Anonymous Reporting
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 Investigation
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
A summary of the formal investigation process for cases of discrimination, harassment, or sexual misconduct can be found on the
A summary of the formal investigation process for cases of Title IX sexual misconduct can be found on the .
Alternative Resolution
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 .
A summary of the alternative resolution process for cases of Title IX sexual misconduct can be found on the .
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.
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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
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
Typical Resolution Timeframe
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.
Dismissal of Complaints
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.
Appeals
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 .
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.