THE Duke University FACULTY HANDBOOK This edition of the Duke University Faculty Handbook contains policies and procedures pertinent to faculty at Duke University as of December 2019. Because of the range of subject matters and authority for them, these policies and procedures are subject to change at any time. Revisions to the Faculty Handbook will be incorporated periodically. Duke faculty are responsible for checking the website http://provost.duke.edu/faculty- resources/faculty-handbook/ to keep abreast of alterations and additions. Reading the Handbook requires the Acrobat Reader available free from Adobe. Printed copies of the Handbook are no longer distributed, but it can be printed from the Acrobat reader. The Faculty Handbook is available in alternative media upon request to the Office of the Provost (919-684-2631). Questions about this publication and its contents should be addressed to Faculty Handbook, Box 90005, Duke University, Durham, NC 27708-0005. Duke University is committed to encouraging and sustaining a learning and work community that is free from harassment and prohibited discrimination. The institution prohibits discrimination on the basis of individual’s age, color, disability, gender, gender expression, gender identity, genetic information, national origin, race, religion, sex, sexual orientation, or veteran status, in the administration of its educational policies, admission policies, financial aid, employment, or any other university program or activity. It admits qualified students to all the rights, privileges, programs, and activities generally accorded or made available to students. Sexual harassment and sexual misconduct are forms of sex discrimination and prohibited by the university. Duke University has designated Kimberly Hewitt, Vice-President for Institutional Equity & Chief Diversity Officer, as the individual responsible for the coordination and administration of its nondiscrimination and harassment policies. Questions or comments about discrimination, harassment (including sexual harassment and sexual violence), relationship violence, and stalking can be directed to the Office for Institutional Equity, (919) 684-8222. Additional information, including the complete text of the Policy Prohibiting Discrimination, Harassment and Related Misconduct, and appropriate complaint procedures, may be found by contacting the Office for Institutional Equity or visiting its website at https://oie.duke.edu/. Questions or comments about discrimination, harassment (including sexual harassment and sexual violence), relationship violence, and stalking committed by a student may also be directed to the Office of Student Conduct at (919) 681-6938; additional information, including the complete text of the policy and complaint procedure for such misconduct, may be found at http://studentaffairs.duke.edu/conduct/z- policies/student-sexual-misconduct-policy-dukes-commitment-title-ix. DUKE UNIVERSITY FACULTY HANDBOOK TABLE OF CONTENTS Chapter 1: The University Chapter 2: The University Faculty and Its Organization Chapter 3: Faculty Appointment, Promotion, and Tenure Chapter 4: Professional Affairs of the Faculty Chapter 5: Research - Organizational Structure for Sponsored Projects and Research Related Policies Chapter 6: Faculty Responsibilities with Respect to Students Chapter 7: University Libraries ____________________________________________________________________ Appendix A: Governing Documents University’s Mission Statement Indenture of Trust Amended and Restated Charter of Duke University Bylaws of the University Appendix B: Bylaws of the University Faculty Bylaws of the Academic Council Appendix C: Academic Freedom and Academic Tenure Faculty Participation in the Appointment and Retention of Administrators Report of the Ad Hoc Committee on Procedures for Appointments, Reappointments and Promotions for Regular, Non-Tenure Track Faculty Appendix D: Arts and Sciences Bylaws of the Faculty of Arts and Sciences Bylaws of the Arts and Sciences Council Procedures for Appointments, Reappointments, Promotions and Tenure in the Arts and Sciences Arts and Sciences Accelerated Sabbatical Policy Appendix E: Pratt School of Engineering Bylaws of the Faculty Procedures for Faculty Recruitment, Promotion, and Tenure Faculty Handbook, 2019 Contents - 1 Appendix F: Divinity School Bylaws Articles of Organization Bylaws of the Faculty Policies and Procedures Appendix G: Nicholas School of the Environment Faculty Bylaws Appendix H: Fuqua School of Business Faculty Evaluation, Appointment, Promotion, and Tenure: Criteria and Procedures Faculty Bylaws Appendix I: School of Law Procedures for Appointment, Promotion, and Tenure Appendix J: Basic Sciences, School of Medicine Bylaws of the Basic Sciences Faculty Steering Committee Procedures and Criteria for Appointment, Promotion, and Tenure Materials to be Submitted by the Department in Support of Nominations for Tenured Appointments and Promotions Appendix K: School of Nursing Faculty Governance Association Bylaws Appendix L: Clinical Sciences, School of Medicine Bylaws of the Clinical Sciences Faculty Council on Academic Affairs APT Process for Tenure Track Faculty with Primary Appointments in Clinical Departments Appendix M: Graduate School Bylaws Appendix N: Faculty Ombuds and Faculty Hearing Committee Appendix O: Financial Conflict of Interest Policy Duke University Conflict of Interest Disclosure Form Institutional Conflict of Interest in Research Policy Institutional Conflict of Interest in Research Implementation Appendix P: Policies Related to Research Protecting Human Subjects in Nonmedical Research Policy on Inventions, Patents, and Technology Transfer Interpretation of the Policy on Inventions, Patents, and Technology Transfer Reaffirming the Rights of Undergraduate Students Duke University Policy on Intellectual Property Rights Interpretations of the Policy on Intellectual Property Rights as it Relates to Online Courseware Duke University Copyright Guidelines for Electronic Course Content Checklist for Fair Use Analysis Contents - 2 Faculty Handbook, 2019 Patent Agreement University-Industry Guidelines Policy on Research Records: Sharing, Retention and Ownership Duke University Policy and Procedures Governing Misconduct in Research Faculty Communication to External Sponsors on Administrative Issues Guidelines for Authorship and Authorship Dispute Resolution Principal Investigator Status Policy on Open Access to Research Appendix Q: University Committees Appendix R: Student Records Policy Appendix S: Use of University Lands and Facilities Appendix T: Sanford School of Public Policy Bylaws for the Sanford School of Public Policy Appendix U: Travel Appendix V: Pickets, Protests, and Demonstrations Appendix W: Duke University/Duke Medicine Policy on Prohibited Discrimination, Harassment, and Related Misconduct Appendix X: The Duke Community Standard Appendix Y: Steps in the Process of Approving New Academic Degrees and Changing the Name of a Unit Appendix Z: Policy on Consensual Romantic or Sexual Relationships Between Faculty and Students Revisions to the Faculty Handbook Faculty Handbook, 2019 Contents - 3 CHAPTER 1: THE UNIVERSITY Excellence, Diversity and Inclusion A statement by the faculty, Provost, and President To achieve our mission and meet the needs of a rapidly changing world, Duke strives to create a climate of collaboration, creativity, and innovation within and across disciplines. Our success depends upon the robust exchange of ideas - an exchange that flourishes best when the rich diversity of human knowledge, perspectives, and experiences is heard. We nonetheless acknowledge that our policies and practices have often failed to ensure equality of participation within our community. Our renewed commitment and responsibility to one another is articulated in the following statement. Duke University Community Commitment Because diversity is essential to fulfilling the university’s mission, Duke is committed to building an inclusive and diverse university community. Every student, faculty, and staff member —whatever their race, gender, age, ethnicity, cultural heritage or nationality; religious or political beliefs; sexual orientation or gender identity; or socioeconomic, veteran or ability status—has the right to inclusion, respect, agency and voice in the Duke community. Further, all members of the University community have a responsibility to uphold these values, to uphold the institutional statement of values and culture outlined on the https://values.duke.edu/ site and actively foster full participation in university life. Governing Documents The governing documents of Duke University (mission statement, bylaws, charter, and indenture of trust) can be found at https://trustees.duke.edu/governing-documents Senior Administration Administrative Officers Responsibilities and duties of the trustees and administrative officers of the university are provided in the bylaws of Duke University (see link above). However, the functions of the trustees and officers are described briefly below. The Board of Trustees The board consists of thirty-six elected members and the president, ex officio, and the board has vested in it as a group the final authority for the operation of the university. It regularly meets four times a year but may call special meetings. Its Executive Committee acts for the board between meetings and normally convenes five times each year. The board elects from its membership a chair and vice chair and organizes itself into both standing