Reporting Guidelines and Expectations

While individuals may submit reports anonymously, the University's ability to address them may limited. There is no time limit for reporting, but to proceed with an investigation under the Interim Policy on Title IX Sexual Harassment, the Complainant must be participating in or attempting to participate in University programs at the time of filing the Formal Complaint. In addition, under both the Policy on Discrimination, Harassment, and Sexual Misconduct and the Interim Policy on Title IX Sexual Harassment, the Office of Civil Rights and Title IX Compliance may not be able to initiate a complaint resolution process (e.g., an investigation) if the Respondent is not affiliated with the University. The University encourages timely reporting. If you are reporting as a Responsible Employee, you may not report anonymously.

Formal investigations involve the collection of evidence, interviews, and written reports, and final determination of violation of University policy. During the investigation, the Complainant will have the opportunity to describe their allegations and present supporting evidence to the investigator(s). The Respondent will have the opportunity to hear the allegations, respond to them, and present supporting evidence to the investigator(s).

The burden of gathering evidence sufficient to reach a determination of whether or not a policy violation has occurred lies with the University and not with the parties. No Party or Witness is required to participate in the investigation, and the Investigator will draw no adverse inference from a decision by any party or witness not to participate. However, the University is limited in its ability to pursue an investigation without Complainant participation.

A summary of the formal investigation process for cases of discrimination, harassment, or sexual misconduct can be found on the Discrimination and Harassment website.

A summary of the formal investigation process for cases of Title IX sexual misconduct can be found on the Sexual Misconduct website.

Alternative Resolution utilizes informal resolution mechanisms to resolve complaints of sexual misconduct, discrimination, harassment, or Title IX sexual harassment. Both Complainant(s) and Respondent(s) may request Alternative Resolution and the University will not require parties to engage in this process. All parties to a Complaint MUST agree to participate in Alternative Resolution. If any party does not agree, the matter must proceed to the investigation and formal resolution process.

Agreements reached as part of alternative resolution are final and cannot be appealed. Any party can terminate the alternative resolution prior to an agreement being signed.

A summary of the alternative resolution process for cases of discrimination, harassment, or sexual misconduct can be found on the Discrimination and Harassment website.

A summary of the alternative resolution process for cases of Title IX sexual misconduct can be found on the Sexual Misconduct website.

Examples of resolution terms obtained through this process can be found in our Sanctions policy.

Alternative Resolution may include, but is not limited to:

• Facilitated Dialogue: A facilitated dialogue is when a facilitator, who serves as an intermediary, meets with all parties together to help them reach a mutually agreed upon resolution. Parties will interact directly during a facilitated dialogue.

• Shuttle negotiation: Shuttle negotiation is when a facilitator, who serves as an intermediary, meets with each party separately to help them reach a mutually agreed upon resolution. Parties will not interact directly with each other during a shuttle negotiation

If any party does not agree, the matter must proceed to the investigation and formal resolution process unless the complainant chooses not to proceed with any form of resolution.

Educational response involves measures taken by the University in response to a report of discrimination, harassment or sexual misconduct when formal resolution is not desired by the person who may have experienced the misconduct, when there is not enough information to proceed with a formal resolution process against a known Respondent, and/or where OCR deems it an appropriate response.

An educational response is non-disciplinary and does not result in findings related to responsibility or in sanctions. An educational response does not preclude further steps, including formal resolution or alternative resolution, if a complaint is later made or additional information is received by OCR. Educational response may include, but is not limited to:

• An educational meeting with the subject of the report
• Referral to another University office for response
• Training for a group or unit
• An advisory letter

The University strives to resolve all complaints in a prompt and timely manner. Although the length of each investigation will vary based on the circumstances of the case, the University strives to complete each investigation within ninety (90) calendar days of sending the written notice of investigation. This timeline may be affected by breaks in the academic calendar, availability of the parties and witnesses (including due to a leave of absence), scope of the investigation, need for interim actions, and other unforeseen or exigent circumstances.

The parties will be periodically updated on the status of their case. In cases where there is a simultaneous law enforcement investigation, the University may need to temporarily delay its investigation while law enforcement gathers evidence. However, the University will generally proceed with its investigation and resolution of a complaint during any law enforcement investigation.

OCR may, at any point during the investigation, determine a violation could not have been committed and dismiss the case. OCR may also dismiss a complaint or any allegations therein if:

• alleged conduct would not constitute a violation of either the Interim Policy on Title IX Sexual Harassment or the Policy on Discrimination, Harassment, and Sexual Misconduct;
• alleged conduct did not occur in the University's education programs or activities, or did not occur in the US (only under Interim Policy on Title IX Sexual Harassment);
• The University is unable to identify the Respondent after taking reasonable steps to do so;
• The Respondent is no longer enrolled at, affiliated with, or employed by the University; or
• The Complainant voluntarily withdraws any or all of the allegations in the complaint and OCR determines that, without the complainant's withdrawn allegations, the conduct that remains in the complaint, if any, would not constitute discrimination under harassment even if proven true.

In the event OCR determines that the complaint should be dismissed, OCR will promptly inform the Complainant of dismissal and the basis for the dismissal and, if the dismissal occurs after the Respondent has been notified of the allegations, OCR will also inform the Respondent of the dismissal and the basis for the dismissal. The parties may appeal the dismissal decision.

The Office of Civil Rights and Title IX Compliance may refer the subject matter of the Formal Complaint to other University offices, as appropriate. The dismissal of a case does not prevent the office from making non-punitive, educational outreach to those involved. Complainants in dismissed cases can still access supportive measures and counseling.

The Complainant or Respondent may appeal the dismissal, findings and/or, if sanctions are imposed, the determination of sanctions by submitting electronically to OCR at OCR@northwestern.edu or submitting an appeal form.

An appeal must be in writing, limited to fifteen (15) pages, submitted within ten (10) calendar days of the written notification of findings or sanctions determinations, and specify the basis for the appeal (including the issues being appealed, the bases for the appeal, and describe any new evidence being offered).

Basis for Appeals

The appeal is not a rehearing of the case; it is a written statement specifically stating the grounds for the appeal and any supporting information. Mere disagreement with the decision is not grounds for appeal under these procedures.

The only grounds for appeal under the Interim Policy on Title IX Sexual Harassment are as follows:

• New information or evidence that could materially change the outcome;
• Procedural errors or irregularity that may have substantially affected the fairness of the process;
• The Associate Vice President or Investigator had a conflict of interest or bias for
  or against complainants or respondents generally or the individual Complainant
  or Respondent; or
• The Associate Vice President, Title IX Coordinator, investigator(s), or decision-maker(s) had a conflict of interest or bias for or against Complainants or Respondents generally or the individual Complainant;
• The Sanction is disproportionate with the violation.

The only grounds for appeal under the Policy on Discrimination, Harassment and Sexual Misconduct are as follows:

• New information discovered after the investigation that could not have reasonably been available at the time of the investigation and is of a nature that could materially change the outcome;
• Procedural errors within the investigation or resolution process that may have substantially affected the fairness of the process;
• The Associate Vice President or Investigator had a conflict of interest or bias for or against complainants or respondents generally or the individual Complainant or Respondent; or
• The Sanction is disproportionate with the violation.

The appellate process shall not re-hear a matter in part or in its entirety. In any request
for an appeal, the burden of proof lies with the Party requesting the appeal.

Responding to an Appeal

If either party submits an appeal, the other party will be notified in writing that the appeal has been filed, provided with a copy of the appeal, and given ten (10) calendar days to submit a written response, which is limited to fifteen (15) pages.

Appeals Review

Neither Respondent nor Complainant will be allowed to request an in-person meeting with the appeal reviewer, but the appeal reviewer may request an in-person meeting with the parties.

Appeals will be handled by the following reviewers, who may delegate the review of an appeal to a designee:

• For student Respondents, an appeal of a complaint will be addressed by the Senior Associate Dean of Students or their designee. A UHAS Appeals Panel comprised of three faculty or staff members may be consulted in the event of an appeal of a sanction.
• For faculty Respondents, an appeal of a complaint will be addressed by Associate Provost for Faculty or their designee. The Executive Committee of the Faculty Appeals Panel may be consulted in the event of an appeal of a sanction. After any necessary review and re-questioning or involved parties, the Committee will make their recommendation to the Provost as to whether one or more of the grounds of the appeal has been met. The Provost's decision is final.
• For staff Respondents or Respondent of any status not named above, an appeal of a complaint will be addressed by Vice President for Human Resources or their designee. The HR Business Partner and the Respondent's manager or unit leader may be consulted in the event of an appeal of a sanction.

The relevant appeal reviewer may, in their discretion, adjust the time limit for the appeal and/or response. In the event sanctions were imposed, the sanctions will be stayed pending resolution of an appeal.

Decision on Appeals

The reviewer may review the full case, beyond the aspects of the case outlined in the request for appeal. If the reviewer does not find that any of the three grounds for appeal are present in the case, the outcome will be upheld. If the reviewer finds that any of the grounds for appeal are present in the case, they may amend the outcome, may issue a new outcome, or may refer the matter back to the investigator(s) for further consideration.

The written decision on an appeal will, barring unforeseen circumstances or the scope of the appeal, be issued as expeditiously as possible, will be issued to both parties and OCR simultaneously within seven (7) calendar days of making a decision. The overall timeframe for an appeal generally shall not exceed 30 business days.

No further review beyond the appeal is permitted.

OCR is committed to making our services accessible to all members of the Northwestern community. The Office is cognizant of the physical accessibility of our space, the cultural competency of our staff, and the method and tone of the services we provide. Accessibility includes but is not limited to: providing reasonable accommodations to persons with disabilities, including mental health concerns, ensuring our online resources are accessible, providing translation services, and providing competent, respectful, and trauma informed service to people of all identities and expressions. To request an accommodation related to a policy or to discuss any questions or concerns about the accessibility of OCR's services or resources, please contact OCR at OCR@northwestern.edu. For additional information regarding reasonable accommodations, see the University's Reasonable Accommodation Policy.

If a Complainant requests anonymity or does not wish to proceed with an investigation, the University will attempt to honor that request but OCR will assess whether the reported conduct creates a hostile environment for the Complainant or others on campus and, in some cases, OCR may determine that the University needs to proceed with an investigation, including potentially disclosing the identity of the Complainant. In such cases, OCR will not compel an individual to participate in the investigation.

OCR will consider the following factors in reaching a determination on whether to open a formal investigation when the Complainant requests anonymity or requests no formal investigation be conducted:

1. the totality of the known circumstances,
2. the presence of any risk factors as outlined below,
3. the potential impact of such action(s) on the Complainant,
4. any evidence showing Respondent made statements of admission or otherwise accepted responsibility for the alleged conduct,
5. the existence of any independent information or evidence regarding the alleged conduct, and
6. any other available and relevant information.

Risk Factors Used to Determine Whether the University Will Need to Proceed

• The nature and scope of the alleged conduct, including whether the reported behavior involves the use of a weapon, physical violence, or multiple Respondents;
• The respective ages and roles of the Complainant and Respondent;
• The risk posed to any individual or to the campus community by not proceeding, including the risk of additional violence;
  • Whether there have been other reports of other prohibited conduct or other misconduct by the Respondent;
  • Whether the report reveals a pattern of misconduct (e.g., via illicit use of drugs or alcohol) at a given location or by a particular group;
  • The University's obligation to provide a safe and non-discriminatory environment; and
  • Whether any other aggravating circumstances or signs of predatory behavior are present.

Where the OCR determines it is necessary to proceed with an investigation or where the Title IX Coordinator signs a Formal Complaint, neither the Title IX Coordinator nor the Office of Civil Rights and Title IX Compliance are considered to be a Complainant or otherwise a party for purposes of the investigation and adjudication processes. In such cases, the University will not compel an individual to participate, but will proceed with the available information. In all cases where a Formal Complaint is filed, the Complainant will be treated as a party, irrespective of the party's level of participation.

Under the Interim Policy on Title IX Sexual Harassment, after the hearing is complete, the decision maker will objectively evaluate all relevant evidence collected during the investigation, including both inculpatory and exculpatory evidence, together with testimony and non-testimony evidence received at the hearing, and ensure that any credibility determinations made are not based on a person's status as a Complainant, Respondent, or witness. The decision maker will take care to exclude from consideration any evidence that was ruled inadmissible at the pre-hearing conference, during the hearing, or by operation of Sections II(K) or II(L). The decision maker will resolve disputed facts using a preponderance of the evidence (i.e., "more likely than not") standard and reach a determination regarding whether the facts that are supported by a preponderance of the evidence constitute one or more violations of the policy as alleged in the Formal Complaint.

The University will maintain for a period of at least seven years: (1) for each complaint of discrimination, harassment, or retaliation, records documenting the Formal or Alternative Resolution Process and outcome and (2) for each notification the Associate Vice President receives of information about conduct that reasonably may constitute discrimination, harassment, or retaliation under this Policy, records documenting the actions the University took.

During the investigation and adjudication processes, questioning regarding a Complainant's sexual predisposition or prior sexual behavior are not relevant, unless such questions and evidence about the Complainant's prior sexual behavior are offered to prove that someone other than the Respondent committed the conduct alleged, or if the questions and evidence concern specific incidents of the Complainant's prior sexual behavior with respect to the Respondent and are offered to prove consent. Notwithstanding the foregoing, a Complainant who affirmatively uses information otherwise considered irrelevant by this Section for the purpose of supporting the Complainant's allegations, may be deemed to have waived the protections of this Section.

All deadlines and other time periods specified in this policy are subject to modification by the University where, in the University's sole discretion, good cause exists. Good cause may include, but is not limited to, the unavailability of parties or witnesses; the complexities of a given case; extended holidays or closures; sickness of the investigator(s), adjudicator, or the parties; unforeseen weather events; and the like. Any party who wishes to seek an extension of any deadline or other time period may do so by filing a request with the investigator(s), decision maker, administrative officer, appeal reviewer, or Title IX Coordinator, as the case may be, depending on the phase of the process. Such request must state the extension sought and explain what good cause exists for the requested extension. The University officer resolving the request for extension may, but is not required to, give the other party an opportunity to object. Whether to grant such a requested extension will be in the sole discretion of the University.

The parties will be provided written notice of the modification of any deadline or time period specified in this policy, along with the reasons for the modification. Unless otherwise specified in this policy, the default method of transmission for all notices, reports, responses, and other forms of communication specified in this policy will be email using University email addresses.

A party is deemed to have received notice upon transmittal of an email to their University email address. In the event notice is provided by mail, a party will be deemed to have received notice three (3) calendar days after the notice in question is postmarked. Any notice inviting or requiring a party or witness to attend a meeting, interview, or hearing will be provided with sufficient time for the party to prepare for the meeting, interview, or hearing as the case may be, and will include relevant details such as the date, time, location, purpose, and participants.

Unless a specific number of days is specified elsewhere in this policy, the sufficient time to be provided will be determined in the sole discretion of the University, considering all the facts and circumstances, including, but not limited to, the nature of the meeting, interview, or hearing; the nature and complexity of the allegations at issue; the schedules of relevant University officials; approaching holidays or closures; and the number and length of extensions already granted.

The University considers reports and investigations to be private matters. It will protect the identities of individuals involved, sharing personally identifiable information only with those who need it for investigation or support. Witness identities may be disclosed to the parties, but OCR may anonymize them when appropriate. The University does not publish names or identifiable information about individuals involved in reports of discrimination or misconduct in public records.

Participants are informed that privacy enhances the investigation's integrity and protects against retaliation. While the University maintains confidentiality, parties can discuss the case, though how they communicate may lead to Prohibited Conduct or Retaliation, subject to discipline.

Certain policy violations are considered crimes, requiring the University to disclose crime statistics in its Annual Security Report, without revealing personally identifiable information.

Treatment Records and Other Privileged Information

During the investigation and adjudication processes, the investigator(s) and adjudicator, as the case may be, are not permitted to access, consider, disclose, permit questioning concerning, or otherwise use:

• A party's records that are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in the professional or paraprofessional's capacity, or assisting in that capacity, and which are made and maintained in connection with the provision of treatment to the party; or
• Information or records protected from disclosure by any other legally-recognized privilege, such as the attorney client privilege;

unless the University has obtained the party's voluntary, written consent to do so for the purposes of the investigation and adjudication process.

Notwithstanding the foregoing, the investigator(s) and/or adjudicator, as the case may be, may consider any such records or information otherwise covered by this Section if the party holding the privilege affirmatively discloses the records or information to support their allegation or defense, as the case may be.

Neither the Title IX Coordinator nor any investigator, decision maker, or appeal reviewer will make findings or determinations in a case in which they have a material conflict of interest or material bias. Any party who believes one or more of these University officials has a potential material conflict of interest or material bias must raise the concern to the Title IX Coordinator within two (2) calendar days of discovering the potential conflict so that the Office of Civil Rights and Title IX Compliance may evaluate the concern and find a substitute, if appropriate. The parties will be notified of the identities of the decision maker and appeal reviewer for their proceeding before those individual(s) initiate contact with either party. The appropriate party (Title IX Coordinator, Associate Vice President, or designee) will determine whether a conflict of interest exists. The failure of a party to timely raise a concern of a conflict of interest or bias may result in a waiver of the issue for purposes of any appeal.

From the time a report or Formal Complaint is made, a Respondent is presumed not responsible for the alleged misconduct until a determination regarding responsibility is made final; the Complainant is presumed to have brought forward the complaint in good faith, and a conclusion will not be made until the resolution process concludes.

The University uses the preponderance of the evidence standard. This means that the investigation or hearing process (for Title IX) determines whether it is more likely than not that a violation of the policy occurred.

Northwestern prohibits all forms of sexual misconduct. Such conduct violates our community values and disrupts the living, learning, and working environment for students, faculty, staff, and other community members. Consistent with the U.S. Department of Education's implementing regulations for Title IX and the Illinois Preventing Sexual Violence in Higher Education Act, the University prohibits Title IX Sexual Harassment that occurs within its Education Programs and Activities. As further defined below, Title IX Sexual Harassment includes Quid Pro Quo Sexual Harassment, Hostile Environment Sexual Harassment, Sexual Assault, Domestic Violence, Dating Violence, and Stalking. Conduct that is not covered by this policy may be addressed by other University policies, including but not necessarily limited to the University's Policy on Discrimination, Harassment, and Sexual Misconduct. An act may violate one or more parts of this policy or one or more University policies.

Northwestern encourages reporting of discrimination, harassment, and sexual misconduct, as well as Title IX sexual harassment, and participating in resolution processes and seeks to remove any barriers to making a report or participating in a process. The University recognizes that an individual who has been consuming alcohol (including underage consumption) or using drugs at the time of the incident may be hesitant to make a report because of potential consequences for that conduct. To encourage reporting, an individual who makes a good faith report of discrimination, harassment, sexual misconduct, or Title IX sexual harassment that was directed at them or another person or participates in an investigation as a witness or party will not be subject to disciplinary action by the University for a conduct or policy violation for personal consumption of alcohol or drugs that is related to and revealed in the report or investigation, unless the University determines that the violation was serious and/or placed the health or safety of others at risk. However, this does not extend to the distribution, sale, or otherwise providing another individual with alcohol or drugs for the purposes of inducing incapacitation.

Amnesty does not preclude or prevent action by police or other legal authorities.

This Amnesty provision may also apply to recognized student organizations/student groups making a report of Title IX Sexual Harassment, discrimination, harassment, or sexual misconduct.

Northwestern is firmly committed to free expression and academic freedom. The University is equally committed to creating and maintaining a safe, healthy, and harassment-free environment for all members of its community, and firmly believes that these two legitimate interests can coexist.

Unlawful discrimination, harassment, sexual misconduct, and retaliation against members of the Northwestern community are not protected expression or the proper exercise of academic freedom. The University will consider academic freedom in the investigation of reports of discrimination, harassment, sexual misconduct or retaliation that involve an individual's statements or speech. OCR will review every report of harassing conduct to evaluate whether such reported conduct creates or created a hostile environment. Even protected speech or expression may in some cases create a hostile environment in the University community. In such cases, the University may be constrained in its ability to impose disciplinary measures but will in appropriate cases respond in a manner calculated to restore access to the University's programs and activities to affected individuals.

Discrimination, harassment, sexual misconduct, and retaliation against members of the Northwestern community are not protected expression or the proper exercise of academic freedom. The University will consider academic freedom in the investigation of reports of discrimination, harassment, sexual misconduct, or retaliation that involve an individual's statements or speech.

At any time prior to the conclusion of an investigation, the Complainant may request to withdraw the complaint, or any discrete allegations in the complaint, by contacting OCR in writing.

OCR will determine whether to close the case or whether it is necessary to continue with the formal resolution process with regard to any or all allegations without the Complainant's continued participation.

Once a complaint is withdrawn, Complainants cannot pursue an investigation into the same issue again.

The University invites parties to participate fully in the complaint resolution process.

However, OCR will draw no adverse inference from a decision by any party or witness not to participate. However, if either Party declines to participate or limits the extent of their participation, such decision may limit the ability of OCR to thoroughly investigate and resolve the complaint.

Respondents will be held accountable for any outcomes issued, even if they decline to participate.

Complainant Participation

When you make a report of discrimination, harassment, or sexual misconduct to the Office of Civil Rights and Title IX Compliance, a review and assessment process begins. At any point, you may choose not to proceed with resolution options, and the University will typically respect that request. Note, under the Interim Policy on Title IX Sexual Harassment, in order to proceed with a formal investigation, OCR must receive a Formal Complaint or the Title IX Coordinator must sign a Formal Complaint.

If a Complainant requests anonymity or does not want to proceed with an investigation, the University's ability to respond may be limited. The University will assess if the reported conduct creates a hostile environment for the Complainant or others, and in some cases, may proceed with an investigation, potentially disclosing the Complainant's identity. However, the Complainant will not be forced to participate.

At all times during the OCR resolution processes both the Complainant and Respondent can have an advisor of their choice at meetings, interviews, and hearings.

The advisor may be an attorney, but this is not required, or a Union representative, if desired. In matters pursuant to the Policy on Discrimination, Harassment, and Sexual Misconduct, advisors cannot be parties or witnesses in the matter. The advisor's role is passive and they cannot communicate on behalf of a party or engage with the University directly, except for the questioning of witnesses during the hearing. Advisors cannot review documents or attend meetings in the absence the party they are assisting. If an advisor attempts to submit information on behalf of a party, the Party will be notified and given time to submit it directly.

Under the Interim Policy on Title IX Sexual Harassment, the University will appoint a Hearing Advisor for any party that has not identified an advisor for the Hearing. The University-appointed Hearing Advisor will be provided at no charge if they do not have one for the hearing. The University will select this advisor. Where a Party is a Student, a FERPA waiver is required for advisors to access educational records. If an advisor disrupts the process, they may be removed.

All participants have the responsibility to be completely truthful with the information they share at all stages of the process. Any individual who knowingly or intentionally provides false information as part of a report or investigation under this Policy will be subject to discipline in accordance with the appropriate University policies. This provision does not apply to a good faith report that is not substantiated or proven by a preponderance of the evidence.

Some offenses may also be crimes in the state or locality in which the incident occurred. For that reason, individuals who believe they are victims of Sexual Assault, Dating Violence, Domestic Violence, or Stalking often have legal options that they can pursue. For example, an individual may seek a protective order from a court against the perpetrator(s); pursue a civil action against the perpetrator(s); and/or participate in a law enforcement investigation and criminal prosecution of the perpetrator(s). Regardless of whether an incident of Sexual Assault, Dating Violence, Domestic Violence, or Stalking is reported to the police or the University, Northwestern strongly encourages individuals who have experienced such conduct to preserve evidence to the greatest extent possible, as this will best preserve all legal options for them in the future.

Additionally, such evidence may be helpful in pursuing a complaint with the University. While the University does not conduct forensic tests for parties involved in a complaint, results of such tests that have been conducted by law enforcement agencies and medical assistance providers may be submitted as evidence that may be considered in a University investigation or proceeding, provided they are available at the time of the investigation or proceeding.

Learn more about preserving evidence.

Prior to the conclusion of an investigation, the Respondent may elect to take responsibility for the prohibited conduct by contacting OCR in writing. Following an acceptance of responsibility, OCR may solicit additional information relating to the matter OCR will issue a brief outcome determination to the parties summarizing the allegations and stating the Respondent has accepted responsibility, and will refer the matter to the appropriate office for sanctioning as delineated in the resolution sections below. Following the determination of sanctions, parties may appeal the sanctions imposed but not the finding(s) of responsibility as accepted by Respondent. In the event a Respondent decides to accept responsibility for some but not all of the allegations, OCR will determine whether to sever the matter, sending the allegations for which the Respondent has accepted responsibility to the appropriate office for sanctioning and continuing with the formal resolution process for the remaining allegations. Alternatively, OCR may determine it will proceed with the formal resolution process for all allegations.