Skip to main content

Archived Newly Added

Added: February 16, 2022; effective: September 1, 2022

The Data Classification Policy is established to safeguard all information for which Northwestern University is responsible, and requires categorization of data based on the impact of disclosure, loss, unauthorized access, or destruction of such data. This Policy is fundamental and foundational to formalize the governance and classification of data at Northwestern and to meet the university's legal and regulatory commitments.

Please direct questions regarding this policy to:

Information Security Policy

Added: December 22, 2021; effective: January 1, 2022

The Information Security Policy is established to ensure the protection of all technologies and data for which Northwestern is responsible, as well as establish the requirement to follow all forth coming information security standards, guidelines, and practices in order to align implementation of privacy, security, regulatory, and contractual requirements bestowed upon or accepted by the University.

Please direct questions regarding this policy to:

Digital Accessibility Policy

Added: May 25, 2021; effective: September 1, 2021

The Digital Accessibility Policy is established to enable digital access and improve the user experience for individuals with disabilities when accessing University websites and other digital content, conforming with the requirements of the Americans with Disabilities Act, and Section 504 of the Rehabilitation Act of 1973.

Please direct questions regarding this policy to:

Policy on Acceptance of Gifts and Hospitality

Added: May 25, 2021; effective: July 1, 2021

The policy on Acceptance of Gifts and Hospitality from External Parties provides guidelines on accepting Gifts and Hospitality from external sources when that offer could be perceived as seeking favor, or creates even the perception that a University business decision was biased by personal gain. In addition the Policy, FAQs were developed to provide example scenarios.

Note: This Policy does not apply to charitable gifts to the institution managed by Alumni Relations and Development.

Please direct questions regarding this policy to:

Diverse Candidate Slates

Added: May 25, 2021; effective: June 14, 2021

The Diverse Candidate Slates policy was established as a component of broader social justice initiatives at Northwestern. This policy establishes procedures that support equitable and inclusive recruitment processes, broaden existing sources of talent for recruitment across the University, and mitigate the historic adverse impact of bias on Underrepresented groups in the recruitment and selection process.

Please direct questions regarding this policy to:

Policy on COVID-19 Alternative Work Arrangements

Updated April 29, 2021. Note that this policy was fully sunset September of 2021.

The Policy on COVID-19 Alternative Work Arrangements has been updated. The revised policy includes information about a phase-out period for the policy beginning June 20, 2021, with an end date between July 31 and September 3.

A new Policy on Alternative Work Strategies has been posted, and is effective July 6, 2021.

Further information regarding alternative work arrangements is available on the COVID-19 and Campus Updates website.

Please direct questions regarding this policy to:

Travel and Entertainment Policy

Added October 15, 2020

The University's Travel and Entertainment Policy has been revised, incorporating feedback from campus constituents and streamlining the policy for easier use and interpretation. The revision also updates several limits and thresholds. The policy is supplemented with several procedural webpages, which can be found on the University's Travel website.

The revised policy is in effect as of October 15, 2020. However many sections of the Travel and Entertainment policy must be interpreted in the context of the current COVID-19 pandemic and related University cost containment measures.

Please direct questions regarding this policy to:

Amanda Distel
Senior Associate Vice President for Finance & Treasurer
(847) 491-7350
amanda.distel@northwestern.edu

Luke Figora
Senior Associate Vice President, Chief Risk and Compliance Officer
(847) 491-7696
luke.figora@northwestern.edu

Demonstration Policy

Added August 20, 2020

The University has updated its Demonstration Policy, with some revisions based on student feedback. The policy now includes a link to a document that addresses students' frequently asked questions related to the policy.

Please direct questions regarding this policy to:

Mearah Quinn-Brauner
Director for Strategy and Policy
(847) 467-5895
mearah@northwestern.edu

Lucas J. Christain
Assistant Dean, Director of Community Standards
(847) 467-5078
lucas.christain@northwestern.edu

Policy on Institutional Equity/Interim Policy on Title IX Sexual Harassment

Added August 14, 2020

On May 6, 2020, the United States Department of Education issued its Final Rule of Title IX Sexual Harassment, effective August 14, 2020. These regulations required schools to make changes to their policy and procedures for certain types of sexual misconduct. In response, Northwestern has updated its policies accordingly.

For further information regarding these policies, please visit the Office of Equity website.

Please direct questions regarding this policy to:

Colleen Johnston
Director, Sexual Misconduct Response and Resources and Title IX Coordinator
(847) 491-3881
colleen.johnston@northwestern.edu

Policy on COVID-19 Alternative Work Arrangements

Added July 1, 2020

As part of the University's phased return to campus, Northwestern has established a Policy on COVID-19 Alternative Work Arrangements. The policy provides guidelines, protocols, and standards for faculty and staff to request alternative work arrangements during the ongoing global pandemic. Additional information and resources are available on Northwestern's COVID-19 and Campus Updates website.

Please direct questions regarding this policy to:

Return to Campus Policy

Added June 1, 2020

Northwestern has instituted a Return to Campus Policy, which provides guidelines to mitigate the risks of spread of COVID-19 as faculty, staff, and students return to campus during the ongoing global pandemic.

This policy is subject to frequent change with the introduction of additional public health guidelines from local, state, and federal authorities. The policy, as well as additional resources, can be found on Northwestern's COVID-19 and Campus Updates website.

The following individuals can address questions regarding this policy:

Luke Figora
Senior Associate Vice President, Chief Risk and Compliance Officer
(847) 491-7696
luke.figora@northwestern.edu

Gwen Butler
Director, Environmental Health and Safety
(847) 491-4936
gwen.butler@northwestern.edu

Policy for Sponsored Projects Impacted by COVID-19

Added March 27, 2020

In light of the recent notices from the Office of Management and Budget and Federal sponsors, Northwestern has amended the Charging Sponsored Projects Policy. The Amendment to Charging Sponsored Projects: Policy for Sponsored Projects Impacted by COVID-19 sets forth the guiding principles for determining whether it is appropriate to charge a given cost to a sponsored project related to or affected by COVID-19.

The following individual can address questions regarding this policy:

Jennifer Mitchell
Associate Executive Director, Office of Research Financial Operations
(847) 467-2473
jmitchell@northwestern.edu

Employees in Essential Functions and Positions

Added March 17, 2020

Northwestern recently revised its policy on Employees in Essential Functions and Positions. The revised policy reflects updated definitions, office names, and functions and provides clarity about the procedure used to determine essential functions.

For questions about this policy please contact the Office of Human Resources:

(847) 491-7505 (Evanston)
(312) 503-2641 (Chicago)
jennifer.leitel@northwestern.edu

Institutional Conflict of Interest in Research Policy

Added February 18, 2020

Northwestern recently updated its Institutional Conflict of Interest in Research Policy, which governs instances where Northwestern has a financial investment in a company that is pursuing a research project with the University. The revised policy outlines updated procedures for managing conflicts while supporting entrepreneurial activity at Northwestern.

Please direct questions regarding this policy to:

Northwestern Conflict of Interest Office (NUCOI)
(847) 467-4515
nucoi@northwestern.edu

Policy on Discrimination and Harassment

Added September 11, 2019

The University recently revised its Policy on Discrimination and Harassment in order to provide clarity, enhance transparency, and bring the Policy more in line with the policy, procedures, and resources set forth in the University's Policy on Sexual Misconduct. Key revisions include:

  • Clarification of the definitions of discrimination and harassment, including examples of each;
  • Procedural enhancements to the investigation process, including implementing a report review process; and
  • Inclusion of resources for individuals impacted by concerns related to discrimination and harassment.

Individuals experiencing discrimination or harassment due to a protected category may always contact the Office of Equity to receive support, resources, and information even if they do not wish to move forward with the Complaint Resolution Process described in the Policy. As noted in the Policy, there are also many confidential on and off-campus resources available to our community.

Northwestern remains committed to fostering a culture of access, belonging and accountability. If you have questions or would like to learn more, please visit the Office of Equity's website at https://www.northwestern.edu/equity/ or call (847) 467-6165.

Policy on Sexual Misconduct

Added September 11, 2019

The University recently revised its Policy on Sexual Misconduct. Each year, the Office of Equity reviews the Policy to consider and implement any legal or regulatory changes, and to incorporate feedback from individuals who have gone through the process. The primary goals of this year's revision process were to clarify some of the terminology in the policy and to provide additional procedural options for parties involved in investigations. Key revisions include:

  • Clarification of the language describing the Policy's jurisdiction;
  • Addition of the ability for a party to accept responsibility for prohibited conduct; and
  • Implementation of a report review process in all sexual misconduct investigations.

Individuals impacted by sexual misconduct may always contact the Office of Equity to receive support, resources, and information even if they do not wish to move forward with the Complaint Resolution Process described in the Policy. As noted in the Policy, there are also many confidential on and off-campus resources available to our community.

Northwestern remains committed to fostering an environment in which all members of our community are free from sexual misconduct. If you have questions or would like to learn more, please visit the Office of Equity's website at https://www.northwestern.edu/equity/ or call (847) 467-6165.

Purchasing and Payment Policy and Procedures

Added August 22, 2019

Northwestern recently updated its Purchasing and Payment Policy and Procedures. The revised policy now reflects Uniform Guidance requirements related to purchases using sponsored dollars. A more substantial review and revision of the Purchasing and Payment Policy and Procedures is currently underway with publication targeted for the end of the calendar year.

Please direct any questions on this policy to Jim Konrad, Executive Director of Procurement and Payment Services: j-konrad@northwestern.edu or (847) 491-8121.

Biometric Information Privacy Policy

Added June 7, 2019

Northwestern uses biometric identification systems to enhance security and control access to certain campus facilities. The University has adopted a new Biometric Information Privacy Policy that details the University's procedures for disclosure, collection, storage, and destruction of biometric information.

Any questions or comments regarding the policy should be directed to:

University Compliance (847) 467-6170 or university.compliance@northwestern.edu.

Environmental Health and Safety Policy

Added June 7, 2019

Northwestern's Environmental Health and Safety (EHS) program supports its educational and research mission by providing faculty, staff, students, and visitors with a clear understanding of Northwestern's concern for protecting the University community from injuries and illnesses, preventing accidents and fires, planning for emergencies, and identifying and controlling physical, chemical and biological hazards. In compliance with federal, state, and local laws, including Occupational Safety and Health Administration (OSHA) regulations, the University has adopted an Environmental Health and Safety Policy, which outlines expectations for faculty, staff, students, and visitors related to safety measures, reporting, and training across the EHS program.

The following individuals/offices can address questions regarding this policy:

Michael Blayney, Executive Director
Office for Research Safety
Phone: (847) 491-4387; email: michael.blayney@northwestern.edu

Gwen Butler, Director, Environmental Health and Safety
Risk, Internal Audit, and Compliance
Phone: (847) 491-4936; email: gwen.butler@northwestern.edu

ALARA Policy (Radiation Safety)

Added March 15, 2019

The University recently adopted an ALARA Policy to keep any and all exposures to (or releases of) radiation sources "As Low As is Reasonably Achievable" (the ALARA Principle). The policy establishes a comprehensive radiation safety program across all aspects of Northwestern's research and safety mission and is required by federal and state law as a condition of having a Broad Scope Radioactive Materials License.

Please direct any questions or comments regarding this policy to the Radiation Safety Officer at radiation-safety@northwestern.edu or (312) 503-8300.

University Technology Licensing and Equity Interest Policy

Added March 15, 2019

Northwestern sometimes receives equity in start-up business entities in lieu of receiving a licensing fee or in exchange for providing educational support and funding for new technologies. The newly instituted University Technology Licensing and Equity Interest Policy establishes procedures for managing those equity interests, including when to sell and how to how to distribute proceeds from those investments.

Questions or comments regarding this policy should be directed to John Haugen, Associate General Counsel Innovation and New Ventures (INVO): john.haugen@northwestern.edu or (847) 491-3630.

Appropriate Use of Electronic Resources

Added December 3, 2018

The University has developed a new policy on Appropriate Use of Electronic Resources. This policy establishes essential guidelines, protocols, and standards of behavior for the use of electronic resources at Northwestern. The new policy will supercede the following existing policies related to network use:

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for 45 days of review and comment from the University community (through Thursday, January 17, 2019).Please direct any questions or comments regarding this policy to:

All feedback on the policy will be considered, and any necessary changes to the policy will be implemented based on the comments received.

Update (01/15/2019): The community review period has been extended through Friday, February 1, 2019.

The Policy on Sexual Misconduct

Added September 12, 2018

The University recently revised its Policy on Sexual Misconduct. The revised Policy has three components – policy, resources (including on and off-campus confidential resources), and the complaint resolution process. The primary goal of the revision process was to make the Policy easier to navigate and understand. The revisions to the Policy fall into three main categories: 1. incorporating comments received from students, faculty, and staff during the open review and comment period in the spring of 2018; 2. updating the Policy to ensure compliance with state and federal laws and guidance; and 3. streamlining and clarifying the Policy, particularly the Sexual Misconduct Complaint Resolution Process.

Key revisions include:

  • Strengthening the language around consent and incapacitation;
  • Updating the language regarding interim measures to better reflect how the University thinks about and implements interim measures;
  • Adding additional off-campus confidential resources; and
  • Adding a list of factors that the University considers when someone reporting sexual misconduct does not want to move forward with the complaint resolution process.

The University also updated the Sexual Misconduct Complaint Resolution Process for student cases that have the potential to result in separation from the University. Going forward, investigators in the Office of Equity will make a determination as to whether the preponderance of the evidence shows a violation of the Policy on Sexual Misconduct. Both parties will have the opportunity to review the investigation report before it is finalized and provide the investigators with additional feedback and information. If the Office of Equity concludes there was a violation of the Policy on Sexual Misconduct, the Office of Student Conduct will convene a University Hearing and Appeals System (UHAS) Sanctioning Panel to determine the appropriate sanction. Both parties have the opportunity to appeal the results of the Office of Equity's investigation and any sanction imposed by the UHAS Sanctioning Panel.

Several members of our community have asked whether the University will investigate allegations of sexual misconduct involving members of our community that occur off-campus. As stated in the Jurisdiction Statement of the Policy, the answer to this question is yes. If the accused individual is not a member of the University community or is no longer affiliated with the University at the time of the complaint (including when they have graduated or left the University), the University may be unable to conduct an investigation or take disciplinary action. However, for every report, the Office of Equity will review the circumstances of the reported conduct to determine whether the University has jurisdiction over the parties involved and take steps within its control to eliminate, prevent, and address the reported conduct. The University will also assist in identifying external reporting options and/or provide appropriate resources to impacted individuals (including assisting individuals who wish to report to law enforcement).

Individuals impacted by sexual misconduct may always contact the Office of Equity to receive support, resources, and information even if they do not wish to move forward with the Complaint Resolution Process described in the Policy. As noted in the Policy, there are also many confidential on and off-campus resources available to our community.

Northwestern remains committed to fostering an environment in which all members of our community are free from sexual misconduct. If you have questions or would like to learn more, please visit the Office of Equity's website at https://www.northwestern.edu/equity/ or call (847) 467-6165.

Minors at Northwestern

Added June 6, 2018

The University recently adopted a new Minors at Northwestern Policy, which supersedes the Reporting Suspected Child Abuse and Neglect Policy. In addition to revising mandatory reporting obligations in the Reporting Suspected Child Abuse and Neglect Policy to align more closely with Illinois state law requirements, the new policy requires youth programs at Northwestern to register with the University and ensure that all faculty and staff engaging with minors in youth programs undergo a background check and complete online training.

The policy has been developed together with a new Youth on Campus website that provides guidance on implementing the policy's requirements as well as centralized tools and resources to support the administration of youth programs at Northwestern.

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for 45 days of review and comment from the University community (through Friday, July 20). Any questions or comments regarding the policy should be directed to:

Rachel Heyman, Compliance, Audit & Advisory Services (847) 467-6239 or rachel.heyman@northwestern.edu)

All feedback on the policy will be considered. Additional changes to the policy may be made based on the comments received.

Update: Based on community input, the Minors at Northwestern Policy has been revised and is now available on the University Policies page.

Demonstration

Added May 24, 2018

The University amended its Demonstration Policy to better reflect Northwestern's commitment to free expression and peaceful demonstration. Key revisions include:

  • changing the policy's title and its definition of demonstration to remove reference to the word “disruption”;
  • eliminating the requirement for student groups to register demonstrations with the Dean of Students Office;
  • removing language that prohibited the making of “loud, unnecessary, or unusual noise”; and
  • adjusting the tone of the policy to emphasize support for the rights of campus community members to free expression and peaceful demonstration.

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for an extended, 60-day period of review and comment from the University community (through Monday, July 23). Any questions or comments regarding the policy should be directed to the following individuals:

Todd Adams, Associate Vice President and Dean of Students (847) 491-8430 or todd.adams@northwestern.edu; and

Rachel Heyman, Compliance, Audit & Advisory Services (847) 467-6239 or rachel.heyman@northwestern.edu

All feedback on the policy will be considered. Additional changes to the policy may be made based on the comments received.

Update: The community review period has passed. The final version of the Demonstration Policy is now available on the University Policies page.

Behavioral Consultation Team

Added February 20, 2018 (see update below)

The University recently revised its Behavioral Consultation Team Policy. In addition to reformatting, updating, and editing the policy, the revisions define prohibited behaviors on campus, make explicit an expectation to report threats of violence, and provide additional guidance on reporting.

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for 45 days of review and comment from the University community (through Friday, April 6). Any questions or comments regarding the policy should be directed to the following individuals:

Michelle Hoy-Watkins, PsyD, Northwestern Police Director of Threat Assessment, (847) 467-5375 or mhoy@northwestern.edu); and

All feedback on the policy will be considered. Additional changes to the policy may be made based on the comments received.

Update: The policy was updated since the community review period; the final version of the BCT Policy is now available on the University Policies page.

Export Controls Compliance

Added February 15, 2018

The University recently amended its Export Controls Compliance Policy. In addition to reformatting the policy, the policy's definition of Fundamental Research was updated to conform to applicable regulations.

Questions regarding the revisions may be directed to Lane Campbell, Director, Office for Export Controls Compliance, at (847) 467-4063 or exportcontrols@northwestern.edu.

Conflict of Interest and Conflict of Commitment

Added February 1, 2018

The University recently amended its Policy on Conflict of Interest and Conflict of Commitment. The principal substantive changes to the policy are as follows:

  • Requiring a disclosure upon hire as a part of onboarding when a staff or faculty member's hire date is between February 1 and September 30. New hires from October 1 through January 31 will be surveyed during the annual process in February;
  • Combining the sections on disclosure obligations for faculty and staff to simplify document and provide consistency. Definition of “financial interest” for faculty and staff was unified;
  • Reducing the threshold for required disclosures of equity interests in non-public entities from 5% to zero/any (already the disclosure threshold for faculty and staff subject to the Conflict of Interest in Research policy; the purpose of this change is to capture ownership of start-up companies and/or freelance businesses);
  • Expressly excluding publishing and textbook royalties from disclosure obligations (the survey has always excluded textbook royalties; the policy was updated to be consistent with this practice); and
  • Clarifying language in the gifts section (pending adoption of a stand-alone gifts policy).

The policy revisions are incorporated into the annual conflict of interest disclosure process that begins on February 1. Any questions regarding the policy revisions may be directed to Kate Cosgrove Booth, Interim Director of the Conflict of Interest Office, at (847) 491-4163, or k-cosgrove@northwestern.edu.

Research Data: Ownership, Retention, and Access

Added February 1, 2018

The University recently amended its Research Data: Ownership, Retention, and Access Policy. In addition to reformatting and updating the policy, clarifications were made to the policys definition of research data and to the mandatory data retention period in the policy.

Questions regarding the revisions may be directed to Lauran Qualkenbush, Director, Office for Research Integrity, at (312) 503-0054, or nu-ori@northwestern.edu.

Sustainable Waste Management

Added October 18, 2017 (see update below)

The University recently adopted a new Sustainable Waste Management Policy. The policy establishes a solid waste management program on campus, provides guidelines to the community on waste management requirements, and identifies responsibilities of various units for policy implementation.

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for 45 days of review and comment from the University community (through Monday, December 4). Any questions or comments regarding the policy should be directed to:

Kathia Benitez, Director, sustainNU (847) 467-3772 or kathia.benitez@northwestern.edu; and

All feedback on the policy will be considered. Additional changes to the policy may be made based on the comments received.

Update: The policy has been revised based on community input; the final version of the Sustainable Waste Policy is now available on the University Policies page.

Non-Retaliation

Added September 5, 2017 (see update below)

The University recently amended its Policy on Non-Retaliation. Among other things, the purpose of the revisions is to provide a strong statement emphasizing the University's commitment to promoting an ethical institutional culture and encouraging the reporting of misconduct; to adopt a uniform and consistent definition of retaliation across policies and handbooks; and to clarify that the policy also covers students. References to retaliation in other policies and handbooks will be revised to conform to this policy.

Pursuant to the University Policy Development Guidelines, the policy is currently posted to a password-protected page on this website for 45 days of review and comment from the University community (through Friday, October 20). Any questions or comments regarding the policy should be directed to:

Sarah Wake, Interim Associate Vice President for Equity (847) 491-7458 or sarah.wake@northwestern.edu

All feedback on the policy will be considered, and any necessary changes to the policy will be implemented based on the comments received.

Update: The policy has been revised based on community input; the final Policy on Non-Retaliation is available on the University Policies page.

Sexual Misconduct

Added September 5, 2017

The University recently amended its Sexual Misconduct Policy. Many of the revisions are formatting, organizational, or drafting changes that do not alter the policy's substance (for example, consolidating all references to potential sanctions to a section near the end of the document). Others reflect an alignment necessitated by changes or updates in various state and federal laws. Key substantive revisions to the policy include:

  • making the definition of stalking consistent with Illinois law;
  • revising the definition of dating/domestic violence to clarify terms and explain how complaints are evaluated, including by requiring that the existence of abusive conduct is to be judged objectively as well as subjectively;
  • revising the definition of sexual harassment to clarify terms and explain how complaints are evaluated, including by adding the requirement that the existence of a hostile environment is to be judged objectively as well as subjectively;
  • removing the stand-alone definition of retaliation, instead linking to the newly-developed Policy on Non-Retaliation, so as to provide a uniform definition of retaliation across policies;
  • providing clarity regarding a party's right to an advisor during the complaint resolution process, prohibiting advisors from engaging in harassing conduct or unreasonably delaying the process (so as to be consistent with Illinois law), and stating that a representative of Northwestern's Office of General Counsel may be present as well if the party's advisor is a lawyer;
  • adding legally-required information regarding resources for medical assistance on the US and NU-Q campuses;
  • adding an appendix regarding support and resources for NU-Q students instead of having a separate sexual misconduct policy for NU-Q (which is not permitted by state law); and
  • changing references in the policy from “protective measures” to “interim measures and accommodations” to more accurately reflect their nature and purpose.

In fall 2017, the Office of Equity, in collaboration with the Policy Review Committee, will initiate the process of gathering input from stakeholders on the revisions to the policy to be implemented in 2018.

Any questions regarding the policy may be directed to Title IX Coordinator at TitleIXCoordinator@northwestern.edu.

Patent and Invention

Added September 1, 2017

Effective today, the University amended its Patent and Invention Policy (please note the URL for the policy has changed). Although the policy has been reformatted and edited, the only substantive change made to the policy is to reduce the percentage of royalty proceeds paid to the Innovation and New Ventures Office (INVO) from 20% to 15%. (Royalty proceeds refers to the revenue the University receives from inventions and discoveries. INVO traditionally has received 20% of the proceeds to help cover its operating expenses, but from now on will receive only 15%.)

Any questions regarding the policy may be directed to Andrea Minogue, Senior Director of Finance and Administration, INVO, at (847) 467-3096 or invo@northwestern.edu.

Research Visitors

Added August 15, 2017

The University recently amended the Research Visitors Policy to exclude from its scope appointments made through Argonne National Laboratory Institute of Science and Engineering (NAISE). NAISE, a University Research Institute, handles visitor appointments through an independent process.

Any questions regarding the policy may be directed to Claire Landis, Associate Director of Administrative Services in the Office for Research, at (847) 491-2101, or researchvisitors@northwestern.edu.