Appendix J: Duke Policy on Prohibited Discrimination, Harassment, Related Misconduct Summary Guide

Reporting

A Responsible Employee is an individual designated by the Policy who is required to report information regarding Prohibited Conduct to OIE. The term “Responsible Employee” evolved from the Obama-era Department of Education changes to the regulations that govern Title IX and has continued to be used by many institutions of higher education.

Who Must Report Suspected Prohibited Conduct?

All Duke faculty and/or instructional staff are required to consult with the Office for Institutional Equity (OIE) when they become aware of conduct that might be prohibited by the University Policy on Prohibited Discrimination, Harassment, and Related Misconduct (PPDHRM). This requirement stems from faculty and instructional staff’s designation as Responsible Employees under the Policy. Responsible Employees should not try to determine whether the conduct would ultimately result in a Policy violation but, rather, should consult with OIE regarding any reported conduct that might fall under the Policy.

What if Someone Doesn’t Want to Trigger Reporting to OIE?

If someone approaches you with a concern but does not want to trigger reporting to OIE, before they disclose any details to you, you can direct them to speak with a confidential resource. Confidential resources are offices or administrators who are not Responsible Employees and do not have an obligation to consult with OIE about possible prohibited conduct.  The Duke Personal Assistance Service (PAS), Counseling and Psychological Services (CAPS), Office of the Ombuds, Gender Violence Prevention Coordinator, and Duke Student Health are all confidential resources under the PPDHRM. There are also off-campus resources that can provide counseling, information, and support in a confidential setting to students, faculty, and staff. A complete list of confidential resources can be found at: https://oie.duke.edu/ppdhrm#resources

What Conduct is Prohibited by this Policy?

The Policy on Prohibited Discrimination, Harassment, and Related Misconduct (the Policy) prohibits discrimination, harassment and related misconduct on the basis of protected status or protected characteristics. This includes any adverse action or unwelcome conducted related to age, color, disability, gender, gender expression, gender identity, genetic information, national origin, race, religion, sex (including pregnancy), sexual orientation, or veteran status. This also includes failing to provide reasonable accommodations to a qualified person on the basis of disability, religion, or any other basis required by state or federal law.

What to Report?

Responsible Employees should report all information received, including the details of the conduct and the names of those involved, as soon as possible to OIE. Even if others involved have been advised to contact OIE, Responsible Employees should still consult with OIE directly to relay all relevant information.

How to Report?

When feasible, the report should be submitted via the OIE website online form at https://oie-duke-gme-advocate.symplicity.com/public_report/index.php/pid8190 10. Reports can also be submitted via the OIE help email at oie-help@duke.edu or by telephone at (919) 684-8222.

Can Anyone Submit a Report?

Yes, anyone can submit a report to OIE. Concerns may be raised and reports may be brought by the impacted individual, their manager, chair, dean, supervisor, friend or colleague. Reports may also be submitted by individuals who are not members of the Duke community.

What Happens After Reporting?

The OIE Intake/Assessment Manager will email the reporter and/or impacted party to ensure they are aware of available resources and reporting options and to offer a meeting with OIE to explore options, including any appropriate supportive measures. The party can decide to meet with the OIE Intake staff, not respond to the outreach, or decline the meeting with the OIE Intake staff. OIE has an open-door practice, so individuals may decide to wait and meet with the Intake staff at a later point when they feel comfortable doing so.[1]  

Post-Intake Processes

After meeting with the reporter and/or the impacted party, OIE reviews all of the information gathered to determine appropriate next steps. If the situation is outside the purview of the Policy and cannot be addressed by another OIE program area, e.g., Diversity, Equity and Inclusion or Affirmative Action, the next steps may include referral to Human Resources, the department, the Office of Student Conduct and Community Standards (OSCCS), or the school or department. If the reported conduct might implicate the Policy as prohibited conduct, OIE may first conduct an assessment.

What is an Assessment?

Before proceeding with a formal investigation, OIE may engage in the process of gathering information to determine if the matter should proceed to a formal investigation. An assessment will not result in a finding or conclusions. However, an assessment may include interviewing witnesses and reviewing other information and may or may not lead to a formal investigation.  

What About Alternative Resolution?

Alternative Resolution is a voluntary, remedies-based process such as mediation, restorative justice or facilitated discussion. OIE offers information to parties, where appropriate, about the possibility of Alternative Resolution and where all parties agree, Alternative Resolution can be explored to address the reported conduct. OIE has developed Alternative Resolution Techniques (ART) to guide this process which are strategies that are designed to address climate concerns related to protected status^.[2]

When is the Formal Investigation Process Implemented?

A formal investigation may be initiated under the following circumstances:

• Based upon information learned in an assessment;
• Based upon information provided by the reporter or impacted party, without the need for an assessment, because on its face the facts if true would violate the University policy; or
• Based on OIE’s determination, given the nature of the reported conduct (e.g., multiple impacted parties, serious potential harm to campus and/or extraordinary concerns about retribution), that OIE should initiate an investigation absent a formal complaint.

What Happens During an Investigation?

An OIE investigator will gather information that will guide the analysis of whether there is sufficient evidence to establish a violation of the Policy.  This information is obtained through interviews with the parties or witnesses and review of documents, electronic media, and any other evidentiary sources.  

Who Makes the Determination?

Depending on the applicable investigation procedures, the determination (sometimes referred to as a finding or a conclusion) will be made by an investigator, a hearing panel, or a hearing officer. The determination is explained and documented in a report that is provided to the parties and the University officials who are responsible for implementing any responsive action.  

Can a Party Appeal the Determination?

Yes, either party can appeal the determination. There are specific timelines and limited grounds for filing an appeal. Either party is free to request an extension of the timeline. The request should be submitted prior to the deadline for submitting an appeal. More information about appeals is available in the Policy.

Post-Process/Investigation Outcomes

In cases that result in a finding of a Policy violation, the responsible senior administrator(s) considers appropriate sanctions and/or remedial actions. Depending on the specific circumstances of the situation, corrective action or other remedies can include prohibition from certain academic or managerial responsibilities or removal of privileges, a performance management plan, professional coaching, training, and education, change in employment status or work location, restricted access to Duke programs or activities, reduction in salary, or termination. Sanctions imposed upon faculty can be appealed utilizing the Faculty Hearing Committee.^[3] In all cases, including cases that do not result in a finding of a Policy violation, support resources will be made available to all parties. In cases where a student is the impacted party, this outreach and intake may be delegated to the Office of Student Conduct and Community Standards (OSCCS). In cases involving students, the alternative resolution process may be facilitated by the Office of Student Conduct and Community Standards.

[1] When a student is found responsible for violating the Policy, sanctions are determined by OIE and the Office for Student Conduct and Community Standards. When a non-faculty staff is found responsible for violating the policy, sanctions are determined by the appropriate administrator and may be appealed through the Human Resources Dispute Resolution Process.

In the May 2023 revision, Appendix W became Appendix J.