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As noted in a recent column, the U.S. Department of Education’s Office for Civil Rights (OCR) engages in multiple enforcement activities, including issuing policy guidance, administering the Civil Rights Data Collection, conducting complaint investigations, and providing technical assistance to school districts, legislators, and the general public. In this article, we focus on OCR’s complaint investigation process so school leaders can understand how it works.

OCR is responsible for enforcement of multiple civil rights laws, which prohibit discrimination based on protected class, including Title VI of the Civil Rights Act of 1964 (race, color, and national origin), Title IX of the Education Amendments Act of 1972 (sex), Section 504 of the Rehabilitation Act of 1973 and Title II of Americans with Disabilities Act (disability), and the Age Discrimination Act of 1975. Complaints filed under these laws may involve a range of issues. For example, a Title IX complaint may allege sex discrimination related to admissions, athletics, gender-based harassment, etc. A complaint filed under Title VI of the Civil Rights Act may allege racial discrimination related to student discipline, racial harassment, different treatment/denial of benefits, or retaliation, to name a few possibilities. It is important to note that OCR complaints may involve allegations that fall under more than one civil rights law (U.S. Department of Education, 2022).

OCR receives a significant number of complaints each year. In fact, according to a recent analysis of complaint data, “roughly 41% of all school districts have received at least one civil rights complaint against them between 1999 and 2019…10%–40% receive at least one complaint each year (Gopalan & Lewis, 2022, p. 584). In a recent annual report to Congress, OCR noted that during Fiscal Year 2023, the office received 19,201 complaints (the highest in history) and resolved 16,448 complaints. Given this data, it is likely that school leaders will navigate the complaint investigation process at some point during their careers.

Below, we provide an overview of the complaint investigation process and an example complaint. It is important for school leaders to not only understand how OCR investigates complaints, but also what actions a school district may agree to take following a complaint.

OCR Complaint Process

Unlike a lawsuit, where the injured party must be the one who files, anyone who believes there to be discrimination on the basis of a protected status—race, color, national origin, sex, gender, disability, or age—in schools receiving federal funding may seek resolution from OCR via its complaint system. An affected student or interested party may submit a complaint form for review. Once a complaint is received by OCR, it will conduct an initial review to ensure OCR is the proper authority to investigate and facilitate the procedures for relief. In order for OCR to move forward with handling a complaint, the complaint must detail the violation of a law OCR enforces; it must have been filed within 180 days of the alleged discrimination; it must contain enough detail to infer that some type of discrimination has indeed occurred; and a solution must not yet have been reached either internally or via a different enforcement mechanism.

After OCR has approved a case for evaluation, notification letters will be sent to both the complainant and recipient (the educational institution). OCR will then begin to collect evidence as a neutral intermediary to assess the merit of the complaint. Before an investigation is complete, a school or district may decide to engage in a voluntary resolution agreement.

In the event that a full investigation is completed, one of two outcomes are possible: Either OCR will find that there is “a preponderance of evidence that supports the conclusion that the recipient failed to comply with the law,” or that there is insufficient evidence to support that conclusion (Department of Education, 2022, p.2). If OCR determines that the school or district’s actions amount to a violation of federal civil rights laws, OCR will require remedial action. Action to remedy the discrimination, either voluntary or mandated, can include a range of actions, including but not limited to (depending on the nature of the issue): training staff on bullying and harassment, updating and notifying the community of their nondiscrimination policy, developing a taskforce to prevent further discrimination, and having the school or district self-monitor the effectiveness of remedies.

Example OCR Complaint With Resolution Agreement

A complaint filed in Texas from 2017 effectively details the OCR complaint process and its possibilities for redressing discrimination. The 2017 complaint alleged that a student had been bullied and harassed on the basis of her race and disability; six students had been reported to have verbally harassed and threatened to physically harm the complainant multiple times using strong language that alluded to her race and disability. The complaint also alleges that district staff had failed to re-evaluate the student’s classroom placement considering the harassment she faced may have affected her ability to receive a Free and Appropriate Public Education (FAPE).

The legal framework that OCR applies is worth noting. According to OCR, harassment occurs when a student experiences “unwelcome conduct” such as verbal, written, or physical intimidation, threats, or violence (Department of Education, 2024, p.1). “Harassment does not have to include intent to harm, be directed at a specific target, or involve repeated incidents. Harassment creates a hostile environment when the conduct is sufficiently severe, pervasive, or persistent so as to interfere with or limit a student’s ability to participate in or benefit from the services, activities, or opportunities offered by a school” (Ali, 2010).

The parties entered into a voluntary resolution agreement in which OCR detailed that upon completion of the remedial action detailed in the agreement, the district would be in compliance with the law. In the agreement, the district agreed to take over the investigation and determine whether the complainant’s claims were substantiated. If substantiated, the district would notify the parties of the outcome. The district also agreed to assess whether the student was denied FAPE as a result of the harassment she allegedly faced.

The agreement included several additional, concrete steps toward remedial action. The district agreed to train students and staff on discrimination prevention to promote a more inclusive climate for students, reaffirm their commitment to nondiscrimination, review district harassment policies and procedures, and ensure students and staff know who to contact if this conduct occurs.

The district also agreed to conduct annual climate surveys to assess the resolution agreement’s effectiveness and improve the school climate. The agreement detailed that the district would keep OCR updated with the status of the training and climate surveys, provide counseling for the affected student, if necessary, and change the student’s educational plan to ensure they receive FAPE if it is found that they were denied it. Overall, the resolution agreement addressed the current harassment of one student and worked to ensure that, moving forward, all students would feel a sense of safety and belonging in the school district. In this way, the response was both individual and systemic.

Recommended Resources

Maria M. Lewis, JD, PhD, is an associate professor of education at Pennsylvania State University. She teaches courses on education law and leadership for equity, diversity, and inclusion. Gabriella Achampong is a law student at Harvard Law School, with a specific interest in equity and civil rights.

References

Ali, R. (2010, October 26). Dear Colleague letter. U.S. Department of Education. ed.gov/about/offices/list/ocr/letters/colleague-201010.pdf.

Gopalan, M., & Lewis, M. M. (2022). K–12 Civil rights complaints: A nationwide analysis. Educational Researcher, 51(9), 584-587. doi.org/10.3102/0013189X221130056.

U.S. Department of Education, Office for Civil Rights. (2022). Complaint processing procedures. ed.gov/about/offices/list/ocr/docs/complaints-how.pdf.

U.S. Department of Education, Office for Civil Rights. (2022, July). Supporting students with disabilities and avoiding the discriminatory use of student discipline under Section 504 of the Rehabilitation Act of 1973. ed.gov/about/offices/list/ocr/docs/504-discipline-guidance.pdf.

U.S. Department of Education. Fiscal year 2023 annual report: Report to the President and Secretary of Education. ed.gov/about/reports/annual/ocr/report-to-president-and-secretary-of-education-2023.pdf.

U.S. Department of Education (2024, July 2). Facts: Harassment based on race, color, or national origin on school campuses. ed.gov/about/offices/list/ocr/docs/ocr-factsheet-race-color-national-origin-202407.pdf.