UNITED STATES DEPARTMENTOF EDUCATION
OFFICE FOR CIVIL RIGHTS
400 MARYLAND AVF.NUE,SW
WASHIN<.,i"ON,DC 20202-1475

KEGJONXI
NORTii CAROLINA
SOUTII CAROLINA
VIRGINIA
WASHINGTON. DC

August 11, 2016
Dr. Richard H. Brodhead
President
Duke University
207 Allen Building, Box 90001
Durham. North Carolina 27708
Re:

OCR Complaint No. 11-16-2026
Notification/Data Request Letter

Dear Dr. Brodhead:
The Office for Civil Rights (OCR) of the U.S. Department of Education (the Department)
received a complaint on October 27, 2015 against Duke University (the University). The
Complainant alleges that the University discriminated against her on the basis of sex, race, and
national origin, and subjected her to retaliation. Specifically, the complaint alleges that:
1. The University failed to promptly and equitably respond to the Complainant's complaint

of sexual assault and, as a result, the Complainant was subjected to a hostile environment.
2. The University failed to respond to the complaints of sex discrimination, national origin
discrimination race discrimination
· t the
(b)(6); (b)(7(C)

beginning on or about

(b)(6); (b)(7(C)

OCR will contact the University to provide the name of the Complainant.
OCR enforces Title IX of the Education Amendments of 1972 (Title IX) and its implementing
regulation at 34 C.F.R. Part 106, which prohibit discrimination on the basis of sex in any
program or activity receiving Federal financial assistance from the Department. OCR also
enforces Title VI of the Civil Rights Act of 1964 (Title VI) and its implementing regulation at 34
C.F.R. Part 100, which prohibit discrimination on the basis of race, color, or national origin in
any program or activity receiving Federal financial assistance from the Department. The laws
enforced by OCR prohibit retaliation against any individual who asserts rights or privileges
under these laws or who files a complaint, testifies, or participates in an OCR proceeding.
Because the University receives Federal financial assistance from the Department, OCR has
jurisdiction over it pursuant to Title IX and Title VI.
Because OCR determined that it has jurisdiction and that the complaint was timely filed, OCR is
opening the complaint for investigation. Please note that opening the complaint for investigation
in no way implies that OCR has made a determination on the merits of the complaint. During
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 Page 2- OCR Complaint No. 11-16-2026
the investigation, OCR is a neutral fact-finder, collecting and analY7.ingrelevant evidence from
the Compl ainant, the University, and other sources, as appropriate. OCR will ensure that its
investigation is legally sufficient and fully responds to the a1legation in accordanc e with the
pro visi ons of the Case Processing Manual, available at http: //www.ed.gov /ocr/docs/ocrcpm.pdf.
Our goal is the prompt, appropriate resolu tion of the complaint. Infonnation on OCR's
complaint processin g procedur es is available at http://www.ed .gov/ocr/complaints-how.html.
Attac hed is a requ est for data necessary to investiga te this compl ain t. OCR requests that the
Un iversity submit this information within 30 calendar days of the date of this letter (i.e., by
September l 0, 2016) . We prefer that you submit infonnation electronic ally, if feasible. If any
item in our request is unclear , or if you experi enc e any difficulty complying with th1s request ,
please contact us as provided below prior to the expiration of the 30-day period. Pleas e be aware
that OCR anticipates conducting an on -site investig ation of the complaint. We will notify you in
advance of our propo sed plan s to visit the University.
Plea~e be advised that the University iµu st not har ass, coerce , intimidate, discriminate, or
otherwise retaliate against an individual because that individu al asserts a right or privilege under
a law enforced by OCR or files a com plaint, .testifi es, or parti cipat es in an OCR proceeding. If
this happ ens, the indi vidual may file a retaliation comp laint with OCR.
Under the Freedom of Informa tion Act, it may be necessary to release this docum ent and related
corres pond ence and records upon request. If OCR receive s such a requ est, we will seek to
protect per sonally identifiable information that could reasonably be expected to constitute an
unwarranted invasion of personal privacy if released , to the extent provided by law .
We look forward to your coope ration during the resolunon of this complaint. lf you have any
questions, please contact Jean ette Tejad a Bustos, an OCR attorney assigned to thi s case, at (202)
4 53-6907 or jeanette .tejadabustos@ed.g ov ; or Letis ha Mor gan, Supervisory Team Leade r, at
(202) 453_-7 132 or lctisha.morgan(@ed.gov.

ensel
Supervisory Attorney
District of Colwnbia Office
Office for Civil Righ ts

 Page 03 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 Page 04 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedo m of Inf ormation and Privacy Act

 Page 05 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 Page 06 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 Page 07 of 12
Withheld pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 Page 08 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 Page 09 of 12
Withhel d pursuant to exemption

(b)(7)(A)
of the Freedom of Inf ormation and Privacy Act

 UNITED STATESDEPARTMENTOF EDUCATION
OFFICE FOR CIVIL RIGHfS

REGIONXI
NORTH CAROLINA
SOUTH CAROLINA

400 MARYLAND AVENUF.,SW
WASHINGTON, DC 20202-1475

VIRGINIA
WASHINGTON,DC

August 1 l, 2016

(b)(6); (b)(7(C)

RE:
DeaJ

OCR Complaint No. 11-16-2026
Notification Letter/Partial Dismissal

<b)(6); (b)(7(C)

On October 27, 2015, the U.S. Department of Education, Office for Civil Rights (OCR) received
the above-referenced complaint against Duke University (the University). You allege that the
University discriminated against you based on your sex, race/national origin, and age, and that it
subjected you to retaliation. Specifically, the complaint alleges that:
1.

The University failed to promptly and equitably respond to your complaint of sexual
assault and, as a result, you were subjected to a hostile environment.

2.

The University failed to respond to the complaints of sex discrimination, national ori ·n
discrimination, race discrimination, and retaliation that ou made a ainst the (b)(5 ); (b)(?(C)
the (b)(6); (b)(7(C)
beginning on or

3.

of your age when it failed to respond
The University treated you di~~~~u.u.i;...ua.:iis
to your complaints against th (bl( 5 ); (b)(?(C)
that you made beginning on or about
J(b)(6); (b)(7(C)

4.

The

i

(b)(6); (b)(7(C)

harasse you on e as1so your sex and age when she called you a' (b)(6);
you that you were different because of your age, on or about l <b)(6); (b)(7(C)

5.

The University retaliated against

ou on

(b)(7(

I

and told

(b)(6); (b)(7(C)

(b)(6); (b)(7(C)

If you disagree with the way OCR stated your allegation, please contact the OCR staff persons
identified below within IO days of the date of this letter.
OCR enforces Title IX of the Education Amendments of 1972 (Title IX) and its implementing
regulation at 34 C.F.R. Part 106, which prohibit discrimination on the basis of sex in any
111eDepnr/me11t
of Ed,wttio11's111issio11
is toprouwtestudent ncltievemeutrmdprepamtio11
for globalcompetitive,ress
byfosteringeducationalexcelle11ce
nnd ensmirlgeq11nl
access.
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 Page 2 of 3 - OCR Complaint No. 11-16-2026
program or activity receiving Federal financial assistance from the Department. OCR also
enforces Title VI of the Civil Rights Act of 1964 (Title VI) and its implementing regulation at 34
C.F.R. Part I 00, which prohibit discrimination on the basis ofrace, color, or national origin in
any program or activity receiving Federal financial assistance from the Department. OCR
enforces the Age Discrimination Act of 1975 (the Age Act) and its implementing regulation at
34 C.F.R. Part 110, which prohibit discrimination on the basis of age in any program or activity
receiving Federal financial assistance from the Department. The laws enforced by OCR prohibit
retaliation against any individual who asserts rights or privileges under these laws or who files a
complaint, testifies, or participates in an OCR proceeding. Because the University receives
Federal financial assistance from the Department, OCR has jurisdiction over it pursuant to Title
TX,Title VI, and the Age Act.
Because OCR determined that it has jurisdiction and that the allegation was timely filed, OCR is
opening Allegations 1 and 2 for investigation. Please note that opening the allegations for
investigation in no way implies that OCR has made a determination on the merits of the
allegation. During the investigation, OCR is a neutral fact-finder, collecting and analyzing
relevant evidence from you, the University, and other sources, as appropriate. OCR will ensure
that its investigation is legally sufficient and fully responds to the allegation in accordance with
the provisions of the Case ProcessingManual, available at http://www.ed.gov/ocr/docs/
ocrcpm.html.
After carefully reviewing the information you provided, OCR determined that we will not
investigate Allegations 4 and 5.
With regard to Allegation 3, OCR is required by the regulation implementing the Age Act to
forward age discrimination allegations to the Federal Mediation and Conciliation Service
(FMCS) for attempted mediation between the parties (in this case, you and Duke University). A
representative from FMCS should be contacting you shortly.
The Age Act regulation allows FMCS 60 days after a complaint is filed with OCR to mediate a
complaint. During that period, both parties participate in the mediation process to the extent
necessary to reach an agreement or to make an informed judgment that an agreement is not
possible. All information obtained in the course of the mediation will be confidential to the
mediating parties. If FMCS does not resolve the complaint within 60 days from the date of filing
with OCR, OCR will resume processing the allegation.
Also, please be advised that you may file a civil action under the Age Discrimination Act in
federal court, but only after you have exhausted your administrative remedies. Your
administrative remedies have been exhausted when either of the following has occurred: (1) 180
days have elapsed since the filing of your complaint with OCR, and OCR has made no finding;
or (2) OCR issues a finding in favor of the Duke University. If you have any questions or need
additional information concerning the FMCS mediation process, feel free to contact the ADR
·
Program Coordinator at (202) 606-5444.
With regard to Allegations 4 and 5, OCR is dismissing these allegations because they were not
filed in time. As explained in Section 106 of OCR's Case Processing Manual, OCR generally
will take action only with respect to allegations that are filed within 180 days of the act of
alleged discriminatio11-.You filed this complaint on October 27, 2015, more than 180 days after

 Page 3 of3 -OCR Complaint No. 11-16-2026
the University allegedly discriminated against
retaliated against you on J<b)(6); (b)(7(C)

I

you

based

on

your age

o~ <bl(5); (b)(?(C)

!and

You requested a waiver of the 180-day filing requirement. You contend that you did not file a
complaint earlier because you stated you were acting in good faith "to utilize university level
grievance processes" to address your concerns and remove damages. OCR may grant a waiver if
the complainant filed a complaint alleging the same discriminatory conduct witl1in the 180-day
period with another civil rights enforcement agency, with a court, or through internal grievance
procedures or due process procedures, and the complainant files the OCR complaint within 60
days of the completion of that process. The information you provided indicates that you do not
qualify for a waiver because your complaint to the University did not allege the same
discriminatory conduct as your OCR complaint Therefore, OCR cannot grant a waiver on this
basis. Accordingly, OCR has dismissed Allegations 4 and 5, effective the date of this letter.
For the reasons explained above, OCR is dismissing Allegations 4 and 5, as of the date of this
letter and will take no further action on these allegations. However, as noted above, we are
opening an investigation of Allegations 1 and 2, and wi11be forwarding Allegation 3 to FMCS.
This letter sets forth OCR's determination in an individual OCR case. This letter is not a formal
statement of OCR policy and should not be relied upon, cited, or construed as such. OCR 's
formal policy statements are approved by a duly authorized OCR official and made available to
the public. The complainant may have the right to file a private suit in federal court whether or
not OCR finds a violation.
Please be· advised that the University must not harass, coerce, intimidate, discriminate, or
otherwise retaliate against an individual because that individual asserts a right or privilege under
a law enforced by OCR or files a complaint, testifies, or participates in an OCR proceeding. ff
this happens, the individual may file a retaliation complaint with OCR.
Under the Freedom of Information Act, it may be necessary to release this document and related
correspondence and records upon request. If OCR receives such a request, we will seek to
protect personally identifiable information that could reasonably be expected to constitute an
unwarranted invasion of personal privacy if released, to the extent provided by law.
If you have any questions, please contact Jeanette Tejada Bustos, an OCR attorney assigned to
this case, at (202) 453-6907 or jeanette.tejadabustos@ed.gov; or Letisha Morgan, Supervisory
Team Leader, at (202) 453-7132 or letisha.morgan@ed.gov.

avid Hensel
Supervisory Attorney
District of Columbia Office
Office for Civil Rights