EEO/Affirmative Action

Affirmative Action Programs for
Duke University & Duke University Health System

Federal Contract Compliance Programs
Administration of the AAP
AAP for Women and Minorities
AAP for Veterans and Individuals with Disabilities
Definitions and Commonly Used Terms

The Office of Equal Opportunity and Affirmative Action implements and monitors the Affirmative Action Programs for Duke University and Duke University Health System each year, pursuant to the Federal Contract Compliance Program guidelines. Separate plans are prepared for Duke University and Duke University Health System. The Duke University Plan includes the University Administration, Office of the Executive Vice President, the Office of the Provost, Medical Center Administration, Schools of Medicine and Nursing, and the Private Diagnostic Clinics.
 
All faculty are included in the University Plan.  The Duke University Health System Plan includes Duke Hospital, Durham Regional Hospital, Duke Health Raleigh Hospital, Duke Health Community Care, Patient Revenue Management Organization, the Health System Clinical Laboratories, Duke University Affiliated Physicians, Duke Ambulatory Surgery Center, and the Health System Administration.

Federal Contract Compliance Programs

Executive Order 11246, as amended, prohibits federal contractors and subcontractors from discriminating in employment decisions on the basis of race, color, religion, sex, or national origin. The Executive Order also requires federal contractors to take affirmative action to ensure that equal opportunity is provided in all aspects of their employment practices.  The U.S. Department of Labor (DOL) has designated the Office of Federal Contract Compliance Programs (OFCCP) to administer and enforce Executive Order 11246.

Each federal contractor with 50 or more employees, and $50,000 or more in government contracts, is required to develop a written Affirmative Action Plan (AAP) which details the affirmative action program for each of its establishments.  An affirmative action program is required of Duke University and Duke University Health System because Duke receives federal funds, and is therefore, a “federal contractor.”  The AAP is updated annually.  The Plan is not filed with a specific government agency, but is retained on the premises for examination by the OFCCP, and possibly other agencies, for the purposes of conducting compliance reviews.  An AAP must be developed for the following groups:

1. Minorities and women (41 CFR 60-1 and 60-2);
2. Special disabled veterans, Vietnam era veterans, and other covered veterans 41 CFR 60-250); and
3. Individuals with disabilities (41 CFR 60-741).

The regulations define an AAP as a set of specific and result-oriented procedures to which a contractor commits to apply every good faith effort.  The AAP is developed by the contractor to assist in a self-audit of its workforce, and to monitor progress in equal opportunity and affirmative action initiatives.

Affirmative Action Plan for Women & Minorities

The Executive Order and its supporting regulations do not authorize OFCCP to penalize contractors for not meeting goals.  The regulations at 41 CFR 60-2.12(e), 60-2.30 and 60-2.15 specifically prohibit quotas, and preferential hiring and promotions under the guise of affirmative action numerical goals.  In other words, discrimination in the selection decision is prohibited.  For Definitions of Commonly Used Terms, see ‘Resources’ Section.

Administration of the Affirmative Action Program 

The Office for Institutional Equity (OIE) is responsible for developing the University Affirmative Action Plans, in collaboration with the various departments of the University. The OIE also provides assistance and resources to departments in complying with the requirements and in implementing the Plan.

In recognition of the management responsibility detailed in the policy statements above, the University has provided a copy of the Plan to each organizational unit of the University. The Plan is also available for review upon request.

Divisional responsibilities are coordinated by the following persons: Faculty

Arts and Sciences: 
Charles W. Byrd, Jr., Ph.D.
Associate Dean, Academic Affairs
(919) 681-8294
charles.byrd@duke.edu

School of Medicine:       
Joseph M. Corless, M.D., Ph.D.
Vice Dean, Faculty & Academic Affairs
(919) 684-3633
corle001@mc.duke.edu

Professional Schools:     
Deans or the designated staff

Corporate Human Resources:
Linda B. Hendricks
Assistant Vice President
(919) 684-1513
linda.hendricks@duke.edu

Academic and Administrative Units:

Human Resources Managers or designated staff

Affirmative Action Programs for Veterans and Individuals with Disabilities   

Overview

The University’s Affirmative Action Plan for Veterans and Individuals with Disabilities meets the obligations created by federal statute, and also represents the University’s goals and ideals to recruit and advance qualified minorities, women, persons with disabilities, and qualified veterans.

Affirmative action is a set of positive steps that employers use to promote equal employment opportunity, and to eliminate discrimination. It includes expanded outreach, recruitment, mentoring, training, management development, and other programs designed to help employers hire, retain, and advance qualified workers from diverse backgrounds, including veterans and persons with disabilities. In compliance with federal regulations, Duke University develops written Affirmative Action Plans, and implements programs and practices to promote equal opportunity and to enhance diversity.

The Office of Federal Contract Compliance Programs (OFCCP), an agency of the Department of Labor (DOL), monitors contractor and subcontractor compliance with the non-discrimination and affirmative action provisions.
For Definitions of Commonly Used Terms, see "Resources" section.

Laws and Regulations

Relevant laws and regulations include:

Laws

29 USC §793 - Rehabilitation Act of 1973
38 USC §4212 - Vietnam Era Veterans' Readjustment Assistance Act (VEVRAA), 1974

Regulations

41 CFR Part 60-250 – Affirmative Action and Non-discrimination Obligations of Contractors and Subcontractors Regarding Special Disabled Veterans and Veterans of the Vietnam Era.

41 CFR Part 60-741 – Affirmative Action and Non-discrimination Obligations of Contractors and Subcontractors Regarding Individuals with Disabilities.

Rehabilitation Act of 1973 (29 USC §793). For the past two decades, OFCCP has enforced Section 503 of the Rehabilitation Act of 1973, as amended, (Section 503), which requires federal contractors and subcontractors with Government contracts in excess of $10,000, to take affirmative action to employ and advance in employment, qualified individuals with disabilities.

Additionally, since 1992, the OFCCP has had coordinating authority under Title I of the Americans with Disabilities Act (ADA) of 1990, which prohibits job discrimination by employers with 15 or more employees, against qualified individuals with disabilities. The Equal Employment Opportunity Commission (EEOC) has primary authority for enforcing the ADA. Most government contractors are covered by both Section 503 and the ADA.

Section 503 and the ADA cover persons with a wide range of mental and physical impairments, which substantially limit or restrict a major life activity, such as hearing, seeing, speaking, walking, breathing, performing manual tasks, caring for oneself, learning, or working. Section 503 and the ADA also protect qualified individuals with records of substantial mental or physical disabilities. Veterans and individuals who have recovered from disabilities may face job discrimination because of their past medical records.

Finally, individuals who are perceived as having disabilities when in fact, they do not, are protected by Section 503, and the ADA, as well. Only qualified individuals with disabilities are protected by Section 503 and the ADA. The person must have the necessary education, skills, or other job-related requirements. The person also must be able to perform the essential functions of the job - the fundamental job duties of the position he or she holds or desires - with or without reasonable accommodation. Reasonable Accommodation involves making adjustments or modifications in the work, job application process, work environment, job structure, equipment, employment practices, or the way that job duties are performed, so that an individual can perform the essential functions of the job.

Vietnam Era Veterans' Readjustment Assistance Act of 1974 (38 USC §4212). The law requires that employers with Federal contracts or subcontracts of $25,000 or more, provide equal opportunity and affirmative action for Vietnam era veterans, special disabled veterans, or veterans who served on active duty during a war or in a campaign or expedition, for which a campaign badge has been authorized.

Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA). The Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA) was signed into law on October 13, 1994. USERRA clarifies and strengthens the Veterans' Reemployment Rights (VRR) Statute. USERRA is intended to minimize the disadvantages to an individual that occur when that person needs to be absent from his or her civilian employment to serve in the military.

Enforcement and Compliance

Individuals, who believe they have been discriminated against on the basis of their disability by federal contractors or subcontractors, may file complaints with the Office of Federal Contract Compliance Programs (OFCCP). Disability discrimination complaints may also be filed by the authorized representatives of the person, or persons affected. The complaints must be filed within 300 days from the date of the alleged discrimination, unless the time for filing is extended by OFCCP for good cause.

OFCCP also investigates the employment practices of Government contractors by conducting compliance reviews. During a compliance review, compliance officer checks personnel, payroll, and other employment record; interviews employees and company officials; and investigates virtually all aspects of employment. The investigator also checks to see whether the contractor is making special efforts to achieve equal opportunity through affirmative action.

If a covered veteran believes he/she has been discriminated against by a Federal contractor or subcontractor, he or she may file a complaint. Complaints may be filed with the Office of Federal Contract Compliance Programs (OFCCP), or through the local Veteran's Employment Representative at a local State employment service office.
If any covered veteran believes a contractor of the United States has failed to comply or refuses to comply with contract provisions relating to the employment of veterans, the veteran may file a complaint with OFCCP.

 Policies and Procedures

Duke University continues to develop procedures and practices necessary to implement its Affirmative Action Program for Veterans & Individuals with Disabilities. The Disability Management System (DMS) collaborates with the Office of Human Resources to review its employment procedures, to ensure careful, thorough, and systematic consideration of the job qualifications of applicants and employees who are known to be individuals with disabilities, for decisions regarding hiring, promotion, participation in training opportunities, and all other personnel actions.

Recruitment

Duke University submits its job listings with the North Carolina Employment Security Commission (ESC), although the ESC does not currently have the capacity to post all of the University’s open positions to the larger public. The Office of Federal Contract Compliance Program (OFCCP) is currently developing an electronic job posting system with the Veterans Employment and Training Service, and the University will file job listings with that service when it becomes available.

Employment opportunities are publicized in a variety of media, including hard copy and the Internet. Each employing unit is encouraged to consult with the Recruitment Division for recruitment sources, and the use of outreach media. Disability Management System and Human Resources Information System (DMS/HRIS) collaboration has improved accessibility to job opportunity information posted on the HR website. TTY (text telephone for hearing impaired) access to listings is available through Telecommunications Relay Service (TRS). Additionally, the University routinely consults with a Rehabilitation Engineer to ensure access to information for all staff with disabilities.

Job listings are sent to organizations of or for individuals with disabilities, including Vocational Rehabilitation and Disabled Veterans. External agencies are requested to refer applicants, in accordance with University procedures. A collaborative relationship has been developed between Duke University and North Carolina Blind and Visual Services, State of North Carolina Department of Health and Human Services, and Division of Services for the Deaf and the Hard of Hearing. These collaborations reaffirm the University’s commitment to effective recruitment and accommodations for applicants and employees with disabilities. Training sessions are periodically offered for Human Resources recruitment staff to reinforce the University’s policy and procedures.

University guidelines for employment of individuals with disabilities include, but are not limited to the following:

1. Each employing unit must consider an applicant in terms of the essential elements of the job necessary to performing the job competently, with or without reasonable accommodation;

2. An individual with a disability who cannot perform the essential functions of the job, with or without reasonable accommodation, is not otherwise qualified;

3. Applicants for all positions must be given the opportunity to request reasonable accommodations in order to ensure access to the employment application process;

4. Any determination of disability status shall be in accordance with the affirmative action obligations of the University, and shall follow the process for requesting exploration of possible coverage and reasonable accommodations. All medical information will comply with all applicable confidentiality requirements.

5. Job analysis process is implemented and monitored by Human Resource’s Rewards and Recognition Department, on a case-by-case basis, allows for a thorough review of physical or mental requirements for all jobs, to avoid screening out qualified individuals with disabilities.

6. The Office of Human Resources and the DMS provide assistance to employing units to facilitate the reasonable accommodations process; and

7. Transfer candidates shall be assigned a recruitment transition coordinator to provide consultation during the transfer process.

Training of Personnel Involved in Selection

Administrators and other staff with responsibilities for employment, placement, and transfer or promotion processes, periodically receive training on applicable equal opportunity law, the Equal Opportunity Policy, and the Affirmative Action Policy for Veterans and Individuals with Disabilities. Training on Affirmative Action Practices and Procedures is available to all employees, including, but not limited to those in Human Resources.
To assist departments in understanding the Reasonable Accommodations Process, the Office for Institutional Equity also offers educational programs.

Physical and Mental Qualifications and Examinations

Duke University monitors and reviews, on a case-by-case basis, all physical and mental job qualifications when a position is submitted for review, to ensure that such qualifications are job-related, are consistent with business necessity, and ensures safe performance of the job. The Office of Human Resources reviews position qualifications when new positions are established, and in collaboration with OIE and DMS, is developing a systematic way to review positions when current positions are submitted for review.

Confidentiality

The University complies with Title I Regulations 1630.13, and 1630.14, regarding prohibited medical examinations and inquiries. Information concerning a disability or medical history of an employee is accorded the same confidentiality as medical records.

Consistent with the University’s reasonable accommodation process, such information is collected and maintained on separate forms, and in separate and secure files at the Office of Employee Occupational Health and Wellness.

Consistent with Title I of the Americans with Disabilities Act, medical information may be disclosed in following conditions:

1. First aid and safety personnel who may be required to provide emergency treatment due to the employee’s disability or medical condition;

2. Authorized representatives of government agencies and other organizations investigating compliance with applicable laws, or involved in the University’s internal grievance procedure; and

3. Supervisors will be informed only of the necessary restrictions on the work or duties of the employee, and resulting necessary accommodations.

Compensation and Benefits

The University will not reduce the amount of compensation offered for a position due to veterans’ benefits, disability income, or any pension or other benefit the applicant or employee receives from another source.

Self-Identification

An Invitation to Self-Identify for veteran and/or disability status is distributed to all new employees during orientation, and annually to all employees. This invitation is also posted in selected employee work areas, and in the various Human Resources offices. Self-identification is voluntary, and no employee is subject to adverse treatment for either providing, or declining to provide information. Self-identification data collected by the OIE is kept confidential to the extent permitted by law. When applicable, the Reasonable Accommodation Process is initiated following self-disclosure.

Self-identification Forms can be downloaded from link in www.access.duke.edu website .

Reasonable Accommodation Procedure

Consistent with Title I of the ADA, the University shall make reasonable accommodation to the known physical or mental disability of an otherwise qualified applicant or employee, unless the accommodation or request for services would impose an undue hardship on the employing unit. Information related to practices/procedures for employees with disabilities is posted on the Disability Management System web site at www.access.duke.edu. When applicable, the Job Accommodation Network (JAN) is consulted during the Reasonable Accommodation Process.

The Reasonable Accommodation Process (RAP), following the guidelines established by Title I of the ADA, is a collaborative and interactive process between the staff member, the manager/supervisor/department head, the Coordinator of Employment and Public Reasonable Accommodations, Employee Occupational Health and Wellness (EOHW), and other appropriate personnel.

When the staff member requests an accommodation, the manager/supervisor/department head provides the staff member with a copy of the Reasonable Accommodation Request Form, and guidance in the evaluation process.

The staff member is then responsible for the following:

(1) Forwarding the completed Reasonable Accommodation Request form to the Coordinator, Employment and Public Reasonable Accommodations; and

(2) Forwarding the Healthcare Provider Medical Information Request Form and all pertinent medical and/or psychological documentation regarding his/her impairment to Dr. George Jackson at Employee Occupational Health and Wellness, either via fax, 684-1852, or campus mail at Box 3148 DUMC. (Please see documentation guidelines at www.access.duke.edu.)

Scope of the Process

Pursuant to Title I of the ADA, it is not necessary to provide an accommodation, if doing so would cause an undue hardship; e.g., unduly costly, extensive, substantial, disruptive, or would fundamentally alter the nature or operation of the department or unit. Some temporary jobs become available on short notice, and last only a brief period of time, during which certain tasks must be completed. In such cases, undue hardship may apply since the work assignment has to be filled on short notice and the accommodation cannot be provided quickly enough to enable a temporary employee to begin or complete the temporary work assignment in a timely manner. (EEOC Enforcement Guidance: Application of the ADA to Contingent Workers Placed by Temporary Agencies and Other Staffing Firms.)

Regulations permit the University to require that an individual not pose a direct threat to the health or safety of the individual or others in the workplace. A “direct threat” means a significant risk of substantial harm. Determination that a staff member who has initiated the Reasonable Accommodation Process poses a direct threat is made through Employee Occupational Health and Wellness (EOHW), or other qualified personnel.

Additionally, temporary, non-chronic impairments of short duration, with little or no long term or permanent impact, are usually not disabilities. Such impairments may include, but are not limited to broken limbs, sprained joints, concussions, appendicitis, and influenza.

Employee Occupational Health and Wellness (EOHW) may need to contact appropriate healthcare providers to determine if the staff member meets the definitional requirements of a disability under ADA and, if so, to identify any functional limitations related to the job.

The Coordinator, Employment and Public Reasonable Accommodations explore possible accommodations with appropriate resources which may include, but not be limited to the Job Accommodation Network. Possible accommodations are reviewed with the manager, supervisor, and department head, before a final offer of reasonable accommodations is made to the staff member.

If the staff member is dissatisfied with the reasonable accommodations process or the outcome, he/she may contact the Office for Institutional Equity to initiate the complaint process.

Consistent with Title I of the ADA and the University’s Reasonable Accommodation Process, medical documentation may be required of an employee who self-identifies as having a disability, and requests accommodation. Any information obtained from such medical inquiries must be consistent with job necessity, and established University medical and psychological documentation criteria.

An Assistive Technology Lab and Lending Library have been developed for employees who are blind or have visual disabilities, are deaf or hard of hearing, have mobility impairments, or learning disabilities. Examples of devices and equipment available are the following: refreshable Brailler, JAWS software, Zoomtext, Assistive Listening Devices, CCTV, and scanning software and hardware. Assistive Technology specialists, or rehabilitation engineers, are hired to facilitate training, including scripts for JAWS.

Reasonable accommodations are explored during the application process for qualified individuals with disabilities. The Offices of Human Resources, Disability Management System, and the applicant collaborate in exploring appropriate reasonable accommodations.

Publications

Where applicable, publications produced by Duke University contain an alternative format statement, and one of two accommodation statements (Appendix C).

Medical Examinations and Pre-employment Inquiries

Pursuant to the regulations, Duke does not require medical examinations or makes inquiries as to whether an applicant or employee is an individual with a disability, or as to the nature or severity of such disability. However, the regulations allow pre-employment inquiries into the ability of an applicant to perform job-related functions. An applicant may be asked to describe or demonstrate their ability to perform the essential functions of the job, with or without reasonable accommodations.

For selected positions, the University and Health System administers placement health reviews, following an offer of employment. The majority of these positions are in the Health System, and a few research-related positions at the Medical School. Such health reviews are classification-specific, as defined by Employee Occupational Health and Wellness (EOHW), and are designed to ensure that the applicant has no health limitations which would endanger his/her health in the worksite, or create liability for the University. All medical records are maintained at EOHS; information is kept confidential, and is not shared with managers. Managers receive notification that indicate ‘acceptable for hire,’ ‘not acceptable for hire,’ or ‘hire with specific accommodations.’

In addition to the placement health reviews, periodic surveillance health reviews are conducted for incumbent employees in selected jobs. These reviews are administered to ensure that the employee’s health has not been affected by the job, to comply with regulatory requirements, to limit health risk to patients, students, staff, and work products, and to minimize the University’s exposure to liability. Guidelines for health reviews vary by the nature and risk factors related to the job.

Record Keeping, Audit, and Reporting Systems

The Disability Management System (DMS), the Office for Institutional Equity (OIE), and the Office of Human Resources, monitor applicant and employee data for individuals who have self-identified as having a disability, and indicated the need for reasonable accommodations. The University retains all records relating to employment decisions for a period of three years from the date the record was made, or the date of the selection decision, whichever occurs first. These records may include advertisements, postings, applications, resumes, interview notes, tests, test results, and requests for accommodation.

Additionally, OIE submits annual Vets 100 Reports to the United States Department of Labor, documenting the representation of special disabled veterans, Vietnam era veterans, and other protected veterans in the Duke University workforce.

Discrimination Grievance Procedures

An employee or applicant for employment may file a complaint of discrimination or harassment, based on veteran and/or disability status in violation of the University’s Equal Opportunity Policy or Affirmative Action Policy or Program for Veterans and Individuals with Disabilities. The procedure for the handling of disability discrimination grievances is posted on the Disability Management System website at
www.access.duke.edu/procedures_grievance.asp.

The full text of the grievance procedure is included in Appendix D. Complaints may also be filed with external agencies, the Office of Federal Contract Compliance Programs (OFCCP), Office for Civil Rights (OCR), and the Equal Employment Opportunity Commission (EEOC), in accordance with the guidelines set forth by those agencies.