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
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.
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.
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.
Owning Office: Human Resources
Prohibits the possession, transfer, sale, or use of weapons or dangerous instruments on any Duke-owned or leased premises.
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.
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.
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.
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.
Owning Office: Student Affairs/Student Conduct
Namings
Requirements for naming programs, positions, buildings or spaces to recognize contributions.
Open Expression
Agreement between the president and the faculty as to policies and procedures with respect to academic freedom.
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.
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.
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
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.
Owning Office: Student Affairs
Definition of falsification and fraud; violating this policy may be subject to disciplinary action.
Owning Office: Student Affairs
Gambling is a violation of NC state law and Duke policy. Outlines gambling-like activities that are permitted.
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.
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.
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.
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.
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.
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.
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.
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.
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.
Owning Office: Human Resources
Owning Office: Human Resources
Benefits Administration
Eligibility requirements for staff to participate in benefits after retirement.
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.
Owing Office: Student Affairs
Requires employees to wear Duke badges at all times on campus.
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.
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.
Owning Office: Human Resources
Duke staff may not hire or supervise their relatives.
Nepotism (Hiring of Relatives)
Owning Office: Human Resources
Attendance Corrective Action Guidelines and 12-Month Rolling Period
Owning Office: Human Resources
Supervisors are responsible for determining whether a staff member is eligible for rehire.
Owing Office: Human Resources
Requirements to notify supervisor within seven days of arrest for misdemeanor or felony.
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.
Owning Office: Human Resources
Requirements for administration of pay for staff.
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.
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.
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.
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.
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.
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.
Owning Office: Office of Trademark Licensing
Details Intellectual Property Rights; Inventions, Patents and Technology Transfer; Research Records - Sharing, Retention, Ownership
Owning Office: University Provost
Social Media
Communication guidelines for digital platforms such as blogs and social media sites.
Volunteer and Unpaid Interns
General guidance within which departments may establish specific procedures pertaining to Volunteers and 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).
Owning Office: University Provost
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.
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.
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.
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.
Owning Office: OIT/DHTS
Types of information or data are sensitive or restricted according to Duke's data classification and regulatory requirements.
Owning Office: OIT/DHTS
Guide to licensing data to third parties for use or study.
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.
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.
Owning Office: University Provost
Conditions and procedures to bestow the emeritus title to faculty or officers.
Owning Office: University Provost
Requirements for a named professorship to honor persons in Duke's past.
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.
Owning Office: Athletics
Corporate Records
Resolution of the Board of Trustees to grant authority to certain officials of Duke University to execute contracts and other legal documents.
Authority to Execute Contracts and Other Legal Documents
Owning Office: University Secretary
Governance conditions and procedures to access board minutes and other corporate records.
Owning Office: University Secretary
Establishes records retention guidelines which vary based upon record type and area.
Defines the spending rate for endowment and other funds invested.
Owning Office: University Secretary
Procedures to authorize creation and maintenance for affiliated organizations and support corporations.
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.
Tuition
Board authority to approve recommended tuition rates.
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.