Navigating the US Department of Education Complaint Process: A Comprehensive Guide

The U.S. Department of Education (ED) plays a crucial role in ensuring equal access to education and upholding civil rights within educational institutions. When concerns or disagreements arise regarding a student’s education or school programs, understanding the complaint process is essential. This article provides a comprehensive overview of the complaint procedures within the U.S. Department of Education, offering guidance for parents, students, and other stakeholders seeking to address potential violations of federal laws and regulations.

Initial Steps: Resolving Concerns at the Local Level

Before initiating a formal complaint with the Department of Education, it's generally advisable to attempt to resolve the issue at the local level.

Collaboration Between Parents and Schools: Parents and public schools are encouraged to work together to resolve concerns or disagreements about a student’s education or school programs.

The Role of the Education Ombuds: The Washington State Governor’s Office of the Education Ombuds (OEO) serves as a valuable resource, providing information and support to navigate concerns affecting students enrolled or eligible to be enrolled in K-12 public education. The OEO offers informal conflict resolution tools to support collaborative problem-solving and promote educational equity. Note that the OEO does not conduct investigations, make findings, or assist with formal complaint processes. OEO can listen and document concerns as well as share general information for available formal complaint options.

Local School District Policies: Each school district and charter school typically has local policies for addressing disagreements or complaints related to student discipline, bullying, and other concerns. Familiarizing oneself with these policies is a crucial first step.

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Formal Complaint Options Under Federal Laws

Depending on the nature of the concern, formal complaint options may be available under various state and federal laws. It is important to note that the Office of Superintendent of Public Instruction (OSPI) is authorized to formally investigate complaints only in limited circumstances, such as cases involving discrimination or discriminatory harassment.

Office for Civil Rights (OCR)

The Office for Civil Rights (OCR) is the federal agency within the Department of Education responsible for enforcing federal civil rights laws in schools and other educational institutions.

Entities Covered by the OCR: The OCR's jurisdiction extends to any educational programs or activities that receive federal funds from the Department of Education. This includes all public schools, most public and private colleges and universities, and other programs that receive federal funds, such as some libraries and vocational rehabilitation agencies.

Types of Discrimination Investigated by the OCR: The OCR investigates discrimination based on:

Race
Color
National Origin
Sex
Age
Disability

The OCR investigates disability discrimination under Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990. These federal laws apply to discrimination against people with disabilities, individuals who have a record of having a disability, and those who are regarded as having a disability.

The OCR also has the authority to investigate complaints claiming that a covered entity:

Retaliated for the purpose of interfering with any right or privilege protected by the laws enforced by OCR.
Retaliated because someone made a complaint, testified, assisted, or participated in any manner in an OCR matter.
Discriminated against any youth group officially affiliated with a group or organization listed in title 36 of the United States Code (as a patriotic society) that is intended to serve young people under the age of 21 that requests to conduct a meeting at a public school.

Filing a Complaint with the OCR: If you believe you have been discriminated or retaliated against on any of these bases by a covered entity, you can file a complaint with the OCR.

What Constitutes a Complaint of Discrimination? A complaint of discrimination is a signed statement stating that a school or program covered by the OCR has discriminated against you. It is not required that an individual go through the internal process before they file an OCR complaint. However, if you choose to go through an internal process and you want to file an OCR complaint, you must file your OCR complaint within 60 days after the completion of the school’s internal process.

Complaint Deadline: Generally, a complaint must be filed within 180 days of the last act of discrimination.

Filing a Late Complaint: Yes. If it has been more than 180 days since the last act of discrimination occurred, you may still submit a complaint. When you submit your complaint, you should request to file a late complaint and explain why your complaint is late. The 180-day requirement may be forgiven if you show there was “good cause” for the late filing. Some examples of “good cause” include illness, other incapacitating circumstances, and conditions created by the OCR which adversely impacted the complaint. However, the OCR will not investigate your case if it is currently being handled by another agency or the school’s internal process which the OCR believes will result in a resolution that is comparable to the one you would receive through the OCR. You may file or re-file an OCR complaint after the school’s internal process or complaint process with another agency has concluded.

Information to Include in the Complaint: When filing a complaint with the OCR, it's essential to provide the following information:

The kind of discrimination (race, color, national origin, sex, disability, age, and/or retaliation) that you or the person(s) you are filing for experienced.
A description of the discriminatory act(s) with all dates, the name of each person involved, and the name of all witnesses.
The most recent date that a discriminatory act occurred. Remember, if more than 180 days have passed since this date, you will need to request a waiver and explain why you did not file on time.
The reason(s) you believe the act(s) were discriminatory.
Ways you have attempted to resolve the situation and the name of any school office, official, or designated employee with whom you attempted to resolve the situation.
Whether you used an internal grievance procedure, appeal, or due process hearing.
Whether you have filed with another agency or court. It is not required that you include the names of these persons.
The name and location (city and state) of the institution that committed the discriminatory act(s). Be sure to list the specific department or school involved.

OCR Complaint Investigation Process: After you file your complaint, the OCR will evaluate each of your claims to decide if it should investigate. If the OCR decides to investigate, they will send you and the school a letter stating that the OCR is opening an investigation. If the OCR decides to investigate your complaint, the OCR may review documents and interview you, any witnesses, and personnel of the school you are bringing the complaint against. The OCR might also conduct site visits. At the end of the investigation, the OCR will decide whether it believes discrimination occurred. The OCR will provide you and the school with a letter explaining its findings. If the OCR finds the school discriminated against you, the OCR will try to settle your complaint with the school.

Filing a Lawsuit: You do not need to file a complaint with the OCR to file a lawsuit. If you choose to file a complaint in federal or state court, you can still file an OCR complaint after your lawsuit ends.

Contact Information for the Office for Civil Rights:

Office for Civil Rights, U. S. Department of Education
- 61 Forsyth St.
- 950 Pennsylvania Ave., NW, Washington, D.C.

Student Privacy Policy Office (SPPO)

The Student Privacy Policy Office (SPPO) addresses complaints related to violations of the Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights Amendment (PPRA).

FERPA and PPRA Complaints: A parent has the right to file a written complaint with SPPO regarding an alleged violation of his or her rights under FERPA or PPRA. The rights afforded to parents under FERPA transfer to a student when the student turns 18 years old or begins attending a postsecondary institution at any age. The rights afforded to parents under PPRA transfer to a student when the student turns 18 years old or if the student is an emancipated minor (under State law) at any age.

Filing a Complaint under FERPA or PPRA: If, after carefully reviewing these materials, you believe you do have a timely allegation of a violation of your rights under FERPA or PPRA, you may complete a complaint form. If you wish to file a complaint under FERPA or PPRA, you should do so by completing the FERPA or PPRA complaint form provided below. Please note that these forms are Adobe fillable .pdf and work best when used with Adobe Acrobat. Complaint forms can typically be accessed online.

Office of Inspector General (OIG) Hotline

The Office of Inspector General (OIG) investigates allegations of fraud, waste, and abuse involving Department of Education funds or programs.

Filing a Complaint with the OIG Hotline: Complaints can be submitted to the OIG Hotline.

Confidentiality: You may request confidentiality at the time you file your complaint. Confidentiality is a set of policies and regulations that prevent the OIG from releasing your identity outside of our office. Please know that we cannot provide information regarding what actions have been taken on any allegation reported to our office, including case status, as Federal regulations prohibit the disclosure of information contained in law enforcement records even to the individual submitting the allegation.

What Happens to Complaints Filed with the OIG? Many of the complaints received by the OIG Hotline do not result in OIG investigations, audits, or other reviews because they do not involve ED funds or programs, or they may require administrative action by an ED program office. In these situations, we forward the complaint or allegation to the appropriate ED office or other government agency.

Contact Information for the Office of Inspector General Hotline:

Department of Education
- Office of Inspector General Hotline
- 400 Maryland Avenue, S.W.
- Washington D.C.

State Complaint Procedures under the Individuals with Disabilities Education Act (IDEA)

The Individuals with Disabilities Education Act (IDEA) provides specific rights and protections to students with disabilities and their parents. When a parent believes that a state or school district has violated a requirement of the IDEA, they have the right to file a complaint.

Resolving Conflicts Under IDEA: There are several means of resolving conflicts with the school system, including Mediation and due process.

Filing a State Complaint: You have the right to file a complaint when you believe that the state or school district has violated a requirement of the IDEA. The SEA must resolve your complaint within 60 calendar days (not business days) from the day they receive it, unless there are exceptional circumstances with respect to the complaint.

Issues Covered by State Complaints: You can file a State complaint with the SEA about any of the matters for which you might otherwise file a request for a due process hearing, as well as for any other reason you feel that the school system has violated the IDEA. However, be aware that, if you write a complaint on an issue that is also part of a current due process hearing, the SEA will not investigate this issue. The due process hearing takes precedence over the State complaint process.

Reasons for Filing a State Complaint: The school fails to give you appropriate prior written notice.

State Policies: Your state’s policies for filing a State complaint should be included in its IDEA regulations. Call your local special education office or the SEA if you need more information about the policies. Also ask for the name and address of the person to whom you should write your letter.

Complaint Requirements: Your complaint must be signed.

Seeking Advice: Whenever you file a State complaint (or seek mediation or due process), it is a good idea as well to seek advice from the Parent Training and Information Center (PTI) or the Protection and Advocacy Agency (P&A) in your state.

Model Complaint Letter: The model letter below gives you an example of how you might write this complaint. Note that it is important to state what requirement of the law has been violated. When writing any business letter, it is important to keep it short and to the point. Say what you want, rather than what you don’t want. You want to make a good impression so that the person reading your letter will understand your request and say “yes.” Remember, this person may not know you, your child, or your child’s situation. Keep the tone of your letter pleasant and businesslike. Give the facts without letting anger, frustration, blame, or other negative emotions creep in. After you write your first draft, put the letter aside for a day or two. Read your letter as though you are the person receiving it. Is your request clear? Have you included the important facts? Does your letter ramble on and on? Have someone else read your letter for you. Is your reason for writing clear? Can the reader tell what you are asking for? Would the reader say “yes” if he or she received this letter? Use spell check and grammar check on the computer.

Example Complaint Letter Excerpt: I am writing to file a complaint on behalf of my son/daughter, (child’s name), regarding his/her education in the (name of school district). Explain the problem with BRIEF statements of fact. For the above reasons, I believe the school district is in violation of certain requirements in the Individuals with Disabilities Education Act, specifically: (list the requirements of IDEA you feel the school system has violated. Enclosed are copies of relevant documents and correspondence I have sent to and received from the school district concerning this matter. These documents are (List the documents you have enclosed, giving the date sent, by whom, to whom, and the issue discussed.) Please provide me with copies of any information you obtain in the process of investigating my complaint.

Additional Resources

Parent Training and Information Centers (PTIs)
Protection and Advocacy Agencies (P&As)
Washington State Governor’s Office of the Education Ombuds (OEO)

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