Duke Policies

The policies of Duke University apply to all components of Duke, including Duke University Health System, and DUMAC, and govern the pursuit of Duke's missions - education, research, and patient care.

Duke Policies align with Duke's values and apply to the entire Duke enterprise, although individual Duke Policies may be directly relevant to only certain segments of the organization. Duke Policies are officially designated as such by their inclusion on the Duke Policy website and are distinct from other statements and regulations promulgated as policy within schools, departments, or other specific areas of the Duke enterprise that may not apply to the entire organization.  If your policy question is not addressed here, please contact the Duke Office of Audit Risk and Compliance at OARC.duke.edu(link sends e-mail) or 919-613-7630.

... it is up to us to set an example of how a community of people working together toward a common purpose can realize outrageous ambitions.

VINCENT E. PRICE, PRESIDENT

Campus and Workplace Environment

Athletics

Policies and procedures regarding intercollegiate and club sport programs of Duke University

Athletics Policy Manual 

Owning Office: Athletics

Campus Safety

Statement on compliance with ADA and Rehabilitation Act

Americans with Disabilities Act

Owning Office: Human Resources

Guidance regarding the type of drone operations acceptable and processes for requesting permission to operate drones on Duke property or for Duke purposes.

Drone Policy

Owning Office: OIT/DHTS

It is the policy of Duke University to take all possible steps to minimize the potential for fires and to install and maintain equipment necessary to control fires.

Fire Safety Policy

Owning Office: Occupational and Environmental Safety Office

Requirements for having minors participate in activities and programs.

Minors in Duke University Programs

Owning Office: Human Resources

Last Revised: 08/30/2019

Duke is a tobacco-free campus; use of any tobacco products is prohibited in any building or on any grounds owned or leased by Duke.

Tobacco Use

Owning Office: Human Resources

Prohibits the possession, transfer, sale, or use of weapons or dangerous instruments on any Duke-owned or leased premises.

Prohibited Weapons

Owning Office: Human Resources

Last Revised: 10/23/2013

Facilities and Equipment

Banners on the exterior or interior of buildings and light poles must be approved and installed by designated University staff.

Banner and Signs

Owning Office: Student Affairs

Facilities are equipped with access authentication devices per Facilities Governing Principles (see the link included in this policy)

Building and Facilities Access

Owning Office: Human Resources

All surplus equipment and furnishings must be routed through Procurement Services for disposition.

Equipment Disposal

Owning Office: Financial Services

Equipment is owned by the University and/or the government and, as such, may not be transferred from the University without University and/or the granting agency approval.

Equipment Transfers

Owning Office: University Provost

Use of university lands and facilities as private property of Duke University

Use of University Lands and Facilities

Owning Office: Board of Trustees

Students and groups are expected to respect the property of others (including that of the university) and may be subject to disciplinary action.

Property/Facilities/Services

Owning Office:  Student Affairs/Student Conduct

Namings

Requirements for naming programs, positions, buildings or spaces to recognize contributions.

Naming of Buildings, Programs and Spaces

Open Expression

Agreement between the president and the faculty as to policies and procedures with respect to academic freedom.

Academic Freedom Policy

Owning Office: University Provost

Federal law prohibits Duke University from raising funds for a political candidate or political party.

Voting, Political Activity and Engagement with Government Officials

Owning Office: Office of Government Relations

Disruptive picketing, protesting or demonstrating on Duke University property or at any place in use for an authorized university purpose is prohibited.

Pickets, Protests and Demonstrations

Owning Office: University Provost

Staff are prohibited from soliciting for any outside activity or organization during work time.

Non-Solicitation Policy

Owning Office: Human Resources

Students planning a picket, protest, or demonstration should contact Student Involvement and Leadership; disruptive picketing, protesting, or demonstrating on Duke University property or any place in use for an authorized university purpose is prohibited.

Student Pickets, Protests and Demonstrations Policy

Owning Office: Student Affairs

Prohibited Activities and Conduct

Duke's University-wide alcohol policy and responsible use of alcohol; includes disciplinary action for violations for students. 

Alcohol Policy

Owning Office: Student Affairs

Policies outline situations in which an instructor may ask the student to leave the class meeting, and expected behavior of students and potential disciplinary action they face for violating policy.

Classroom Disruption, Disorderly Conduct, and Failure to Comply

Owning Office: University Provost

Defines disorderly conduct and outlines examples.

Disorderly Conduct

Owning Office: Student Affairs

Duke University prohibits members of its community, both individuals and groups, from manufacturing, selling, delivering, possessing, using, or being under the influence of a controlled substance without legal authorization.

Drugs and Drug Paraphernalia Policy

Owning Office: Student Affairs

Defines failure to comply including directions, requests or orders, etc.

Failure to Comply

Owning Office: Student Affairs

Definition of falsification and fraud; violating this policy may be subject to disciplinary action.

Falsification/Fraud

Owning Office: Student Affairs

Gambling is a violation of NC state law and Duke policy. Outlines gambling-like activities that are permitted.

Gambling

Owning Office: Student Affairs

Harassment of any individual for any reason is not acceptable at Duke University.

Policy on Prohibited Discrimination, Harassment, and Related Misconduct

Owning Office: Office of Institutional Equity

General overview of the policy.

Harassment & Discrimination Policy

Owning Office: Human Resources, Office of Institutional Equity

Defines hazing and associated violation levels, along with sanctions for hazing, and reporting process.

Hazing

Owning Office: Student Affairs

No one will be subject to any adverse action just because they report what they honestly believe is a compliance violation.  However, if Duke University determines that someone purposely contrived, exaggerated, or otherwise distorted a report of wrongdoing - whether to protect themselves or to hurt someone else - that person will NOT be protected under the policy.

Non-retaliation and Non-Retribution 

Owning Office: University Provost

Defines behavior that constitutes physical abuse, fighting, and endangerment.

Physical Abuse, Fighting and Endangerment

Owning Office: Student Affairs: Office of Student Conduct

Rules governing students living on campus, and housing and resident life student conduct system.

Residential Policies

Owning Office: Student Affairs

Requires any employee (faculty, staff) to notify the Office of Student Conduct with details regarding the allegations if become aware of an allegation of sexual misconduct involving a student.

Sexual Misconduct Policy

Owning Office: Human Resources

Support and services are available when you need them. Gender Violence Services are offered at Duke through the Office of Gender Violence Prevention and Intervention in the Women’s Center.

Sexual Misconduct Prevention and Response

Owning Office: Student Affairs

Defines stalking as a course of conduct directed at a person to cause fear.

Stalking

Owning Office: Student Affairs: Office of Student Conduct

Duke is a tobacco-free campus; use of any tobacco products is prohibited in any building or on any grounds owned or leased by Duke.

Tobacco Use

Owning Office: Human Resources

Capturing or recording audio, video, or photographic images when an individual has an expectation of privacy is forbidden.

Unauthorized Photography/Surveillance

Owning Office: Student Affairs: Office of Student Conduct

Volunteer and Unpaid Interns

General guidance within which departments may establish specific procedures pertaining to Volunteers and Unpaid Interns.

Volunteer and Unpaid Intern

Owning Office: Human Resources

Employment Expectations and Records

Away from Work

Criteria for university staff using leave for bereavement/funeral.

Bereavement/Funeral Leave Policy (University)

Owning Office: Human Resources

Annual schedule of designated and discretionary holidays for University staff and staff in academic medical and research units.

Holiday Policy for University Staff

Owning Office: Human Resources

Staff called for jury duty or subpoenaed as witness.

Jury Duty Policy

Owning Office: Human Resources

Staff donating time off to others who have used up available paid time off.

Kiel Memorial Voluntary Vacation/PTO Donation Program Policy

Owning Office: Human Resources

Conditions for taking leave for a child's school activities.

Leave for Parent Involvement in Schools Policy

Owning Office: Human Resources

Requirements for taking a temporary leave of absence.

Leaves of Absence Policy

Owning Office: Human Resources

Individual schools/departments/units are responsible for maintaining accurate records for all staff time off.

Maintenance of Time Off Records Policy

Owning Office: Human Resources

Requirements for paid leave for new parents within the first 12 weeks after the birth or adoption of a child.

Paid Parental Leave Policy

Owning Office: Human Resources

DUHS staff relating to all paid time off.

DUHS: Paid Time Off Policy

Owning Office: Human Resources

Availability for Work

Owning Office: Human Resources

Benefits Administration

Eligibility requirements for staff to participate in benefits after retirement.

Benefits in Retirement Policy

Owning Office: Human Resources

Contact information for Employee Occupational Health and Wellness or Disability Management Systems Office for assistance.

Disability and Impairment Policy

Owning Office: Human Resources

Eligibility requirements for an educational allowance during the international assignment.

Education Allowance for Long-Term International Assignment Policy

Owning Office: Human Resources

Eligibility requirements for benefits for university and health system staff and dependents. 

Eligibility for Benefits Policy

Owning Office: Human Resources

Deadlines for enrolling and making changes to benefits based on different events.

Enrolling & Making Changes in Benefits Policy

Owning Office: Human Resources

Summary of development opportunities for staff and procedure for participation

Participating in Duke Professional Development Policy

Owning Office: Human Resources

Card Access & ID

DukeCards are the property of Duke University. One must carry it at all times while on Duke property and present it upon request to any university official.

DukeCard Access 

Owing Office:  Student Affairs

Requires employees to wear Duke badges at all times on campus.

Duke Identification Policy

Owning Office: Human Resources

Employee Evaluation

Required 90-day orientation and evaluation period for staff new to Duke and supervisor's role.

Orientation and Evaluation Period Policy

Owning Office: Human Resources

Procedure for fair, orderly, and prompt resolution of disagreements regarding employment policies.

Dispute Resolution Process

Owning Office: Human Resources

Requirement to notify supervisory within seven days of conviction of violating a criminal drug statute at the workplace.

Criminal Drug Conviction Policy

Owning Office: Human Resources

Staff in certain positions are required to undergo a periodic health review.

Periodic Health Review

Owning Office: Human Resources

Duke staff may not hire or supervise their relatives.

Nepotism (Hiring of Relatives)

Owning Office: Human Resources

Supervisors are responsible for determining whether a staff member is eligible for rehire.

Eligibility for Rehire Policy

Owing Office: Human Resources

Requirements to notify supervisor within seven days of arrest for misdemeanor or felony.

Arrest or Conviction Policy

Owning Office: Human Resources

Employment status definitions related to benefits administration.

Employment Status & Eligibility Policy

Owning Office: Human Resources

Individual Records

Statement about relationships between supervisors and staff.

Consensual Relationships Policy

Owning Office: Human Resources

Policy and guiding principles on dual interests and dual commitments (conflict of interest/COI) and reporting requirements for faculty and staff.

Policy on Dual Interest and Outside Activity

Owning Office: University Secretary

Pay Administration

Requirements for calculation of continuous service credit with Duke.

Continuous Service Date Policy

Owning Office: Human Resources

Requirements for determining hours worked for hourly-paid staff.

Hours Worked Policy

Owning Office: Human Resources

DUHS staff relating to all paid time off.

DUHS: Paid Time Off Policy

Owning Office: Human Resources

Requirements for administration of pay for staff.

Pay Administration Policy

Owning Office: Human Resources

Requirements and guidelines for determining compensation for Health System employees.

Health System Pay Structure & Processes Policy

Owning Office: Human Resources

Payout of unused accrued leave upon resignation, layoff or retirement from DUHS.

Payout of Accrued Time Policy (DUHS)

Owning Office: Human Resources

Payment of accrued and unused vacation time upon leaving Duke.

Payout of Accrued Time Policy (University)

Owning Office: Human Resources

Eligibility criteria for individuals (faculty or staff) to be included within Duke's HR/Payroll System at zero rate of pay.

Zero Rate of Pay Employment Status Policy

Owning Office:  Human Resources

Information Technology (IT)

Communications and Meetings

Access to and use of Duke's computing and networking resources is limited to authorized users for approved purposes only. Describes ethical, legal, and secure use of University computers; violations will receive academic due process.

Computing and Electronic Resources

Owning Offices: Human Resources; OIT/DHTS

Appropriate uses for group email i.e. large-scale emailing.

Group Email Policy

Owning Office: OIT/DHTS

Departments considering the purchase and implementation of mass communication tools/software must obtain approval from the university's Chief Information Officer and the Assistant Vice President for Procurement.

Mass Communication Tools/Software Purchases

Owning Office: OIT/DHTS, Financial Services

Duke's Zoom Recording Retention Policy - Effective October 1, 2022: Duke is implementing a policy to make recordings available for a limited time. Additional options are available for longer-term retention of recordings.

Zoom Cloud Recording Retention Policy

Owning Office: OIT/DHTS

Financial Transaction Records

Exchange of Funds

Students are expected to meet academic requirements and financial obligations, as specified in the school bulletin, in order to remain in good standing. Failure to meet these requirements and to abide by the rules and regulations of Duke University may result in summary dismissal.

Academic and Financial Obligations

Owning Office: University Registrar

Electronic commerce at Duke must be related to the University's missions of education, research, and patient care and must comply with University procedures detailed on the eCommerce website to ensure data security.

Electronic Commerce

Owning Office: Financial Services

If Duke University serves as a fiscal and/or legal agent for any external organization where the relationship includes either applying for Federally-sponsored funding or charging costs to a Federally-supported project, the Vice President for Research must provide approval, with delegation to the Associate Vice President for Finance and Compliance on the implementation of procedures and internal controls specific to each instance of assuming agency.

Fiscal Agent

Owning Office: Financial Services - Research Compliance and Reporting

General Accounting Procedures

Global Travel

Guidance and expectations for traveling outside the United States using Duke support or funding.

Global Travel

Owning Office: Global Administrative and Travel Support

Procurement

Doing Business with Others

Antitrust

Definitions and implementation guidelines for all Duke employees to comply with U.S. and international antitrust laws.

Duke University Antitrust Policy

Owning Office: Office of Counsel

Last Revised: 2/24/2023

Dual Interest and Outside Interest Management

Policy on dual interest (conflict of interest/COI) and reporting requirements for members of the Duke University Board of Trustees and the governing Boards of DUHS, DUMAC, and the related wholly-owned subsidiaries, support corporations, and controlled affiliates.

Dual Interest (Conflict of Interest) Policy for Trustees and Boards

Owning Office: University Secretary

Policy and guiding principles on dual interests and dual commitments (conflict of interest/COI) and reporting requirements for faculty and staff.

Policy on Dual Interest and Outside Activity

Owning Office: University Secretary

Definitions of conflict of interest, conflict of commitment and disclosure of conflict obligations of researchers.

For Research:  Individual Conflict of Interest and Conflict of Commitment in Research

Owning Office: Provost

Hiring

The University prepares an annual affirmative action plan, and for implementing and monitoring the Equal Opportunity Policy. Duke University prohibits discrimination and harassment and provides equal employment opportunity.

Equal Opportunity

Owning Office: Human Resources, Governance

Staff are not allowed to hire or supervise relatives unless an exception is approved by the vice president of HR.

Nepotism (Hiring of Relatives)

Owning Office: Human Resources

Intellectual Property and Trademarks

Policy regarding use of name(s), images, symbols, logos, and trademarks that are associated with Duke University's name.

Logos and Trademarks

Owning Office: Office of Trademark Licensing

Details Intellectual Property Rights; Inventions, Patents and Technology Transfer; Research Records - Sharing, Retention, Ownership

Intellectual Property

Owning Office: University Provost

Social Media

Communication guidelines for digital platforms such as blogs and social media sites.

Social Media

Volunteer and Unpaid Interns

General guidance within which departments may establish specific procedures pertaining to Volunteers and Unpaid Interns.

Volunteer & Unpaid Interns

Owning Office: Human Resources

Research and Scholarship

Faculty have an obligation to avoid unacceptable ethical, legal, financial or other conflicts of interest (COI) and to fully disclose any outside activities that might lead to a serious conflict of interest.  Investigators will also adhere to sponsoring agency policies governing conflict of interest.

Conflict of Interest (Principal Investigators)

Owning Office: University Provost

Cost–sharing on proposals for external funds is to be avoided unless required by the sponsor and approved at the time of proposal submission by the Office of Research Support (Campus) or the Office of Research Administration (Schools of Medicine and Nursing).

Cost-Sharing

Owning Office: University Provost

 

Guide to licensing data to third parties for use or study.

Data Licensing

 

Each employee or representative of Duke University who is involved in sponsored projects administration has an obligation to ensure compliance with sponsor and University requirements for managing sponsored funds.

Duke as an Applicant Organization

Owning Office: University Provost

All persons employed by the University need to ensure that their annual effort certification accurately reflects all of their activities for the year.

Effort Commitment, Reporting and Certification

Owning Office: University Provost

Generally, Duke University requires the inclusion of full Facilities and Administrative costs on all proposals for external funding, except gifts, unless prior approval is obtained from the appropriate Management Center.

Facilities & Administrative (F&A) Costs

Owning Office: University Provost

University faculty and staff working on clinical research studies must include appropriate effort during the budget/proposal development process and allocate effort appropriately throughout the life of the sponsored agreement to support accurate effort reporting in compliance with applicable federal regulations.

Faculty/Staff Effort Management for Clinical Research Studies

Owning Office: Finacial Services

Guidance and expectations for traveling outside the United States using Duke support or funding.

Global Travel

Owning Office: Global Administrative and Travel Support

All members of the University community involved in research are responsible for maintaining an atmosphere of honesty and trust in which pursuit of knowledge can occur. 

Duke University Policy and Procedures Governing Misconduct in Research

Owning Office: University Provost

Definition and general principles of ownership that arise from the intellectual and research efforts of Duke faculty and staff.

Inventions, Patents and Technology Transfer

Only those with whom the University has or intends to have an on-going contractual relationship may serve as principal investigators or program directors on sponsored projects.

Principal Investigator Eligibility

Owning Office: University Provost

In its conduct of research that involves animals, Duke University representatives must comply with all regulations pertaining to the proper treatment and care of research animals including government as well as internal requirements.

Animal Care and Use

Owning Office: University Provost

Protecting Information and Privacy

Data Use and Retention

Conditions for institutional and/or legal requirements to access or disclose data or records.

Acceptable Use 

Owning Office: OIT/DHTS

Types of information or data are sensitive or restricted according to Duke's data classification and regulatory requirements. 

Data Classification Standard

Owning Office: OIT/DHTS

Guide to licensing data to third parties for use or study.

Data Licensing

Privacy

The Statement applies to activities conducted by Duke and its direct affiliates and is an overview of University privacy practices, including but not limited to categories of personal data processed, collection practices, and transfer of personal data.

Duke University Privacy Statement

Owning Office: Office of Audit, Risk and Compliance

Last Revised: May 24, 2023

Institutional Governance and Authorities

Appointment, Promotion and Compensation - Duke Officers

Procedures for appointment and review of university officers.

Appointment and Review of University Officers

Owning Office: University Secretary

Requirements for compensation for officers and material consulting activities.

Compensation and Financial Benefits

 

Owning Office: University Secretary

Last Revised:  March 30, 2012

Appointment Promotion and Tenure - Faculty

Academic tenure is granted to members of the University faculty in accordance with Article XXII of the University Bylaws.

Academic Tenure

Owning Office: University Provost

All members of the University's regular rank faculty are appointed or promoted by the Board of Trustees or the Executive Committee of the Board of Trustees upon the recommendation of the Provost, with the approval of the President.

Appointment and Promotion (Faculty)

Owning Office: University Provost

Procedures to appoint and approve distinguished professorships.

Distinguished Professorship

Owning Office: University Provost

Conditions and procedures to bestow the emeritus title to faculty or officers.

Emeritus Status

Owning Office: University Provost

Requirements for a named professorship to honor persons in Duke's past.

Eponymous Professorships

Owning Office: University Provost

Procedures to appoint and approve regular faculty ranks.

Faculty Appointment Promotion and Tenure

Owning Office: University Provost

Criteria and procedures for the unit of primary appointment to initiate recommendations for joint or secondary appointment.

Joint and Secondary Appointments

Owning Office: University Provost

Athletics

Policies and procedures regarding intercollegiate and club sport programs of Duke University.

Athletics Policy Manual

Owning Office: Athletics

Corporate Records

Governance conditions and procedures to access board minutes and other corporate records.

Corporate Records Policy

Owning Office: University Secretary

Establishes records retention guidelines which vary based upon record type and area.

Document Retention Policies and Guidelines

Defines the spending rate for endowment and other funds invested.

Endowment Spending

Owning Office: University Secretary

Procedures to authorize creation and maintenance for affiliated organizations and support corporations.

Owning Office: University Secretary

Governance

Policy on authorization requirements to execute contracts on behalf of Duke University.

Signature Authority Policy

Owning Office: University Secretary

Investments

Guidelines for retirement plans investment policy.

Retirement Plans Investment Policy

Owning Office: Human Resources

Responsibilities of the Advisory Committee on Investment Responsibility.

Advisory Committee on Investment Responsibility

Owning Office: University Secretary

Namings

Requirements for naming programs, positions, buildings or spaces to recognize contributions.

Naming of Buildings, Programs and Spaces

Tuition

Board authority to approve recommended tuition rates.

Tuition Policy

Owning Office: University Secretary

Duke Health Policy Center

Duke Health sets the standard for outstanding high-quality care and patient safety through innovations in medical and surgical treatment, applications of evidence-based interventions and patient-centered compassionate care. Providing the best possible care for our patients and their loved ones is at the heart of everything we do. Access to this site is restricted to employees who have been granted log-in privileges.

Duke Health Policy Center (NetID Required)