U.S. Department of
Education
Office for Civil Rights
(OCR)
OCR Presents:
What To Do When
OCR Comes Knocking:
OCR’s Case
Resolution Tools
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What Is OCR?
 The Office for Civil Rights (OCR) is a
part of the U.S. Department of Education
and has headquarters in Washington,
D.C. and has 12 regional offices
 OCR’s mission is to ensure equal access
to education programs and promote
educational excellence through the
vigorous enforcement of civil rights laws
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Laws Enforced by OCR
Title VI (race, national origin and color)
Title IX (sex)
Section 504 of the Rehabilitation Act
(disability)
Title II of the Americans with Disabilities Act
(ADA)
Age Discrimination Act
Boy Scouts of America Equal Access Act
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OCR’s Jurisdiction
OCR has jurisdiction over
programs and activities that
receive financial assistance
from the Department of
Education, such as:
– state education agencies
– elementary and secondary
school systems
– colleges and universities
– state vocational
rehabilitation agencies
OCR also has jurisdiction over
certain public entities under
Title II of the Americans
with Disabilities Act of
1990, such as:
– public elementary and
secondary school systems
– public colleges and
universities
– public libraries and state
vocational rehabilitation
agencies
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OCR Enforcement



OCR Enforcement
An important responsibility of OCR is the
investigation and resolution of complaints of
discrimination.
OCR also initiates some cases on its own.
These are called compliance reviews, and
they permit OCR to target resources on
compliance problems that appear particularly
acute.
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OCR Enforcement
OCR also provides technical assistance to help
institutions achieve voluntary compliance with
the civil rights laws that OCR enforces and to
help parents and students understand their
rights and responsibilities. Technical
assistance includes, for example:
– Presentations
– Responses to telephone and written
inquiries
– Workshops
– Consultation
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Complaint Resolution
OCR's goal is to resolve complaints of
discrimination promptly and
appropriately. OCR may use a variety of
approaches to resolve the complaint.
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Investigation of Complaints of
Discrimination: FAQs

Which Complaints will be Investigated
by OCR?

How Does the Recipient Know it is the
Subject of an Investigation?

An Investigation: What Can the
Recipient Expect? What are the
Recipient’s Options?
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Which Complaints will be
Investigated by OCR?
OCR Case Processing Manual (2008):
OCR will investigate all allegations,
which, if true, would constitute a
violation of one of the laws it enforces.
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Notification Letter

OCR will send a notification letter to the recipient and
to the complainant. The letter will state the following:
(a) the basis for the complaint;
(b) a brief statement of the allegations over which
OCR has jurisdiction;
(c) a brief statement of OCR’s jurisdiction over the
complaint; and
(d) an indication of when the parties will be
contacted.
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Notification Letter
“Opening the allegations for investigation in no way
implies that OCR has made a determination with
regard to their merits. During the investigation,
OCR is a neutral fact-finder, collecting and
analyzing relevant evidence from the complainant,
the recipient, and other sources, as appropriate.
OCR will ensure that its investigation is legally
sufficient and is dispositive of the allegations, in
accordance with the provisions of Article III of the
Case Processing Manual.”
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Resolution Tools

Investigations and Investigative
Determinations

Early Complaint Resolution (ECR)

Resolution Requested by Recipient
Prior to the Conclusion of an
Investigation
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Resolution Tools:
Investigations and
Investigative
Determinations
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OCR Investigation

OCR proceeds with investigation
and makes compliance
determination
•
Violation, with Agreement
•
No Violation
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What to Expect in an OCR
Investigation

Data Requests

Interviews, where appropriate

Possible On-site Visit, where
appropriate
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Investigative Determinations
At the conclusion of the investigation,
OCR will determine either:
 the evidence is insufficient to support the complaint
allegations; or
 the evidence is sufficient to support a determination of
noncompliance. OCR will then attempt to negotiate a
voluntary resolution agreement with the recipient. If an
agreement is not reached, OCR will proceed to
enforcement, either through an administrative
proceeding or through referral to the Department of
Justice for judicial proceedings.
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Resolution Tools:
Early Complaint
Resolution (ECR)
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Early Complaint Resolution (ECR)
What Is It?


ECR is a form of Alternative Dispute
Resolution (ADR) that is offered by OCR
where appropriate as an alternative to the
traditional investigative process
ECR provides the parties an early opportunity
to voluntarily resolve the issues that
prompted the OCR complaint without
investigation
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ECR Process





OCR determines that ECR is appropriate
Complainant and Recipient express
willingness to engage in ECR
OCR facilitator is designated
Facilitator contacts parties and may arrange
for a joint conference between parties
Once parties agree on resolution, facilitator
assists parties in drafting agreement
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OCR’s Role
• To serve as facilitator.
• To review the allegations and make sure the parties understand the
issues, and, as appropriate, facilitate an understanding of
pertinent legal standards and possible remedies
• To establish a constructive tone and encourage the parties to work
in good faith toward a mutually acceptable resolution
• To facilitate a discussion between the parties regarding possible
actions that the parties may consider in working toward a resolution
• To maintain an impartial approach and inform the parties that OCR
will not insist on particular terms or any specific resolution
• To assist the parties in drafting any resolution agreement.
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Role of the Participants




Individuals participating in the ECR sessions
should have full decision-making authority
Parties are to participate in the discussions in
good faith
Participants are to consider offers or
suggestions with an open mind and to work
constructively toward a mutually acceptable
resolution; and
Implement any agreement in good faith
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If ECR is Successful . . .



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OCR will notify the parties that the
allegation has been resolved
OCR will close the allegation
OCR does not monitor the agreement
If a breach occurs, the complainant may
re-file the complaint
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Benefits of ECR




Educational
Early and Efficient
Economical
Equitable
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If ECR fails . . .



OCR resumes its investigation
Complaint returned to investigative team
Any notes taken 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 assigned to investigate the
complaint.
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Successful ECRs: Disability
(Section 504 and Title II)

Allegation concerns failure to implement student’s IEP;
agreement results in school district’s agreement to
implement IEP and/or clarification of IEP requirements

Allegation concerns failure to provide academic
adjustments and auxiliary aids; agreement results in
University’s agreement to provide these or to meet
with student to evaluate request for academic
adjustments/auxiliary aids
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Successful ECRs: Sex
Discrimination (Title IX)

Complaint filed by female athletes alleging that college
failed to effectively accommodate their athletic
interests and abilities; agreement results in
reinstatement of swimming team

Complaint alleged that the school district failed to
designate a Title IX coordinator; in ECR, district
agrees to designate employee to be its Title IX
coordinator and to revise and publish its notice of
nondiscrimination, including contact information for
coordinator
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Successful ECRs: Racial
Discrimination (Title VI)

Complaint alleges that student was subjected to racial
harassment by other students; ECR agreement
provides that school district will promptly investigate
allegations of harassment and take appropriate
responsive action, including possible discipline of the
students involved

Allegation of different treatment in benefits provided by
school district (e.g., access to Advanced Placement
courses; afterschool programs); school district agrees
to take steps to ensure that benefits are available to all
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students
Resolution Tools:
Resolution Requested
by Recipient Prior to
the Conclusion of the
Investigation
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Resolution Requested by
Recipient





Before the conclusion of an investigation, a recipient may
request to resolve a complaint.
Recipient does not need to make any admission of liability.
OCR determines appropriate resolution: Agreement will be
aligned with the complaint allegations or the information
obtained during the investigation to that point, and consistent
with applicable regulations.
Complainant approval is not required.
Complainant will be informed of the recipient’s request and will
be kept apprised of the resolution process.
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Benefits of Agreements
Reached Prior to Conclusion of
Investigation



Educational
Efficient
Cost Effective
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Resolution Agreements Reached
Prior to Conclusion of
Investigation

Appropriate for many types of discrimination complaints;
e.g.:
– School district agrees to evaluate student with a disability
– University agrees to provide auxiliary aids to student with a
disability
– School district agrees to ensure no different treatment on basis of
race or sex in particular programs or services

Agreements work particularly well in areas where recipient
may need help with procedures:
– Harassment policies and procedures
– Grievance policies and procedures
– Procedures for communicating with limited English proficient
parents
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OCR’s Case Processing
Manual
Website:
www.ed.gov/about/offices/list/ocr/docs/ocrcpm.html
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How To Reach Us
Website: www.ed.gov/ocr
Chicago Office:
U.S. Department of Education
Office for Civil Rights
Chicago Office
500 W. Madison, Suite 1475
Chicago, Illinois 60661
Telephone:
(312) 730-1560
FAX:
(312) 730-1576
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