schools. For employment complaints, OCR follows procedures consistent with the 

employment coordinating regulations at 28 C.F.R. Part 42 and 29 C.F.R. Part 1691. See CPM 

subsection 701(c).

• 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 individuals covered by 

the law (e.g., applicants, 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 at 28 C.F.R. Part 42 and 29 C.F.R. Part 

1691. See CPM subsection 701(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 individuals covered 

by the law (e.g., applicants, students, parents) and employment complaints based on disability.

For employment complaints, OCR follows procedures consistent with the employment 

coordination regulations at 28 C.F.R. Part 37 and 29 C.F.R. Part 1640. See CPM subsection 

701(e).

• 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 

individuals covered by the law (e.g., applicants, students, parents). For instructions regarding 

referral of complaints to the Federal Mediation and Conciliation Service (FMCS) before 

investigation, see CPM subsection 701(a). OCR does not have jurisdiction over employment 

under the Age Discrimination Act. See CPM subsection 701(a).

• Title II of the Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12131 et seq., 28 C.F.R. 

Part 35.

Under Title II, OCR has jurisdiction to investigate complaints involving individuals covered by 

the law (e.g., applicants, students, parents) and employment complaints based on disability. For 

employment complaints, OCR follows procedures consistent with 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 EEOC. See CPM subsection 701(e).

• Boy Scouts of America Equal Access Act of 2001, 20 U.S.C. § 7905, 34 C.F.R. Part 108.

Under the Boy Scouts Act, OCR has jurisdiction to investigate complaints involving the denial of 

equal access or a fair opportunity to meet to, or discrimination against, any group officially 

affiliated with the Boy Scouts of America or officially affiliated with any other youth group listed 

in Title 36 of the United States Code. 
Case Processing Manual |Page 8

SECTION 105 DETERMINE PERSONAL JURISDICTION

OCR must also have jurisdiction over the institution alleged to have discriminated. Under Title VI, Title 

IX, Section 504, and the Age Discrimination Act, OCR has jurisdiction over institutions that receive 

federal financial assistance from the Department and institutions for which OCR has been delegated 

authority from other federal agencies. Under Title II, OCR has jurisdiction over public elementary and 

secondary education systems and institutions, public institutions of higher education and vocational 

education (other than schools of medicine, dentistry, nursing, and other health-related schools), and public 

libraries – regardless of whether these institutions receive federal financial assistance. Under the Boy 

Scouts Act, OCR has jurisdiction over public elementary schools, public secondary schools, local 

educational agencies and State educational agencies that receive funds made available through the 

Department. When a complaint is filed against an institution OCR does not cover, OCR will not proceed 

further and will dismiss the complaint in accordance with CPM Section 108. When appropriate, OCR

will refer the complaint to the appropriate agency. See CPM Section 701. 

SECTION 106 DETERMINE WHETHER THE COMPLAINT ALLEGATIONS ARE TIMELY

OCR will take action only with respect to those complaint allegations (except allegations of age 

discrimination and, in special circumstances, allegations relating to breach of Early Complaint Resolution 

agreements) 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 CPM Section 107. With respect to 

complaint allegations of age discrimination, OCR will take action with respect to those complaint 

allegations that have been filed within 180 days of the date the complainant first had knowledge of the 

alleged discrimination. OCR may extend this time limit for age discrimination complaints for good cause

shown. See CPM subsection 701(a). With respect to the timeliness requirements for allegations relating 

to the breach of Early Complaint Resolution agreements, see CPM subsection 204(a).

The filing date of a complaint is the following:

• The date the complaint is postmarked or received by any Department office,3 whichever is earlier.

• For Title II complaints referred from DOJ, the date the complaint is received by DOJ. 

(a) Continuing Policy or Practice 

Timely allegations may include those where the complainant alleges a continuing discriminatory policy or 

practice. In evaluating the complaint allegations, OCR shall determine whether there is a continuing 

discriminatory policy or practice.

SECTION 107 DETERMINE WHETHER A WAIVER SHOULD BE GRANTED

If a complaint allegation4 is not filed in a timely manner (see CPM Section 106), OCR will notify the 

complainant of the opportunity to request a waiver. OCR may grant a waiver of the 180-day filing 

requirement for reasons such as:

(a) The complainant could not reasonably be expected to know the act was discriminatory within the 

180-day period, and the complaint allegation was filed within 60 days after the complainant became 

 3 The filing date of complaints filed online or sent by electronic mail or by fax will be the date the complaint was filed online or sent to OCR. 4 Although the manual refers to “complaints” and “complaint allegations,” OCR makes a determination as to each allegation in a complaint. For 

example, in a single complaint, OCR may decide that it is appropriate to proceed to complaint investigation on one or more allegations while 

dismissing or closing another allegation of other allegations. The complainant will be informed of OCR’s decision with respect to each 

allegation.
Case Processing Manual |Page 9

aware of the alleged discrimination (note that lack of previous awareness of OCR or the civil rights 

laws enforced by OCR is not a basis for a waiver).

(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 allegation 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, or federal or state court, 

and filed a complaint with OCR within 60 days after the other agency had completed its investigation 

or, in the case of a court, there had been no decision on the merits or settlement of the complaint 

allegations. (Dismissal with prejudice is considered a decision on the merits.)

(d) The complainant filed, within the 180-day period, an internal grievance with the recipient of federal 

financial assistance, or 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. 

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

When a waiver is not requested or requested but not granted, the allegation will be dismissed in 

accordance with CPM Section 108 and OCR will issue a closure letter to the complainant explaining the 

reason for the decision.

SECTION 108 DISMISSALS

OCR will assist the complainant in understanding the information that OCR requires in order to proceed 

to the investigation of the complainant’s allegation(s). This will include explaining OCR’s investigation 

process and the rights of the complainant under the statutes and regulations enforced by OCR. OCR will 

also specifically identify the information necessary for OCR to proceed to investigation. OCR staff will 

provide appropriate assistance to complainants who are persons with disabilities, individuals of limited 

English proficiency, or persons whose communication skills are otherwise limited.

If OCR decides not to open an allegation for investigation for any of the reasons identified in CPM 

Sections 104, 105, 106, 107, and/or 110, it will dismiss the allegation or, if appropriate, the complaint in 

its entirety. 

OCR will also dismiss an allegation for the following reasons:

(a) The allegation, on its face or as clarified in the evaluation process, fails to state a violation of one of 

the laws OCR enforces.

(b) The allegation lacks sufficient detail (i.e., who, what, where, when, how) for OCR to infer that 

discrimination or retaliation may have occurred or is occurring.

(c) The allegation is so speculative, conclusory5 or incoherent that it is not sufficiently grounded in fact 

for OCR to infer that discrimination or retaliation may have occurred or is occurring. 

 5 This provision applies where the complaint allegation (including any additional information provided by the complainant) does not provide 

sufficient information to raise the allegation above the level of speculation. The complaint must provide more than conclusions of alleged 

violations of the laws enforced by OCR.
Case Processing Manual |Page 10

Before dismissing a complaint allegation under CPM subsections 108 (b) or (c), OCR will contact the 

complainant to provide appropriate assistance by explaining in writing (by letter or via electronic mail) 

the information necessary for OCR to open an investigation of the complaint allegation, ask the 

complainant to provide this information to OCR within 20 calendar days of the date of the written request 

and advise the complainant that the complaint allegation will be dismissed if the information is not 

received by that date. OCR will dismiss the complaint allegation if the requested information is not 

received within 20 calendar days of the date of the written request. 

When a complaint allegation is dismissed, OCR will issue a closure letter to the complainant explaining 

the reason for the decision.

SECTION 109 OPENING THE COMPLAINT ALLEGATION(S) FOR INVESTIGATION

When OCR opens a case for investigation, it will issue letters of notification to the complainant and the 

recipient that contain, at a minimum, the following information: 

• OCR's jurisdiction with applicable regulatory citations.

• The allegations to be investigated. 

• A statement that OCR is a neutral fact-finder and citing the CPM.

• Information about OCR's Early Complaint Resolution process. 

• Contact information for the OCR staff person who will serve as the complainant's and the 

recipient’s primary contact during the investigation and resolution of the complaint. 

A copy of "OCR Complaint Processing Procedures" will be included with the letter to the recipient. 

SECTION 110 DETERMINE WHETHER TO CLOSE THE COMPLAINT ALLEGATION(S)6

Generally, CPM Section 110 is applied to close complaint allegation(s) during evaluation or during the 

early stages of the investigation. Where OCR has obtained sufficient evidence to support a finding, OCR 

will proceed in accordance with the appropriate provisions set forth in CPM Section 303. When OCR 

closes a complaint for any of the reasons identified in CPM Section 110, it will issue a closure letter to the 

complainant explaining the reason(s) for the decision and, when a letter of notification has already been 

issued to the recipient, also issue a closure letter to the recipient. 

OCR will close the complaint allegation(s) for the following reasons:

(a) The same complaint allegations have been filed by the complainant against the same recipient with 

another federal, state, or local civil rights enforcement agency or through a recipient’s internal 

grievance procedures, including due process proceedings, and

1. Where the allegations filed with OCR are currently pending before another federal, state, or 

local civil rights enforcement agency or through a recipient’s internal grievance procedures, 

including due process proceedings, and OCR anticipates that all allegations will be investigated 

and that the remedy will be the same as the remedy that would be obtained if OCR were to find a 

violation of the complaint and that there will be a comparable resolution process under comparable 

legal standards. OCR will advise the complainant 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; 

 6 Note: When after opening a complaint for investigation, OCR determines that any of the criteria set forth in Section 110 has been met, a 

complaint will be "administratively closed."
Case Processing Manual |Page 11

instead, OCR reviews the results of the other entity’s determination and decides whether the other 

entity provided a comparable resolution process under comparable legal standards.

2. Where the allegations filed with OCR have been resolved by another federal, state, or local civil 

rights enforcement agency or through a recipient’s internal grievance procedures, including 

due process proceedings, and all allegations were investigated, any remedy obtained is the same 

as the remedy that would be obtained if OCR were to find a violation of the complaint and there 

was a comparable resolution process under comparable legal standards.

(b) The same allegations have been filed by the complainant against the same recipient with state or 

federal court. 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.) Where OCR has obtained 

sufficient evidence to support a finding (under CPM subsection 303(a) (insufficient evidence) or 

CPM subsection 303(b) (violation)) with regard to any allegation(s) or where any allegation(s) being 

investigated by OCR are not before the court, OCR will not close the allegation(s), but will proceed 

in accordance with the appropriate provisions set forth in CPM Section 303. 

(c) The complaint allegations are foreclosed by previous decisions of the federal courts, the U.S. 

Secretary of Education, or the U.S. Department of Education’s Civil Rights Reviewing Authority. 

(d) The complaint allegations are foreclosed by OCR policy determinations.

(e) OCR obtains credible information indicating that the allegations raised by the complaint have been

resolved, and there are no systemic allegations. In such a case, OCR will attempt to ascertain the 

apparent resolution. When OCR determines that there are no current allegations appropriate for 

further resolution, the complaint will be closed.

OCR may close a complaint for the following reasons: 

(f) OCR determines that its ability to complete the investigation is substantially impaired by the 

complainant's refusal to provide information that is reasonably accessible to the complainant and is 

necessary for investigation of the complaint. Generally, this subsection does not apply where the 

investigation raises systemic issues that warrant continuing the investigation. OCR will include 

documentation in the case file of its efforts to contact the complainant by phone, in writing, or via 

electronic mail to request the necessary information and of the recipient’s refusal to provide 

information.

(g) OCR determines that its ability to complete the investigation is substantially impaired by its inability 

to contact the complainant in order to obtain information that is necessary for investigation of the 

complaint. Generally, this subsection does not apply where the investigation raises systemic issues 

that warrant continuing the investigation. OCR will include documentation in the case file of its 

unsuccessful efforts to contact the complainant by phone, in writing, or via electronic mail to request 

the necessary information. 

(h) The same complaint allegations have been filed by someone other than the complainant against the 

same recipient with another federal, state, or local civil rights enforcement agency or through a 

recipient’s internal grievance procedures, including due process proceedings, and

1. Where the allegations filed with OCR are currently pending before another federal, state, or 

local civil rights enforcement agency or through a recipient’s internal grievance procedures, 
Case Processing Manual |Page 12

including due process proceedings, and OCR anticipates that all allegations will be investigated 

and that the remedy will be the same as the remedy that would be obtained if OCR were to find a 

violation of the complaint and that there will be a comparable resolution process under comparable 

legal standards. OCR will advise the complainant 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 determination and decides whether the other 

entity provided a comparable resolution process under comparable legal standards.

2. Where the allegations filed with OCR have been resolved by another federal, state, or local civil 

rights enforcement agency or through a recipient’s internal grievance procedures, including 

due process proceedings, and all allegations were investigated, any remedy obtained is the same 

as the remedy that would be obtained if OCR were to find a violation of the complaint and there 

was a comparable resolution process under comparable legal standards.

(i) Where a class action with the same allegation(s) has been filed against the same recipient with state or 

federal court and the relief sought is the same as would be obtained if OCR were to find a violation of 

the complaint allegation(s). 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 state or federal 

complaint. Where OCR has obtained sufficient evidence to support a finding under CPM subsection 

303(a) (insufficient evidence) or CPM subsection 303(b) (violation) with regard to any allegation(s), 

OCR will not close the allegation(s), but will proceed in accordance with the appropriate provisions 

set forth in CPM Section 303. 

(j) The complaint is a continuation of a pattern of complaints previously filed by the complainant or 

someone other than the complainant involving the same allegation(s) and/or the same issue(s) against 

the same recipient or against another recipient that have been found to be without merit by OCR.

(k) OCR has recently addressed or is currently addressing the same allegation(s) and/or the same issue(s) 

involving the same recipient in a compliance review, directed investigation or an OCR complaint.

(l) The complainant withdraws the complaint after OCR has opened it for investigation. OCR will 

determine whether the investigation raises systemic issues that warrant continuing the investigation, 

notwithstanding the complainant’s withdrawal. Moreover, where OCR has obtained sufficient 

evidence to support a finding under CPM subsection 303(a) (insufficient evidence) or CPM 

subsection 303(b) (violation) with regard to any allegation(s), OCR will not close the allegation(s), 

but will proceed in accordance with the appropriate provisions set forth in CPM Section 303.

(m)OCR transfers or refers the complaint to another agency for investigation. See CPM Section 701. 

(n) The death of the complainant makes it impossible to investigate the allegations fully, or forecloses the 

possibility of individual relief. Generally, this provision does not apply where the investigation raises 

systemic issues that warrant continuing investigation or where the allegations involved potential relief 

beyond that solely for the complainant. 

(o) The allegations are moot because:

1. There are no current allegations appropriate for further investigation and resolution.

2. There are no systemic allegations or issues. 

3. The allegations do not involve potential relief beyond that solely for the complainant.

 Revised October 2015
Case Processing Manual |Page 13

4. There is no need for the recipient to change its policies, or procedures or practices in order to 

prevent possible future discrimination.7

 7 For the purposes of this Section, a child graduating or otherwise leaving a school or school district generally will not be sufficient to dismiss or 

close an allegation based on mootness. However, there are situations where dismissal or closure would be appropriate if the complaint allegation 

relates only to the particular student and the appropriate and available remedy requires the student’s presence in the school district. 
Case Processing Manual |Page 14

ARTICLE II EARLY COMPLAINT RESOLUTION AND RAPID RESOLUTION 

PROCESS 

SECTION 201 EARLY COMPLAINT RESOLUTION

The Early Complaint Resolution (ECR) process facilitates the resolution of complaints by providing an 

early opportunity for the parties involved to voluntarily resolve the complaint allegations. OCR will 

consider whether a complaint is appropriate for ECR, as early as possible, including during the 

evaluation. When OCR determines that a complaint is appropriate for ECR, it shall contact the parties to 

offer this resolution option. 

(a) OCR's Role

• To serve as an impartial, confidential facilitator between the parties.

• To inform the parties of ECR procedures, establish a constructive tone, and encourage the parties 

to work expeditiously and in good faith toward a mutually acceptable resolution.

• To review the allegations that OCR has accepted for investigation with the parties and assist both 

parties in understanding the 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. When an 

agreement is reached, the parties are informed that OCR will issue a closure letter reflecting the 

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.

OCR does not sign, approve, endorse and monitor any agreement reached between the parties. 

SECTION 202 INITIATION AND TERMINATION OF THE ECR PROCESS

When OCR determines that ECR is appropriate and the complainant and the recipient are willing to 

proceed with this resolution option, OCR will designate staff to facilitate an agreement between the 

recipient and complainant. To the extent possible, staff assigned to conduct ECR of a complaint shall not 

be staff assigned to the investigation of that complaint. 

An Agreement to Participate in ECR must be reviewed and either signed or verbally agreed to by the 

complainant and recipient. In circumstances where verbal agreement is obtained, the ECR facilitator shall 

send a letter or electronic mail to the parties confirming the Agreement. 

OCR has the discretion to suspend its investigation for up to 30 calendar days to facilitate an agreement 

between the parties. If an agreement has not been reached, OCR will resume its investigation if it had 

been suspended. 
Case Processing Manual |Page 15

SECTION 203 CONFIDENTIALITY OF THE ECR PROCESS

A Confidentiality Agreement must be reviewed and signed or verbally agreed to by the ECR facilitator 

and the parties to the ECR, (the complainant or complainant’s representative and the recipient or 

recipient’s representative). In circumstances where verbal agreement is obtained, the ECR facilitator 

shall send a letter or electronic mail to the parties confirming this Agreement. 

In order to maintain confidentiality of the ECR process, any notes taken during ECR by the facilitator 

and/or any records or other documents offered by either party to the facilitator during ECR will be kept in 

a separate file and will not be shared with the staff member(s) assigned to investigate the complaint.

SECTION 204 SUCCESSFUL CONCLUSION OF ECR 

At the conclusion of ECR, OCR will obtain a copy of a statement that the allegation(s) has been resolved, 

signed by the complainant, or a copy of any agreement that has been signed by the parties. Once 

resolution of any allegation has been obtained, OCR will notify the parties in writing that the allegation(s) 

has been resolved; other outstanding issues, if any, are to be resolved through the investigation and 

resolution process. See CPM Article III. A copy of the ECR agreement between the parties will be 

attached to the closure letter. 

SECTION 205 BREACH OF ECR 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 a new complaint is filed, OCR will not address the alleged 

breach of the agreement. Instead, OCR will determine whether to investigate the original allegation.

When making this determination, OCR will consider the nature of the alleged breach, its relation to any 

alleged discrimination and any other factors as appropriate. To be considered timely, the new complaint 

must be filed either within 180 calendar days of the date of the last act of alleged discrimination or within 

60 calendar days of the date the complainant obtains information that a breach occurred, whichever date 

is later. 

SECTION 206 INVESTIGATIVE DETERMINATION WHEN ECR IS NOT ACHIEVED

OCR will monitor the process of ECR to ensure adequate time for completion of the investigation in the 

event that ECR is unsuccessful. Where ECR is unsuccessful, investigation must proceed to ensure 

completion in accordance with case processing procedures. 

SECTION 207 RAPID RESOLUTION PROCESS (RRP)

The Rapid Resolution Process (RRP) is an expedited case processing approach that can be utilized in 

substantive areas determined by OCR to be appropriate for such resolution. RRP provides an opportunity 

to resolve complaints and to obtain information and make determinations early. The outcomes in all RRP 

cases must meet OCR’s standards for legal sufficiency. Any resolution agreement reached through RRP 

must be aligned with the allegations and issues in the complaint deemed appropriate for resolution 

pursuant to RRP. See CPM Article III.

Once OCR has received any necessary signed Consent Form from the complainant (see CPM Section 

103) and has determined that the complaint is appropriate for RRP, OCR will promptly attempt to resolve 

the complaint and obtain information necessary to make a compliance determination. OCR may contact a 
Case Processing Manual |Page 16

recipient prior to sending a letter of notification or after sending a letter of notification to determine if the 

recipient is interested in immediately resolving or has taken action to resolve the complaint allegation(s). 

In those substantive areas determined by OCR, RRP may be used to resolve complaints under the 

following circumstances: 

(a) Where a recipient has already taken action that will resolve the complaint, the complaint may be 

resolved without an agreement where appropriate relief is verified and the relief does not require 

monitoring by OCR. Under this circumstance, OCR will issue a closure letter.

(b) Where a recipient has indicated that it is willing to take action in the future to resolve the complaint,

or the recipient has already taken action that requires monitoring, the complaint may be resolved by 

obtaining a resolution agreement, the implementation of which OCR will monitor. See CPM Section 

304. Under this circumstance, OCR will issue a resolution letter.

(c) Where OCR obtains sufficient information from the recipient to make a compliance determination 

pursuant to CPM Section 303, OCR will issue a letter of finding pursuant to CPM subsection 303(a) 

or OCR will issue a letter of finding and obtain a resolution agreement pursuant to CPM subsection 

303(b), the implementation of which OCR will monitor.

For cases in RRP, the Enforcement Office must ensure expeditious completion in accordance with case 

processing procedures.
Case Processing Manual |Page 17

ARTICLE III INVESTIGATION AND RESOLUTION 

OCR will ensure that investigations are legally sufficient and that they are dispositive of the allegations 

and issues raised. Effective February 8, 2016, OCR implemented the Case Resolution Processing 

Document. OCR resolution agreements will be drafted to ensure compliance with the civil rights laws 

enforced by OCR.

SECTION 301 ESSENTIALS FOR INVESTIGATION AND RESOLUTION 

(a) Case Planning 8

Case planning will begin as early as possible, will be thorough, and will be conducted throughout the life 

of every case to ensure high quality decisions, prompt investigations and efficient use of OCR resources. 

Planning decisions will reflect sound legal standards and will be adjusted as necessary to take into 

account information obtained during case processing. See CPM Section 702. The scope of OCR’s 

investigation and resolution activities will depend upon the particular complaint allegation(s), issues(s)

and applicable legal standards. 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 following essential elements of case planning will be addressed in every OCR file (unless 

inapplicable):

• Allegation(s) and issue(s).

• OCR’s jurisdiction over the subject matter and recipient.

• Investigation strategy (i.e., what data and/or information are necessary to resolve the case and the 

means and methods OCR will employ to obtain the relevant data and/or information).

• Resolution agreement.

The case file will contain documentation that supports the decisions made. Planning documentation 

should be organized so that it can be readily located in the case file. In routine closures under Article I, 

the required documentation may be satisfied by the closure letter. 

All investigative planning activities will address:

• Required action(s) to achieve compliance, including determining whether it is appropriate to 

obtain interim relief for the complainant. If interim relief is appropriate, as soon as OCR 

identifies the need for such relief, OCR will contact the recipient as early as possible to secure it.

• Dates for completion of specific actions.

• Verification/reporting requirements (e.g. a description of specific data, documentation and other 

needed information).

• Dates for reporting to OCR.

Revised February 2016

 8 Case planning activities will be documented in the Case Resolution Processing Document.
Case Processing Manual |Page 18

• Efficient resource use, including investigation methods used by recipients to track and evaluate 

their compliance with their legal responsibilities (e.g., climate surveys and other self-assessment 

tools), individual interviews, onsite visits, use of surveys, where appropriate, to obtain 

information from a large number of witnesses (e.g., teachers, administrators, students). 

OCR will document its efforts to obtain data from the recipient or access to recipient witnesses. See CPM 

Section 603 and CPM Section 702.

(b) Compliance Concerns Unrelated to the Complaint

When during the course of the investigation of a complaint, OCR identifies new compliance concerns 

involving unrelated issues that were not raised in the complaint or issues under investigation, OCR may, 

during the investigation, address any compliance concerns and/or identified violations in the resolution 

letter and resolution agreement or, depending on the nature of the compliance concerns, provide technical 

assistance or consider the compliance concerns for a possible compliance review. See CPM Section 401.

(c) Resolution Letters and Letters of Finding(s)

Resolution letters and letters of finding(s) will address all allegations and issues in the cases. The letters

must include, as appropriate for the type of closure (see CPM Section 302 and CPM Section 303): 

• A statement of the allegations and issues in the case.

• A statement of OCR’s jurisdictional authority, including recipient status and the statutory basis 

for the investigation.

• A statement of each allegation and issue and the findings of fact for each, supported by any 

necessary explanation and/or analysis of the evidence on which the findings are based.

• Conclusions for each allegation and issue that reference the relevant facts, the applicable 

regulation(s) and OCR policy, and the appropriate legal standards.

• When negotiations have resulted in an agreement pursuant to CPM Section 304, a statement that, 

when fully implemented, the resolution agreement will address all of OCR’s compliance concerns

and that OCR will monitor the implementation of the agreement until the recipient is in 

compliance with the statute(s) and regulations at issue in the case. See CPM Section 304 and 

CPM Article V. The letter will include a copy of the agreement.

• When negotiations have not resulted in an agreement, a description of OCR’s unsuccessful 

attempts to resolve the complaint.

• All letters of finding(s) will state: “The complainant may have a right to file a private suit in 

federal court whether or not OCR finds a violation.” For service complaints under the Age 

Discrimination Act, the complainants may file in federal court only after they have exhausted 

administrative remedies. See CPM subsection 701(a).

(d) Options for Resolution

The provisions of a resolution agreement will be aligned with the allegations, issues investigated, and the 

information obtained during the investigation. The resolution agreement must include action steps that, 

when implemented, will remedy the discrimination at issue in the case. Where OCR has obtained 

sufficient evidence to support a finding under CPM subsection 303(a) (insufficient evidence) or CPM 

subsection 303(b) (violation) with regard to any allegation(s), OCR will not close the allegation(s), but 

will proceed in accordance with the appropriate provisions set forth in CPM Section 303. 
Case Processing Manual |Page 19

A “mixed resolution” is appropriate for complaints with multiple allegations and issues, where the 

investigation thus far has found a violation with regard to some allegations and issues and/or insufficient 

evidence with regard to other allegations and issues, and/or where there are some allegations and issues 

that are appropriate to resolve prior to the conclusion of their investigation. The letter that OCR issues in 

such a “mixed resolution” case must state the allegations and issues for which OCR has made a finding(s)

(either violation or insufficient evidence), state OCR’s finding(s) and the basis therefor, and must state the

allegations and issues that are being resolved prior to the conclusion of the investigation.

SECTION 302 RESOLUTION AGREEMENT REACHED DURING AN INVESTIGATION

Allegations and issues under investigation may be resolved at any time when, prior to the conclusion of 

the investigation, the recipient expresses an interest in resolving the allegations and issues and OCR

determines that it is appropriate to resolve them with an agreement during the course of an investigation. 

Where OCR has obtained sufficient evidence to support a finding under CPM subsection 303(a) 

(insufficient evidence) or CPM subsection 303(b) (violation) with regard to any allegation(s), OCR will 

not resolve the allegation(s) pursuant to CPM Section 302, but will proceed in accordance with the 

appropriate provisions set forth in CPM Section 303.

OCR will inform the recipient that this process is voluntary. When OCR determines that it is appropriate 

to resolve the allegations(s) and issue(s) pursuant to CPM Section 302, OCR will notify the complainant 

of the recipient’s interest in resolution.

For cases with allegations and issues proposed for resolution under this Section, OCR will prepare a 

Statement of the Case 9 (including a proposed resolution agreement). The Statement of the Case must set 

forth:

• A statement of OCR’s jurisdictional authority, including recipient status and the statutory basis 

for the investigation.

• An explanation of the pertinent legal standard(s).

• A statement of each allegation and issue investigated to date supported by any necessary 

explanation or analysis of the evidence.

• The outstanding areas that OCR would have to investigate in order to reach a determination 

regarding compliance.

• The date of the recipient’s expression of interest in resolving the complaint.

• OCR’s basis for entering into the resolution agreement.

• An explanation of how the terms of the agreement are aligned with the allegations and issues 

investigated and are consistent with applicable law and regulation(s).

The Statement of the Case must address all of the allegations and issues proposed for resolution under 

CPM Section 302 as well as any other allegation(s) that will be resolved pursuant to other sections, such 

as CPM Section 303.

A copy of the resolution agreement will be included with the resolution letter.

Revised February 2016

 9 The elements in the Statement of the Case are covered by the Case Resolution Processing Document, which OCR 

implemented on February 8, 2016. 
Case Processing Manual |Page 20

OCR will monitor the implementation of the agreement until the recipient has fulfilled the terms of the 

agreement and is in compliance with the statute(s) and regulation(s) at issue in the case. See CPM Article 

V. 

(a) Timeframes and Procedures for Negotiations

From the date that the proposed terms of the resolution agreement are shared with the recipient, OCR and 

the recipient will have a period of up to 30 calendar days within which to reach final agreement. 

During the negotiations period (which may be less than 30 days, at the discretion of OCR), OCR may 

suspend its investigation of the case. Where a final agreement is not reached by the 30th day, the 

investigation will resume no later than on the 31st day after negotiations were initiated. This 30-day 

period for suspension of the investigation in order to conduct negotiations cannot be restarted. 

SECTION 303 INVESTIGATIVE DETERMINATIONS

At the conclusion of the investigation of all allegations and issues, OCR will determine, using a 

preponderance of the evidence standard, whether:

• There is insufficient evidence to support a conclusion of noncompliance.

• The evidence supports a conclusion of noncompliance.

OCR will issue a letter of finding(s) to the parties explaining the reason(s) for its decision. See CPM 

subsection 301(c) and CPM subsection 301(d).

For recipients operating under federal court order, see CPM Section 704.

(a) Insufficient Evidence Determination

When OCR determines that the preponderance of the evidence does not support a conclusion that the 

recipient failed to comply with applicable regulations, OCR will issue a letter of finding(s) to the parties

explaining the reasons for its decision. See CPM Section 301(c).

(b) Non-Compliance Determination

When OCR determines that the preponderance of the evidence supports a conclusion that the recipient 

failed to comply with applicable regulation(s), in addition to the Statement of the Case 10, OCR will 

prepare a letter of finding(s), and a proposed resolution agreement. The Statement of the Case must set 

forth: 

• A statement of OCR’s jurisdictional authority, including recipient status and the statutory basis 

for the investigation.

• An explanation of the pertinent legal standard(s).

• A statement of each allegation and issue investigated and the findings of fact for each, supported 

by any necessary explanation or analysis of the evidence on which the findings are based.

• Conclusions for each allegation and issue that reference the relevant facts, the applicable 

regulation(s), and the appropriate legal standards.

Revised February 2016

 10 The elements in the Statement of the Case are covered by the Case Resolution Processing Document, which OCR 

implemented on February 8, 2016.
Case Processing Manual |Page 21

• OCR’s basis for entering into the resolution agreement.

• An explanation of how the terms of the agreement are aligned with the allegations and issues 

investigated and are consistent with applicable law and regulation(s).

The agreement must include action steps that, when implemented, will remedy both the individual 

discrimination at issue as well as any systemic discrimination. OCR will contact the recipient and will 

attempt to secure the recipient’s willingness to negotiate a resolution agreement. In addition, OCR will 

notify the complainant that it intends to negotiate a resolution agreement.

OCR will monitor the implementation of the agreement until the recipient is in compliance with the 

statute(s) and regulations at issue in the case. See CPM Section 304. A copy of the resolution agreement 

will be included with the letter of finding. 

1. Timeframes and Procedures for Negotiations

From the date that the proposed terms of the resolution agreement are shared with the recipient, 

OCR and the recipient will have a period of up to 90 calendar days within which to reach final 

agreement. 

2. Negotiation Impasse

i. OCR may end the negotiations period at any time prior to the expiration of the 90-calendar 

day period when it is clear that agreement will not be reached (e.g., the recipient has refused 

to discuss any resolution; the recipient has indicated a refusal to agree to a key resolution 

term; the recipient has not responded to a proposed resolution agreement and at least 30 

calendar days have passed). At such time, OCR shall immediately issue an impasse letter 

that informs the recipient that OCR will issue a letter of finding(s) in 10 calendar days if a 

resolution agreement is not reached within that 10-day period. 

ii. If OCR and the recipient negotiate for 90 calendar days and fail to reach final agreement by 

the 90th day, OCR shall issue an impasse letter on the 91st day; the impasse letter will inform 

the recipient that OCR will issue a letter of finding(s) in 10 calendar days if a resolution is not 

reached within that 10-day period.

3. Issuance of Letter of Finding(s) and Letter of Impending Enforcement Action

If agreement is not reached during the 10-day impasse period, OCR will issue the Letter of 

finding(s) on the 11th day. If the recipient does not enter into a resolution agreement within 30 

calendar days of the date of the Letter of finding(s), OCR must follow the procedures in CPM 

Section 305 for the issuance of a Letter of Impending Enforcement Action. 

SECTION 304 GUIDELINES FOR RESOLUTION AGREEMENTS

The complaint will be considered resolved and the recipient deemed compliant when the recipient, after 

negotiating with OCR and reaching agreement on its terms, enters into an agreement that, when fully and 

effectively implemented, will address all of OCR’s compliance concerns and/or the identified violations. 

See CPM Section 302 and CPM Section 303. 

Revised February 2016
Case Processing Manual |Page 22

A copy of the agreement will be included with the resolution letter (if obtained during the investigation, 

pursuant to CPM Section 302) or letter of finding(s) (if obtained after a compliance determination is made 

after completion of the investigation, pursuant to CPM Section 303). 

Resolution Agreements:

• Must be signed by a person with authority to bind the recipient;

• Must include:

 Specific acts or steps the recipient will take to resolve compliance issues.

 Dates for implementing each act or step.

 Dates for submission of reports and documentation.

 Where appropriate, language requiring submission of documents and/or other information or 

actions for OCR’s review and approval, and timeframes for their submission.

 Timeframes requiring the recipient to implement what OCR has approved, and language 

requiring documentation verifying implementation.

 The following statements of principles:

o The recipient understands that by signing the Agreement, it agrees to provide data and 

other information in a timely manner. Further, the recipient understands that, during the 

monitoring of the Agreement, OCR may visit the recipient, interview staff and students, 

and request such additional reports or data as are necessary for OCR to determine 

whether the recipient has fulfilled the terms of the Agreement and is in compliance with 

the statute(s) and regulations that were at issue in this case. 

o The recipient understands that OCR will not close the monitoring of the Agreement until 

such time that OCR determines that the recipient has fulfilled the terms of the Agreement 

and is in compliance with the statute(s) and regulations that were at issue in this case.

o The recipient understands and acknowledges that OCR may initiate administrative 

enforcement or judicial proceedings, including to enforce the specific terms and 

obligations of the Agreement. Before initiating administrative enforcement (34 C.F.R. §§ 

100.9, 100.10), or judicial proceedings, including to enforce the Agreement, OCR shall 

give the recipient written notice of the alleged breach and sixty (60) calendar days to cure 

the alleged breach.

Where the agreement is memorialized through an exchange of letters or other written communications, 

each of the above elements must be satisfied.

SECTION 305 LETTER OF IMPENDING ENFORCEMENT ACTION

When following the expiration of the 30 calendar day period or the 10 calendar day period referenced in 

CPM subsection 303(b) and the issuance of a letter of finding(s), the recipient refuses to make a 

commitment to voluntarily resolve the identified areas of noncompliance, OCR will prepare a Letter of 

Impending Enforcement Action. The following information must be included:

• A statement of allegation(s) and issue(s) in the case.

• A statement of OCR’s jurisdictional authority, including recipient status and the statutory basis for 

the investigation.

• A statement of the findings of fact for each, allegation (s) and issue(s) supported by any necessary 

explanation or analysis of the evidence on which the findings are based.

• Conclusions for each allegation and issue that reference the relevant facts, the applicable 

regulation(s), and the appropriate legal standards.
Case Processing Manual |Page 23

• Notice that the Letter of Impending Enforcement Action is not intended and should not be 

construed to cover any other issue regarding the recipient’s compliance.

• Notice of the time limit on OCR’s resolution process and the consequence of failure to reach 

agreement.

• A description of OCR’s unsuccessful attempts to resolve the case.

• When a decision is made to defer final approval of any applications by the recipient for additional 

federal financial assistance or, with respect to the Boy Scouts Act, additional funds made available

through the Department 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.

• Title II letters will include the following language: “The complainant may have a right to file a 

private suit pursuant to Section 203 of the Americans with Disabilities Act, whether or not OCR 

finds a violation of Title II.”

To resolve the case after issuance of the Letter of Impending Enforcement Action, any resolution 

agreement that the recipient proposes must be approved by OCR.

SECTION 306 APPEALS

OCR affords an opportunity to the complainant to appeal OCR’s letters of finding issued pursuant to 

CPM subsection 303(a). 

The appeal process is not a de novo review of OCR’s decision. 

Notice of the appeal process is provided to complainants in the information sheet, “OCR Complaint 

Processing Procedures.” OCR’s appeal process is also available 

at http://www.ed.gov/about/offices/list/ocr/complaints-how.html. 

The complainant must send a written appeal to the Enforcement Office Director of the Enforcement 

Office that issued the determination. All documentation to support the appeal must be submitted with the 

complainant’s appeal. In an appeal, the complainant must explain why he or she believes the factual 

information was incomplete, the analysis of the facts was incorrect, and/or the appropriate legal standard 

was not applied, and how this would change OCR’s determination in the case. Failure to do so may result 

in the denial of the appeal.

In order to be timely, an appeal (including all supporting documentation) must be submitted within 60 

calendar days of the date of the letter of finding(s). The Enforcement Office Director may exercise 

discretion in granting a waiver of the 60-day timeframe where: 

(a) The complainant was unable to submit the appeal within the 60-day timeframe because of illness or 

other incapacitating circumstances and the appeal was filed within 30 days after the period of illness 

or incapacitation ended.

(b) Unique circumstances generated by agency action have adversely affected the complainant. 

A written decision on appeal will be issued. This appeal decision of the Enforcement Office Director 

constitutes the final agency decision. The final agency decision will inform the complainant that he or 

she “may have the right to file a private suit in federal court whether or not OCR finds a violation.”
Case Processing Manual |Page 24

SECTION 307 REFERRALS FROM THE DEPARTMENT OF JUSTICE (DOJ) AND THE 

 EQUAL EMPLOYMENT OPPORTUNITY COMMISSION (EEOC)

When a Title II complaint is 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 when a complaint has been referred to OCR, OCR will notify the 

EEOC once the complaint has been resolved. See 28 C.F.R. Part 37 and 29 C.F.R. Part 1640.
Case Processing Manual |Page 25

ARTICLE IV COMPLIANCE REVIEWS AND DIRECTED INVESTIGATIONS

The investigation and resolution options and procedures identified in the CPM will be utilized for 

compliance reviews and directed investigations, as appropriate. See CPM Articles III, V, VI. The 

“initiation date” is the date of the letter notifying the recipient of the compliance review or directed 

investigation. 

SECTION 401 COMPLIANCE REVIEWS

In addition to the regulations implementing Title VI that require OCR to investigate complaints that are 

filed with the agency, the regulations require OCR to initiate “periodic compliance reviews” to assess the 

practices of recipients to determine whether they comply with the Title VI regulations. See 34 C.F.R. § 

100.7(a). This regulatory provision is incorporated by reference in the regulations implementing other statutes 

enforced by OCR. See Title IX (34.C.F.R. § 106.71), Section 504 (34. C.F.R. § 104.61), and the Boy 

Scouts Act (34. C.F.R. § 108.9). For the Age Discrimination Act, see 34 C.F.R. § 110.30. For Title II, see 

28 C.F.R. § 35.172(a).

The compliance review regulations afford OCR broad discretion to determine the substantive issues for 

investigation and the number and frequency of the investigations. To address issues of strategic 

significance in civil rights areas facing educational institutions, OCR will identify, plan and implement a 

docket of compliance reviews. 

SECTION 402 DIRECTED INVESTIGATIONS

In appropriate circumstances, OCR may conduct a directed investigation when a report or other 

information indicates a possible failure to comply with the regulations and laws enforced by OCR, the 

matter warrants immediate attention and the compliance concern is not otherwise being addressed through 

OCR’s complaint, compliance review or technical assistance activities. See 34 C.F.R. § 100.7(c). This

regulatory provision is incorporated by reference in the regulations implementing the other statutes 

enforced by OCR. See Title IX (34 C.F.R. § 106.71), Section 504 (34 C.F.R. § 104.61), and the Boy 

Scouts Act (34 C.F.R. § 108.9). For the Age Discrimination Act, see 34 C.F.R. § 110.30. For Title II, see 

28 C.F.R. Part 35.

A directed investigation is an OCR-initiated process that allows OCR to address possible discrimination 

that is not currently being addressed through OCR’s complaint, compliance review or technical assistance 

activities. Depending on the circumstances, a directed investigation may include offering technical 

assistance to the recipient, and/or conducting an expedited investigation that may result in a resolution 

agreement that will ensure that recipients come into compliance with the requirements of the civil rights 

laws.
Case Processing Manual |Page 26

ARTICLE V MONITORING RESOLUTION AGREEMENTS

Effective and vigorous case monitoring is essential to ensuring compliance with civil rights laws. OCR 

will promptly conduct its monitoring activities. OCR will closely monitor the recipient’s implementation 

of the resolution agreement to ensure that the commitments made are implemented fully and effectively 

and that the recipient is in compliance with the statute(s) and regulation(s) at issue. OCR may conduct 

onsite visits as part of its monitoring. OCR may publicize these visits in order to obtain information from 

the public concerning the recipient’s implementation of the resolution agreement. OCR may also conduct 

individual interviews and focus groups as part of the onsite monitoring activities. See CPM subsection 

702(d). OCR will plan all monitoring activities to ensure that the resolution agreement and OCR’s 

monitoring result in compliance with the applicable civil rights laws at issue. OCR will not close the 

monitoring of a resolution agreement until such time that OCR determines that the recipient has fulfilled 

the terms of the resolution agreement and is in compliance with the statute(s) and regulation(s) that were 

at issue. 

SECTION 501 RESPOND TO MONITORING REPORTS AND VERIFY RECIPIENT’S 

 IMPLEMENTATION

OCR will promptly acknowledge receipt of interim and final monitoring reports. OCR will evaluate the 

report and issue an appropriate response (e.g., where OCR determines actions taken are sufficient or 

insufficient under the agreement). OCR must obtain sufficient information to determine whether the 

commitments made by the recipient have been implemented consistent with the terms of the resolution 

agreement. Depending on the nature of the agreement, verification of remedial actions may be 

accomplished by review of reports, documentation and other information submitted by recipients and 

knowledgeable persons, interviews of the recipients and knowledgeable persons and/or site visit(s).

SECTION 502 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. When OCR has determined that a recipient has failed to comply with the agreement or any 

of the terms thereof for reasons that do not justify modification of the agreement pursuant to CPM 

subsection 503(a), OCR will take prompt action pursuant to CPM Section 305 and CPM Article VI to 

enforce the agreement and ensure that the recipient complies with the statute(s) and regulation(s) that 

were at issue. 

SECTION 503 MODIFICATIONS OF AGREEMENTS

(a) Changed Circumstances Affecting Agreements 

Pursuant to CPM subsection 503(c), OCR may agree to modify or terminate a resolution agreement when

it learns that circumstances have arisen that substantially change, fully resolve, or render moot, some or 

all of the compliance concerns that were addressed by the resolution agreement. OCR may also modify 

the agreement in response to changes in controlling case law, statutes, regulations, or agency policy.
Case Processing Manual |Page 27

(b) New Compliance Issues

OCR may address a new compliance issue(s) identified for the first time during monitoring by providing 

technical assistance or considering the issue(s) for a compliance review. See CPM Section 401.

(c) Approval of Modifications

OCR must approve modifications to the agreement (e.g., requests to change the substance of any 

provision in the agreement, requests for extension of time to submit a report or to complete a required 

action). Approved modifications must be set forth in writing and appended to the original agreement. 

Requests for modification must be documented in the case file. The complainant will be notified in 

writing of approved modification(s) to the substance of the agreement and extension(s) of the timeframe 

within which to complete a required act(s). 

SECTION 504 CONCLUSION OF MONITORING

OCR will conclude the monitoring of a case when it determines that the recipient has fully and effectively

implemented the terms of the resolution agreement, including any subsequent approved modifications to 

the agreement, and is in compliance with the statute(s) and regulation(s) at issue. The recipient and the 

complainant will be promptly notified in writing of this determination.
Case Processing Manual |Page 28

ARTICLE VI INITIATION OF ENFORCEMENT ACTION

When OCR is unable to negotiate a resolution agreement with the recipient, OCR will initiate 

enforcement action. OCR will either: (1) initiate administrative proceedings to suspend, terminate, or 

refuse to grant or continue and defer financial assistance from or, with respect to the Boy Scouts Act, 

funds made available through the Department 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 601 INITIATE ADMINISTRATIVE PROCEEDINGS WHERE APPROPRIATE

When post-Letter of Impending Enforcement Action negotiations do not result in a resolution agreement, 

OCR will where appropriate, request that an administrative proceeding be initiated. OCR will establish a 

team to prosecute the case. When deferral of funds has been imposed, the Notice of Opportunity for 

Hearing will be issued within 30 days of the notice of the deferral action.

SECTION 602 REFER TO DOJ WHERE APPROPRIATE

When post-Letter of Impending Enforcement Action negotiations do not result in a resolution agreement, 

OCR will where appropriate, issue a letter to the recipient stating that the case will be referred to DOJ in 

10 days from the date of the letter.

SECTION 603 ENFORCEMENT FOR DENIAL OF ACCESS 

A recipient denies access to OCR when it:

• Refuses to permit OCR access during the recipient’s normal business hours to information 

maintained by the recipient that is necessary to determine compliance status of the allegation(s)

and issue(s) under investigation, or, during monitoring, recipient’s compliance with a resolution 

agreement. Generally, this includes the access to books, records, accounts, including electronic 

storage media, microfilm, retrieval systems and photocopies, and other sources of information, 

including witnesses, and recipient’s facilities. 

• Refuses to permit OCR access to its employees during the recipient’s regular business hours. 

• 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. 

• Refuses to complete applicable OMB-approved compliance and survey forms relevant to an 

investigation. 

Where the recipient has refused to provide OCR access orally, either in person, over the telephone or 

through use of other media, OCR must attempt to ascertain the exact basis for the recipient’s refusal and 

explain OCR’s authority to obtain the evidence. Where attempts to persuade the recipient to provide 

access have failed, OCR must send a letter to the recipient that sets forth in detail the evidence (e.g., 

documents, data, other information, witnesses) to which the recipient denied OCR access and specifies 

the efforts that OCR has made to obtain the evidence. If the recipient does not voluntarily provide OCR 

with access to the requested evidence within 30 calendar days of OCR’s issuance of the letter to recipient, 

OCR will issue a Letter of Impending Enforcement Action pursuant to CPM Section 603. If the recipient 

continues to deny OCR access to the requested evidence, OCR will issue a letter to the recipient stating 

OCR’s intention to impose deferral of funds.
Case Processing Manual |Page 29

SECTION 604 ENFORCEMENT FOR FAILURE TO COMPLY WITH OCR AGREEMENT

Where the recipient has failed to comply with the terms of a resolution agreement OCR must issue a 

Letter of Impending Enforcement Action pursuant to CPM Section 305. If the recipient does not come 

into compliance after issuance of the Letter of Impending Enforcement Action, OCR will initiate 

enforcement action pursuant to either CPM Section 601 or CPM Section 602.
Case Processing Manual |Page 30

ARTICLE VII APPENDICES 

SECTION 701 SPECIAL INTAKE PROCEDURES

(a) Age Discrimination Complaints

An age discrimination complaint is timely when it is filed within 180 days of the date the complainant 

first had knowledge of the alleged discrimination. For good cause shown, OCR may extend this time 

limit.

For service complaints under the Age Discrimination Act, the complainant may file a civil action under 

the Age Discrimination Act in federal court but only after he or she has 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. If OCR fails to make a finding within 180 days or issues a finding in 

favor of the recipient, OCR will promptly notify the complainant of this fact and of his or her right to 

bring a civil action for injunctive relief. OCR’s notice must also contain the following information: that 

a civil action can be brought only in a United States district court for the district in which the recipient is 

found or transacts business; that a complainant prevailing in a civil action has the right to be awarded the 

costs of the action, including reasonable attorney's fees, but that these costs must be demanded in the 

complaint filed with the court; that before commencing the action, the complainant shall give 30 days’ 

notice by registered mail to the Secretary, the Secretary of Health and Human Services, the Attorney 

General of the United States, and the recipient; that the notice shall state the alleged violation of the Age 

Discrimination Act, the relief requested, the court in which the action will be brought, and whether or not 

attorney's fees are demanded in the event the complainant prevails; and that the complainant may not 

bring an action if the same alleged violation of the Age Discrimination Act by the same recipient is the

subject of a pending action in any court of the United States.

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 complaints (see 34 C.F.R. §§ 110.31 and 110.32) containing an 

allegation of age discrimination in services are promptly referred to:

Federal Mediation and Conciliation Service 

Attention: Alternative Dispute Resolution Department

2100 K Street, N.W. 

Washington, D.C. 20427
Case Processing Manual |Page 31

Where OCR receives a complaint containing both allegations of age discrimination in services 

and allegations under Title VI, Title IX, Title II, Section 504, and/or the Boy Scouts Act, and 

OCR determines that the non-age allegation(s) is independent and separable from the age 

allegation, OCR will refer only the age portion of the complaint to FMCS. OCR will proceed to 

investigate the additional allegations over which OCR has jurisdiction. OCR will not wait for 

mediation of the age portion of the complaint to conclude before beginning investigation of the 

non-age portion of the complaint.

Copies of the complaint and letters to the complainant and recipient and a completed FMCS “Request for 

ADA Mediation Assistance” must be included. 

If FMCS does not resolve the complaint within 60 days from the date of filing with OCR, OCR will 

resume processing the age aspects of 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. 

(b) Title VI Complaints against Proprietary Schools

Authority to process Title VI complaints against proprietary vocational schools (privately owned, profitmaking enterprises that teach a trade or skill) has, with certain exceptions, been delegated to the U.S. 

Department of Veterans Affairs. Such complaints must be forwarded to: 

U.S. Department of Veterans Affairs

Office of Resolution Management

810 Vermont Avenue, N.W.

Washington, D.C. 20420

OCR must refer to the U.S. 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, color, national origin and sex discrimination in employment complaints will be processed in 

accordance with the government-wide regulations. OCR will:

1. 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.
Case Processing Manual |Page 32

2. Within 30 days of receipt:

i. Determine whether OCR has jurisdiction over the complaint under Title VI and/or Title 

IX. 

ii. Determine whether EEOC may have jurisdiction over the complaint.

iii. 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. 

iv. Refer to the EEOC certain complaints over which both OCR and EEOC appear to have 

jurisdiction (“joint complaints”), consistent with the following guidance:

Absent special circumstances, OCR will refer a joint complaint that solely alleges 

employment discrimination against an individual.

Absent special circumstances, OCR will not refer a joint complaint alleging a pattern or 

practice of employment discrimination. 

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.

OCR will 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. 

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(a)(2)(i))

OCR has jurisdiction to investigate Title II complaints against public elementary and secondary 

education systems and institutions, public institutions of higher education and vocational education 

(other than schools of medicine, dentistry, nursing, and other health-related schools), and public 

libraries. When OCR receives an ADA-only complaint over which it does not have jurisdiction, it 

will be referred to the DOJ, and then closed. The complainant will be notified of the referral.

(e) Section 504 and Title II Disability Employment Complaints (see 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 DOJ Civil Rights Division if OCR 

has no jurisdiction under either Title II of the ADA or Section 504 of the Rehabilitation Act of 
Case Processing Manual |Page 33

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 the EEOC.

ii. OCR shall defer individual complaints unless the complainant elects to have OCR process the 

charge. OCR must notify the complainant in writing 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 20 calendar days of the 

date of the letter. See 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. See 28 C.F.R. § 37.8 (e).

2. Retention

i. When 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.

• The complaint alleges a pattern or practice of employment discrimination. See 28 C.F.R. § 

37.6(d)(1).

ii. When OCR has jurisdiction under Title II of the ADA but not under Section 504, OCR shall 

retain jurisdiction over a complaint when it determines that EEOC does not have jurisdiction 

under Title I. See 28 C.F.R. §§ 37.6 (d)(2) and (3).

SECTION 702 DATA COLLECTION AND INFORMATION GATHERING

(a) Generally

OCR’s data collection and information gathering activities will depend upon the particular case, 

applicable legal standards, and investigative/resolution strategy. The data/information collection and 

other investigative activities will vary from case to case depending on the extent to which relevant data 

are in the control of the recipient or others, and investigation strategies. Some general investigative 

principles and practices include: 

• Collect publicly available data, including data available on recipient public websites and data 

from OCR’s Civil Rights Data Collection (CRDC).

• Obtain independent written documentation to corroborate oral statements. 

• Label all evidence, 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).

• Document efforts to obtain access to recipient data and witnesses.

• Undertake a robust outreach to the recipient community to increase access to relevant information 

in the conduct of an investigation (e.g., by publicizing OCR’s presence and availability in onsite 

investigations for individual interviews and focus groups as well as OCR’s availability for 

discussion with interested individuals before and subsequent to the onsite), as appropriate.
Case Processing Manual |Page 34

• Determine whether it is appropriate to obtain interim relief for the complainant. As soon as OCR 

identifies the need for such relief, OCR will contact the recipient to secure it. 

• Collect data resulting from any methods recipients use to track and evaluate their compliance 

with their legal responsibilities (e.g., climate surveys and other self-assessment tools). 

(b) OCR’s Authority to Obtain Information

OCR has the right of access during a recipient’s regular business hours to the 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 such of the recipient’s books, records, accounts, including electronic storage media, 

microfilming, retrieval systems and photocopies maintained by the recipient, and other sources of 

information, including witnesses, and its facilities as may be pertinent to ascertain compliance. OCR, not 

the recipient, decides what information is relevant to a determination of compliance. 

(c) Requests for Records 

1. Data Requests

A data request seeks information from the recipient relevant to the investigation. It can be used to 

initiate information collection or to request further information, as necessary.

2. Timeframes for Recipient’s Response 

Depending upon the nature and extent of OCR’s data request, the recipient will be given an 

appropriate amount of time (for example 15 calendar days from the date of OCR’s request) to

submit the information required. The timeframe will be established at OCR’s discretion, 

depending on the nature and extent of data requested 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, in the context of an ongoing complaint, compliance review, or directed 

investigation, OCR may require recipients to record information in such form and containing 

such information as OCR may determine is necessary to assess compliance, without 

obtaining prior approval for its use by the Office of Management and Budget.

11 See 34 C.F.R. 

§ 100.6(b).

ii. 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 placed on the recipient. Recipients that maintain data 

in an electronic format must provide the data in that format to OCR in a file type that can be 

accessed by OCR. Recipients that do not maintain data in an electronic format are 

encouraged to provide the requested information in an electronic format that can be accessed 

by OCR.

 11 The Paperwork Reduction Act only applies to collections directed at 10 or more respondents, but with one important exception. Any 

information requirement in a “rule of general applicability” is presumed to affect or potentially affect at least 10 respondents.
Case Processing Manual |Page 35

If a recipient invites OCR to come onsite and collect the requested information, including the interview of 

witnesses 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 the right of 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 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. OCR may 

conduct individual interviews and focus groups, as appropriate, as part of its investigations.

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.” This Notice is available at:

(http://www2.ed.gov/about/offices/list/ocr/docs/witness-notice-mw.pdf)

iii. The witness’s right to personal representation during the interview by a person of his or her

choice. 

iv. When 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 provision(s) 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 when

safeguards are taken to ensure the competence of the interpreter and to protect the witness’s 

privacy. 
Case Processing Manual |Page 36

4. Interviews with Minors (Persons under 18) or Legally Incompetent Individuals 

OCR shall obtain written consent from a parent or guardian prior to conducting an interview of

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.

For persons under 18 who state they are emancipated, OCR should obtain proof of emancipation.

Parental or legal guardian consent may not be necessary where 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. Where a recipient refuses to allow minor students to be 

interviewed without consent where 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, written consent must be obtained.

Where 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. Where consent is denied, OCR 

will not interview the child.

5. Records of Interviews 

A written record of interviews (i.e., in-person, telephonic, or through use of other electronic 

media) must be kept. Interviewers will notify interviewees when a tape recording is used and 

tape recording will be done only with the consent of the interviewee. When 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 in 

person or through use of media (e.g., telephone, videoconferencing.

iv. A record of whether the interviewee was informed of required notifications.

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). 

SECTION 703 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 name, 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. 
Case Processing Manual |Page 37

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. See 5 U.S.C. § 552a(b).

FOIA gives the public a right of access to records of federal agencies. The FOIA is implemented by 

Department regulations. See 34 C.F.R. Part 5.

Any requests for copies of documents or other access to information contained in OCR’s case 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 and investigation process or enforcement proceedings if the release 

could reasonably be expected to interfere with OCR’s law enforcement activities. See 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). Finally, a 

federal agency is not required to release documents if their release would or could result in an 

unwarranted invasion of privacy of an individual. See 5 U.S.C. §§ 552(b)(6) and (7)(C). OCR will not 

reveal the name or other identifying information about an individual (including individuals who file 

complaints or speak to OCR) unless (1) such information would assist in the completion of an

investigation or in enforcement activities against an institution that violates the laws; (2) such information 

is required to be disclosed under the FOIA or the Privacy Act or otherwise by law; or (3) such 

information is permitted to be disclosed under both FOIA and the Privacy Act and OCR determines 

disclosure would further an interest of the Department and the United States.

In addition, OCR can release certain information about the complaint to the press or general public, 

including the name of the school or institution; the date the 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, except as noted in the paragraph above.

SECTION 704 RECIPIENTS OPERATING UNDER FEDERAL COURT ORDER

(a) United States a Party

When OCR receives a complaint alleging discrimination by a recipient against which the DOJ represents 

the United States as a party in pending litigation, the following procedures will apply:

1. OCR notification to DOJ: The Enforcement Office Director will forward the complaint to DOJ 

by electronic mail immediately and ask whether DOJ wants OCR to refer the complaint to DOJ. 

This will occur before any OCR evaluation of the complaint begins and even if it is clear on the 

face of the complaint that OCR would not open it for investigation.

2. DOJ response: DOJ will have seven calendar days after the date of OCR’s electronic mail

notification to determine whether (1) DOJ wants OCR to refer the complaint to DOJ, or (2) DOJ 

does not want OCR to refer the complaint to DOJ. There are no additional options. For example, 

a complaint cannot be conditionally referred or conditionally declined, nor may DOJ request 

referral of only a portion of a complaint.\
Case Processing Manual |Page 38

3. No referral to DOJ: When DOJ indicates that it does not want OCR to refer the complaint, or 

DOJ does not respond within seven calendar days of the date of OCR’s electronic mail

notification, OCR, in its sole authority, will immediately process the complaint. 

4. Referral to DOJ: When DOJ indicates that it wants OCR to refer the complaint, then:

i. OCR will refer the entire complaint to DOJ.

ii. OCR will close the complaint and notify the complainant that the complaint has been referred 

to DOJ.

iii. Once a complaint is referred to DOJ, DOJ will be responsible for investigating and resolving 

the entire complaint. OCR will forward all communications it receives from the complainant 

relating to the complaint to DOJ and DOJ will be responsible for addressing all such 

communications. OCR will not accept any type of return or re-referral of the complaint from 

DOJ.

(b) United States Not a Party

1. As part of evaluation of the complaint OCR will consult with parties about the current status 

of the court order.