UNITED STATES DEPARTMENT OF EDUCAT ION

REG ION V I

OFFICE FOR CIVIL RIGHTS

ARKANSAS

1999 BRYANST., SUITE 1620
DALLAS, TX 75201-6810

MISSISSIPPI

LOUISIANA
TEXAS

July 5, 2016

(b)(6),(b)(7)(C)

OCR Docket # 06-16-2123
Dear !(b)(6),(b)(7)(C)
The U.S. Department of Education (Department), Office for Civil Rights (OCR), Dallas
office, has opened an investigation of the above-referenced complaint that you filed
against the University of Southern Missi ssippi (University), Hattiesburg, Mississippi . In
the comp laint , which OCR received on February 8, 2016 , you alleged that the University
discriminated against you on the basis of sex by failing to respond appropriately to your
multiple reports that you were subj ected to sexual harassment and attempted sexual
assault !<bl(6),(b)(?)(C)

I

OCR is responsible for determining whether organizations or entities that receive or
benefit from Federal financial assistance, either from the Department or an agency that
has delegated investigative authority to the Department (recipients), are in compliance
with Title TX of the Education Ame ndments of 1972 (Title IX), 20 U.S.C. § 1681 et seq .,
and its implementing regulations at 34 C.F.R. Part 106, which prohibit discrimin ation on
the basis of sex.
The Univers ity is a rec1p1ent of Federal financial assistance from the Department.
Therefore, OCR has jurisdiction to process your complai nt for resolution under Title IX.
Becau se OCR has jurisdiction over your allegation, we will inve stiga te the following
legal issues:
1. Whether the University provided prompt and equitable responses to complaints,
reports , and/or other inci dents of sexual harassment or sexual violence, of which it
had notice (knew about or shou ld have known about)(i ncludin g your reports in
!(b)(6),(b)(7)(C)
as required by the Title IX implementing regulation , at 34 C.F.R. §§ 106.8, 106.9,
106.31 and 106.71.

The Deparlment of Educations

1mssio11is to p1-0111ole
student

adl.ievement and prepamtion for global competitiveness

by I0ste1'i11g
educatio11alexcellenceand msuring equal access.
www.ed.gov

 Page 2 -

!(b)(6),(b)(7)(C)

OCR # 06-16-2 123

2. Whether any failure by the University to provide a prompt and equitable response
allowed students (including you) to be subjected to a sexually hostile environment
that denied or limited students' ability to participate in or benefit from the
District's programs , in violation of the Title IX implementing regulation, at 34
C.F.R. §§ 106.8 and 106.31.
Please note that opening the complaint for investigation in no way implies that OCR has
made a determination with regard to its merit. During the investigation , OCR is a neutral
fact-finder , collecting and analyzing relevant evidence from the complaina nt, 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 Ill of the Case Processing Manual. A copy of OCR's Case Processing
Manual can be accessed at http://www2 .ed.gov/about/offices/lis t/oc r/docs/ocrcpm.pdf.
Please be advised that the University may not harass, coerce, intimidate, or discriminate
against any individual because he or she has filed a complaint or participated in the
comp laint resolution process. If this happens, the complainant may file another
comp laint alleging such treatment.
Under the Freedom of Information Act, it may be necessary to release this document and
related correspondence and records upon request. In the event that OCR receives such a
request, we will seek to protect, to the extent provided by law, persona lly identifiable
information which , if released could reasonab ly be expected to constitute an unwarranted
invasion of personal privacy.
If you have any questions regarding this letter or this investigation, please contact me, at
(214) 661-9679, or via emai l, at tanya.oliveira@ed.gov . You may also contact my Team
Leader , Timothy Caum, at (214) 661-9648 .

Sincerely,

Tanya Oliveira
Attorney
Office for Civil Rights
Dallas Office

 UNITED STATES DEPARTMENT OF EDUCAT ION

REG ION V I

OFFICE FOR CIVIL RIGHTS

ARKANSAS

1999 BRYANST., SUITE 1620
DALLAS, TX 75201-6810

MISSISSIPPI

LOUISIANA
T EXAS

July 5, 2016

Dr. Rodney D. Bennett, President
University of Southern Mississippi
Office of the President
Trent Lott Nationa l Center, 3rd Floor
118 College Drive, #5001
Hattiesburg, MS 39406
President @usm.edu

OCR Docket# 06-16-2123
University of Southern Mississippi
Dear Dr. Bennett:
The U.S. Department of Education (Department), Office for Civil Rights (OCR), Dallas
office, has opened an investigation of the above-referenced complaint filed against the
In the
University of Southern Mississippi (University) , Hattiesburg , Mississippi.
complaint, which OCR received on February 8, 2016, the complainant (Student A)
alleged that the University discriminated against her on the basis of sex by failing to
respond appropriately to her multiple reports that she was subjected to sexual harassment
and attempted sexual assault l(b)(6),(b)(?)(C)

I

OCR is responsible for determining whether organizations or entities that receive or
benefit from Federal financial assistance , either from the Department or an agency that
has delegated investigative authority to the Department (recipients), are in compliance
with Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. § 1681 et seq.,
and its implementing regulations at 34 C.F.R. Part 106, which prohibit discrimination on
the basis of sex.
The University is a recipient of Federal financial assistance from the Department.
Therefore , OCR has juri sdiction to process this complaint for resolution under Title IX.
Becau se OCR has juri sdiction over the allegation, we will investigate the following legal
issues:

The Deparlment of Education s

1mssio11is to p1-0111
ole student

adl.ievement and prepamti on for global competitiv eness

by I0ste1'i11
g educatio11alexcellence and msuring equal access.
www. ed.gov

 Page 2 - Dr. Rodney D. Bennett, President
OCR# 06-16-2123

1. Whether the Universi ty provided prompt and equitable responses to complaints,

report s, and/or other incide nts of sexual harassment or sexual viole nce, of which it
had notice (knew about or should have known about)(includin g Student A's
re orts in (b)(6),(b)(?)(C)
as required by the Title IX implemen ting regula tion, at 34 C.F.R.
(b)(6 ),(b)(?)(C)
§§106 .8, 106.9, 106.3 1 and 106.71.
2. Whether any failure by the University to provide a prompt and equitable response
allowed students (including Student A) to be subjected to a sexually hostile
environment that denied or limited students' ability to participate in or benefit
from the District's programs , in violat ion of the Title IX implementing regulation,
at 34 C.F.R. §§ 106.8 and 106.31.
Please note that opening the complaint for investigation in no way implies that OCR has
made a determination with regard to its merit. During the investigat ion, OCR is a neutral
fact-finder, collecting and analyzing relevant evidence from the complainant, the
recipient, and other sources, as appropri ate. OCR will ensure that its investigation is
legally sufficient and is dispositive of the a11egatio ns, in accordance with the provisions
of Article III of the Case Processin g Manual. A copy of OCR 's Case Processing
Manual can be accesse d at http://www2 .ed.gov/about/offices/list/ocr/docs/ocrcpm.pdf .
For your information, we have enclosed OCR 's Complaint Processing Procedures to
provide you with an overview of our complaint evaluation and resolution proce ss.
To facilitate the reso lution process, OCR has included a "Data Request " for infonnation
pertinent to this complaint. Please provide the requested information to OCR within
fifteen calendar days of the date of this letter (by July 20, 2016). Please note that the
regulation implementing Title VI of the Civil Rights Act of 1964, at 34 C.F.R. § 100.6(b)
and (c), require s that a recipient of Federal financial assistance make available to OCR
information that may be pertinent to reach a comp liance determination. Pursuant to 34
C.F.R. § 100.6(c) and 34 C.F.R. § 99.31(a)(3)(iii) of the regulation implement ing the
Family Educat ional Rights and Privacy Act (FERPA), 20 U.S.C. § 1232g, OCR may
review per sonally identifiable record s without regard to consi derations of privacy or
confidentiality.
After receiving and reviewing the requested data, it might be necessary for OCR to
request additional information through supplemental data reque sts, interview s with
personnel and, if necessary , an onsite visit. If an onsite visit is deemed necessary, you
will be contacted to schedule a mutua11y convenient time for the visit.
Please be advised that the Univer sity may not harass, coerce, intimidate , or discriminate
against any individual because he or she has filed a complaint or participated in the
complaint resolut ion process. If this happens, the complain ant may file another
complaint alleging such treatment.

 Page 3 - Dr. Rodney D. Bennett , President
OCR# 06-16-2123

Under the Freedom of Information Act, it may be necessary to relea se this document and
related correspon dence and record s upon reque st. In the event that OCR receives such a
request, we will seek to protect, to the extent provided by law , personally identifiabl e
informati on which , if released could reaso nably be expected to constitute an unwarranted
invasion of personal privacy.
Please notify OCR of the name, address, and telephone number of the perso n who will
serve as the University's contact person during the processing of this complaint. We
would like to talk with this person as soon as possible to discuss the proces sing of this
comp laint.

If you have any questions regardi ng this letter, please contact me, at (214) 661-9679, or
via email, at tanya.olive ira@ed .gov. You may also contact my Team Leader, Timothy
Caum, at (214) 66 1-9648.
Sincerely,

%
Bk
7
Tanya Oliveira
Attorney
Office for Civil Right s
Dallas Office
Enclos ures

 PRELIMINARY DATA REQUEST

University of Southern Mississippi
Complaint No. 06-16-2123
Response Due: July 20, 2016
To facilitate the resolution of the above-referenced complaint, it is requested that the University
of Southern Mississippi (University) provide OCR the fo11owing information and/or
documentation for the 2013-2014, 2014-2015 and 2015 -2016 academic years within fifteen (15)
calendar days of the date of the attached letter, or July 20, 2016. The complainant (Student A) is
6),(b)(7)(C)
identified as!(b){
l(b){6),{b)
(7)(C)
Please note that in this request, the term "correspondence" includes , but is not limited to, e-mail
messages, meeting notes, interviews, notes of telephone conversations, and all related
memoranda. In each instance where a policy is requested but a written policy on the matter at
issue does not exist, provide instead an explanation of the University's usual practice.
*Although not required, it would be helpful if the data response is numbered in the lower righthand corner (e.g., 001, 002) to ensme staff from OCR and the University are looking at the same
page during any future discussions about this data response.
1. The name and telephone number of the person who has been designated by University to
assist OCR with the resolution of this complai nt.
2. A copy of the following University policies, procedures, and documents that have been in
effect at any time from the !(b)(6)
,(b)(7)(C) !to the present. To the extent these documents are
available on University's website, an appropriate link is sufficient.
a. Title IX policies and procedures regarding discrimination based on sex and, if
different, policies regarding sexual harassment and sexual violence.
b. Grievance procedures for complaints and other aven ues for reporting alleged sex
disciimination and, if different, sexual harassment and sexual violence. If the
University has different procedures depending on whether complaints are against
students, faculty or staff, please provide all procedures .
c. The Student, Staff and Faculty Codes of Conduct and any other document(s) that
contain the University's policies and procedures regarding student, staff and
faculty behavior and discipline, including procedures for determining whether the
University will impose sanctions for sexual harassme nt and sexual violence .
d. Student, staff and faculty handbooks.
3. For eac h grievance procedure or complaint process procedure offered to students and used by
the University to address sexual harassment and sexual violence or other sex discrimination
complaints, if not indicated in the policy or procedure, identify the name and title of each

l

 Page 2 - 0CR # 06-16-2123, University of Souther Mississippi
Preliminary Data Request

individua l, including University police, administrators, staff and students responsible for
accepting, investigating, deciding or otherwise resolving complaints. Identify any other
offices or departments with any responsibility for responding to reports of sexual harassment
and violence, and any other offices or departments to which students typically report such
conduct.
4. A copy of any:
a. Internal or external assessments of the adequacy or effective ness of the
University's policies and procedures concerning sexual harassment and sexual
violence; and

!~~/~~/b!
!

b. Internal or external recomme ndations made to the University since the
1~?1~~L
regarding changes to its policy and procedures for responding to or
investigating complaints of sexual harassment and sexual violence.

I

Please provide a narrative response as to whether the University made any changes to its
policies and procedures in response to these assessments and/or recommendations.
5. If the University has conducted any climate surveys or self-assessments, or otherwise
collected data on or monitored sexual violence, provide a copy of the tool used, the results,
any analysis of the results, and a description of any action the University took in response.
6. Identify the names, office addresses and office e-mai l addresses of the individuals designated
by the University to ensure its compliance with Title IX (Title IX Coordinator) from theB2:)
l~~/~?J
,.(b)Ito the present. In responding to this request, please include the dates each person
held this position (the month and year are sufficient).
7. Describe how complaints of alleged sexual harassment and violence are comm unicated to the
Title IX office. In your response, please state which classifications of staff/emp loyees the
University consider mandatory reporters and how mandatory reporters document and relay
complaints of sexual harassme nt/violence to the Title IX office .
8. A copy of any Memorandum of Understanding (MOU) or other written agreement between
the University, the University's police department and/or the city of Hattiesburg police
department related to protocols that are followed regarding the handling of sexual violence
complaints. Unless stated in the MOU or other written agreement, explain how the
University handles crimina l complaints and the effect of criminal complaints on the Title IX
investigative process.
9. Identify by name and title any University designated contact points for criminal
investigations of campus sexual violence. Describe the process for communication s with the
local prosecutor about the status of criminal investigations and decisions to proceed with or
decline prosecution.

 Page 3 - OCR# 06-16-2123, University of Souther Mississippi
Preliminary Data Request

10. Explain how the University's policies regarding sexual harassment and sexua l violence are
(or have been) distributed and publicized to University students, faculty and staff and any
other means the University uses (or has used) to notify student s, faculty and staff about how
to file a complaint of sexual harassment and sexual violence or other discrimination based on
sex . Please include documentation or web links that support this response, includi ng, but not
limited to, brochures, distributed flyers, newspaper or web articles, and orientation material s.
11. Provide a detailed descri ption of training provid ed to Univ ersity faculty and staff since the
!(b)( 6 ),(b)(?)(C)
covering the topics of sexual hara ssment and se xual violence or other
discrimination based on sex . Include the date(s) provided and the name s, titles, and
qualification s of the person(s) who provided the training( s); and lists of attendees and their
positions . Provide copies of any material provided during the training, including PowerPoint
slides.

I

12. Provide a detailed description of trainin and information sessions for students (including
freshmen orientation) since the (b)(5).(b)(7)(C)
overing the topics of sex ual hara ssment and
sexual violence or other discrimmat1on ase on sex . Include the date(s) the training was
provided and the name s, titles , and qualifications of the person (s) who provided the
training(s). Provide copies of any material provided during the training.

!

13. Provide a detail ed description of trainin g provided since the !(b)(5),(b)(7)(C)
to individual s
responsible for inve stigating complaints of sexual hara ssment and sex ual violence and to
member s of any committees or board s that hear or decide comp laints of sexual hara ssment
and sexual violence, includin g bodies that decide sanctions. Include the date( s) provided and
the name s, titles , and qualifications of the person (s) who provided the training (s); and lists of
attendee s and their positions . Provide copies of any material disseminated during the training
including PowerPoint slides.
14. Provide a list of all student complaints or report s of (a) sexual hara ssment and sexual
violence or (b) retaliation or intimidation in relation to a complaint or report of sexua l
hara ssment or sexual violence, that have been brought to the University's attention (formally
or informally) for the time period indicat ed above (2013 -20 14, 2014-2015 and 2015-2016
academic years) . For each complaint identified , please provide the information below with
the dates for each step of the proce ss:
a. The name, or unique identifier , and sex of the student who made the report or
complaint.
b. The name or unique identifier, sex and position (e.g., student , faculty, staff) of the
individual against whom the complaint was filed.
c. The date each comp laint or report was made , the date the investigation (if any)
was started , the date the investigation was completed, the date any hearing was
conven ed, the date the final decision was issued, and a descrip tion and date of any
other step in the proce ss.

 Page 4 - OCR# 06-16-2123, University of Souther Mississippi
Preliminary Data Request

d. The type of report or complaint filed (i .e., formal or informal).
e. The allegation(s) made in the report or complaint including whether it alleged
sexual harassment, sexual assault or sexual violence, and whether the incident(s)
described in the complaint occurred on or off campus. If off campus, indicate the
location, whether the location was hosted or sponsored by the University and
whether the location was owned or leased by University.
f. The title of the Univer sity office or the name of the University staff member
where the report or complaint was filed (e.g., campus police , student services,
academic dean , counselor, etc.).
g. Indicate whether the complaint was inve stigated. If yes, provide the name and
title of the University official or staff member who inve stigated the complaint. If
no, indicate why not.
h. Copies of all correspo ndence between the Univer sity and the comp lainant and
respondent, informing them of the status of an informal or formal process, the
results of any inve stigation, the outcome of any disciplinary proceeding , and, if an
appea l has been filed, the notification to either party of the opportunity to provide
input on an appeal.
1.

Indicate whether a hearing was conducted in connection with the complaint. If a
hearing was conducted, indicate which process was used and the names and titles
of all persons who participated in the hearing and deci sion making ; provide a
copy of the hearing deci sion, report or other documents describing the heating
decision, including all document s describing the remedies and sanction s that
resulted from the decision.

J.

Indicate whether an appeal was filed and by whom. If yes, pro vide a copy of the
appea l procedure used to respond to the appeal, identify the staff person
responsible for decidin g the appeal, and provide a copy of the appeal deci sion or
outcome .

k. Indicate the final outcome of the complaint (e.g., complaint dismi ssed due to
inability to corroborate allegations, accused fou nd guilty of violating Code of
Conduct and suspended for one school year, etc.)
15. Jeanne Clery Disclosure of Campus Security Policy and Campu s Crime Stati stics Act (Clery
Act) data for the most recent three academic years for which Clery Act data is available.
16. Copie s of the following documents regarding Student A's reports of alleged sexual
hai·assment , including sexual assault or attempted sexual assault , to any Uni versity staff
(including counselors, Univ ersity police department staff, Titl e IX Coordinators or the Office
of General Coun sel, etc .), to include , but not limited to, re orts (b)(6) ,(b)(7)(C)
(b)(6),(b)(7)(C)

 Page 5 - 0CR # 06-16-2123, University of Souther Mississippi
Preliminary Data Request

a. Any complaints of sexua l harassment, including alleged sexua l assault or
attempted sexua l assault;
b. Any investigative notes, summari es, witness stateme nts, findings, etc.;
c. Any hearing panel/appeals panel documents.
17. A summary of any steps taken by the Un iversity to investigate Student A's claim that she
was subjected to sexual harassment or an attempted sexual assault l<b)(6),(b)(7)(C)
!(b)(6) ,{b)(7)(C )
the results of the University's investigation, any mtenm
steps taken during the University's investigation, and the conclusion reached by the
University at the end of its investigation.

l

18. If not already provided in response to any data request above, please provide a copy of the
University's notice that it will not discriminate against individuals on the basis of sex.
19. Any other info1mation the University believes would be helpful in resolv ing this matter.

I

 OCRCOMPLAINT
PROCESSING
PROCEDURES
LAWSENFORCEDBY OCR
OCRenforces the following laws:
•
•
•
•
•
•

Title VI of the Civil Rights Act of 1964, which prohibits discrimination on the basis of race,
color or national origin;
Title IXof the Education Amendments of 1972, which prohibits discrimination on the basis
of sex;
Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination on the basis of
disability;
Age Discrimination Act of 1975, which prohibits discrimination on the basis of age;
Title II of the Americans with Disabilities Act of 1990, which prohibits discrimination on the
basis of disability;
Boy Scouts of America Equal Access Act, part of the No Child Left Behind Act of_2001, which
prohibits denial of access ~oor other discrimination agairist the Boy Scouts or other Title 36
U.S.C.youth groups in public elementary schools, public secondary schools, local education
agencies, and state education agencies that have a designated open forum or limited public
forum.

EVALUATION
OF THECOMPLAINT
OCRevaluates each complaint that it receives in order to determine whether it can investigate the
complaint. OCRmakes this determination with respect to each allegation in the complaint. For
example, OCRmust determine whether OCRhas legal authority to investigate the complaint; that is,
whether the complaint alleges a violation of one or more of the laws OCRenforces. OCRmust also
determine whether the complaint is filed on time. Generally, a complaint must be filed with OCR
within 180 calendar days of the last act that the complainant believes was discriminatory. 1 If the
complaint is not filed on time, the complainant should provide the reason for the delay and request
a waiver of this filing requirement. OCRwill decide whether to grant the waiver. In addition. OCR
will determine whether the complaint contains enough information about the alleged
discrimination to proceed to investigation. If OCRneeds more information in order to clarify the
complaint, it will contact the complainant; the complainant has 20 calendar days within which to
respond to OCR's request for information.
OCRwill dismiss a complaint if OCRdetermines that:
•
•
•
•
•
•

OCRdoes not have legal authority to investigate the complaint;
The complaint fails to state a violation of one of the laws OCRenforces;
The complaint was not filed timely and that a waiver will not be granted;
The complaint is unclear or incomplete and the complainant does not provide the
information that OCRrequests within 20 calendar days of OCR's request;
The allegations raised by the complaint have been resolved;
The complaint has been investigated by another Federal, state, or local civil rights agency or
through a recipient's internal grievance procedures, including due process proceedings, and

Complaints that allege discrimination based on age are timely if filed with OCRwithin 180 calendar days of
the date the complainant first knew about the alleged discrimination.
1

Updated February 2015

 2 I Page U.S.Department ofEducation, Office for Cjvil Rights Complaint Processing Procedures

•
•

the resolution meets OCRregulatory standards or, if still pending, OCRanticipates that
there will be a comparable resolution process under comparable legal standards;
The same allegations have been filed by the complainant against the same recipient in state
or Federal court;
The allegations are foreclosed by previous decisions of the Federal courts, the U.S.Secretary
of Education, the U.S.Department of Education's Civil Rights Reviewing Authority, or OCR
policy determinations.

.

OPENINGTHE COMPLAINTFORINVESTIGATION

If OCRdetermines that it will investigate the complaint, it will issue letters of notification to the
complainant and the recipient. Opening a complaint for investigation in no way implies that OCR
has made a determination with regard to the merits of the complaint. During the investigation, OCR
is a neutral fact.finder. OCRwill collect and analyze relevant evidence from the complainant, the
recipient, and other sources as appropriate. OCRwill ensure that investigations are legally
sufficient and are dispositive of the allegations raised in the wmplaint.
INVESTIGATION
OF THECOMPLAINT
OCRmay use a variety of fact•finding techniques in its investigation of a complaint. These
techniques may include reviewing documentary evidence submitted by both parties, conducting
interviews with the complainant, recipient's personnel, and other witnesses, and/or site visits. At
the conclusion of its investigation, OCRwill determine with regard to each allegation that:
•

There is insufficient evidence to support a conclusion that the recipient failed to comply
with the law, or

•

A preponderance of the evidence supports a conclusion that the recipient failed to comply
with the law.

OCR's determination will be explained in a letter of findings sent to the complainant and recipient
Letters of findings issued by OCRaddress individual OCRcases. Letters of findings contain fact·
specific investigative findings and dispositions of individual cases. Lelters of findings are not formal
statements of OCRpolicy and they should not be relied upon, ciled, or construed as such. OCR's
formal policy statements are approved by a duly authorized OCRofficial and made available to the
public.

RESOLUTIONOF THECOMPLAINTAFTERA DETERMINATION
OF NONCOMPLIANCE
If OCRdetermines that a recipient failed to comply with one of the civil rights laws that OCR
enforces, OCRwill contact the recipient and will attempt to secure the recipient's willingness to
negotiate a voluntary resolution agreement. lfthc recipient agrees to resolve the complaint, the
recipient will negotiate and sign a written resolution agreement that describes the specific remedial
actions that the recipient will undertake to address the area( s) of noncompliance identified by OCR.
The terms of the resolution agreement, if fully performed, will remedy the identified violation(s) in
compliance with applicable civil rights laws. OCRwill monitor the recipient's implementation of the
terms of the resolution agreement to verify that the remedial actions agreed to by the recipient
have been implemented consistent with the terms of the agreement and that the area(s) of
noncompliance identified were resolved consistent with applicable civil rights laws.

 3 I Page U.S.Department of Education,_Office for Civil Rights Complaint Processing Procedures

If the recipient refuses to negotiate a voluntary resolution agreement or does not immediately
indicate its willingness to negotiate, OCRwill inform the recipient that it has 30 days to indicate its
willingness to engage in negotiations to voluntarily resolve identified areas of noncompliance, or
OCRwill issue a Letter of Finding to the parties providing a factual and legal basis for a finding of
noncompliance.
If, after the issuance of the Letter of Finding of noncompliance, the recipient continues to refuse to
negotiate a resolution agreement with OCR,OCRwill issue a Letter of Impending Enforcement
Action and will again attempt to obtain voluntary compliance. If the recipient remains unwilling to
negotiate an agreement, OCRwill either initiate administrative enforcement proceedings to
suspend, terminate, or refuse to grant or continue Federal financial assistance to the recipient, or
will refer the case to the Department of Justice. OCRmay also move immediately to defer any new
or additional Federal financial assistance to the institution.

RESOLUTION
OFTHECOMPLAINT
PRIORTO THECONCLUSION
OFTHEINVESTIGATION
Early Complaint Resolution (ECR):

Early Complaint Resolution allows the parties (the complai.nant and the institution which is the
subject of the complaint) an opportunity to resolve the complaint allegations quickly; generally,
soon after the complaint has been opened for investigation. If both parties are willing to try this
approach. and if OCRdetermines that Early Complaint Resolution is appropriate, OCRwiH facilitate
settlement discussions between the parties and work with the parties to help them understand the
legal standards and possible remedies. To the extent possible, staff assigned by OCRto facilitate the
Early Complaint Resolution process will not be the staff assigned to the investigation of the
complaint.
OCRdoes not approve, sign or endorse any agreement reached between the parties as a result of
Early Complaint Resolution, and OCRdoes not monitor the agreement. However, if the recipient
institution does not comply with the terms of the agreement, the complainant may file another
complaint with OCRwithin 180 days of the date of the original discrimination or within 60 days of
the date the complainant learns of the failure to comply with the agreement, whichever date is later.
Resolution of the Complaint Prior To the Conclusion of an Investigation

A complaint may also be resolved before the conclusion of an investigation, if the recipient
expresses an interest in resolving the complaint. If OCRdetermines that resolution of the complaint
before the conclusion of an investigation is appropriate, OCRwill attempt to negotiate an
agreement with the recipient. OCRwill notify the complainant of the recipient's request and will
keep the complainant informed throughout all stages of the resolution process. The provisions of
the resolution agreement that is reached must be aligned with the complaint allegations and the
information obtained during the investigation, and must be consistent with applicable regulations.
A resolution agreement reached before the conclusion of an investigation will be monitored by OCR.

 4 I Page U.S.Department of Education, Office for Civil Rights Complaint Processing Procedures

APPEALOF OCR'SDETERMINATIONS
OCRis committed to a high quality resolution of every case. OCRaffords an opportunity to the
complainant to submit an appeal of OCR'sletter finding insufficient evidence of a violation. The
appeal process provides an opportunity for complainants to bring information to OCR's attention
that would change OCR'sdecision. The appeal process will not be a de novo review of OCR's decision
(i.e., OCRwm not review the matter as if no previous decision had been rendered).

If the complainant disagrees with OCR's decision, he or she may send a written appeal to the
Director of the Enforcement Office (Office Director) that issued the determination. If the
complainant has documentatio.n to support the appeal, the documentation 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'sdetermination in the case. Failure
to do so may result in the denial of the appeal.
In order to be timely, an appeal (including any supporting documentation) must be submitted
within 60 days of the date of the determination letter. The Office Director may exercise discretion in
granting a waiver of the 60-day timeframe where:
1. 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; or
2. unique circumstances generated by agency action have adversely affected the complainant.
A written response to an appeal will be issued. A decision of the Office Director constitutes the
agency's final decision. Such a decision will inform the complainant that he or she "may have the
right to file a private suit in federal court whether or not OCRfinds a violation."

ADDITIONALINFORMATION
Right to File a Separate Court Action

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

If a complainant alleges discrimination prohibited by the Age Discrimination Act of 1975, a civil
action in Federal court can be filed only after the complainant has exhausted administrative
remedies. Administrative remedies are exhausted when either of the following has occurred:
1) 180 days have elapsed since the complainant filed the complaint with OCRand OCRhas
made no findings; or
2) OCRissues a finding in favor of the recipient. If this occurs, OCRwill promptly notify the
complainant and will provide additional information about the right to file for injunctive
relief.

 5 I Page U.S. Department of Education, Office for Civil Rights Complaint Processing Procedures

Prohibition against Intimidation or Retaliation
An institution under the jurisdiction of the Department of Education may not intimidate, threaten,
coerce, or retaliate against anyone who asserts a right protected by the civil rights laws that OCR
enforces, or who cooperates in an investigation. Anyone who believes that he or she has been
intimidated or retaliated against should file a complaint with OCR.
Investigatory Use of Personal Information
In order to investigate a complaint. OCRmay need to collect and analyze personal information such
as student records or employment records. No law requires anyone to give personal information to
OCRand no formal sanctions will be imposed on complainants or other persons who do not
cooperate in providing information during the complaint investigation and resolution process.
However, if OCRis unable to obtain the information necessary to investigate a complaint, we may
have to close the complaint.
The Privacy Act of 1974, S U.S.C.§ 552a, and the Freedom of Information Act (FOIA), 5 U.S.C.§552,
govern the use of personal information that is submitted to all Federal agencies and their individual
components, including OCR.The Privacy Act of 1974 protects individuals from the misuse of
personal information held by the Federal government It applies to records that are maintained by
the government that are retrieved by the individual's name, social security number, or other
personal identifier. It regulates the collection, maintenance, use and dissemination of certain
personal information in the files of Federal agencies.
The information that OCRcollects is analyzed by authorized personnel within the agency and will
be·used by the government only for authorized civil rights compliance and enforcement activities.
However, in order to investigate or resolve a complaint, OCRmay need to reveal certain
information lo persons outside the agency to verify facts or gather additional information. Such
details could include the name, age, or physical condition of the person who is the alleged subject of
discrimination. Also, OCRmay be required to reveal information requested under FOIA,which gives
the public the right of access to records of Federal agencies. OCRwill not release any information
about a complainant to any other agency or individual except in the one of the 11 instances defined
in the Department's regulation at 34 C.F.R.§ Sb.9(b).
OCRdoes 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 for in enforcement activities against an institution that violates
the Jaws. or; (2) unless such information is required to be disclosed under the FOIAor the Privacy
Act. OCRwill keep the identity of complainants confidential except to the extent necessary to carry
out the purposes of the civil rights laws, or unless disclosure is required under the FOIA,the Privacy
Act or otherwise by law; or (3) information is permitted to be disclosed under both FOIAand the
Privacy Act and OCRdetermines disclosure would further an interest of the Department and the
United States.
However, OCRcan release certain information about your complaint to the press or general public,
including the name of the school or institution; the date your complaint was filed; the type of
discrimination included in your complaint; the date your 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 your name or the name of the person on
whose behalf you filed the complaint except as noted in the paragraph above.

 6 I Pc1geU.S. Department of Education, Office for Civil Rights Complaint Processing Procedures
FOIAgives the pub) ic the right of access to records and files of Federal agencies. Individuals may
obtain items from many categories of records of the Federal government, not just materials that
apply to them personally. OCRmust honor requests for records under FOIA,with some exceptions.
Generally, OCRis not required to release documents during the case evaluation and investigation
process or enforcement proceedings, if the release could reasonably be e>qlccted to interfere with
or affect the ability of OCRto do its job. 5 U.S.C.§ 552(b ){7)(A). Also, a Federal agency may refuse a
request for records if their release would or could reasonably be expected to result in an
unwarranted invasion of privacy of an individual. 5 U.S.C.§ 552(b )( 6) and (7)(C). Also, a request
for other records, such as medical records, may be denied where disclosure would be a clearly
unwarranted invasion of privacy.