We, the students, faculty and administration of The Kellogg School of Management are committed to the highest levels of integrity, professionalism, and respect for others, both inside and outside the classroom. We have a responsibility to behave ethically in all situations, to represent honestly our own contributions and those of others in all the work we perform, and to acknowledge and respect diversity in individuals and cultures.
We recognize that while we are individually accountable for our actions, we are also ambassadors of our school and therefore accountable to the larger Kellogg and Northwestern communities. Adherence to our values allows Kellogg to maintain its global distinction as having a unique culture of collaboration, social engagement, innovation, and open exchange of ideas.
The purpose of the Kellogg Honor Code is to promote our values of integrity, professionalism and respect for others so that each student can fully develop intellectually and professionally within our community.
The code governs student conduct pertaining to all academic, career related and co -curricular activities associated with Kellogg or Northwestern, be they on or off - campus.This includes any conduct with real and substantial connections to the legitimate interests of the University or members of the University community from the time of a student’s application for admission through graduation. The intent of the Kellogg Student Honor Code is to express ethical guidelines for the Kellogg community. It does not attempt to be a comprehensive list of rules and sanctions.
In accordance with this code, each student:
Additionally, all Kellogg students are expected to abide by the Code of Classroom Etiquette, all policies and requirements of Northwestern University as represented in the Northwestern University Student Handbook, and all applicable laws and regulations, both on and off campus. The Honor Code Committee reserves the right to refer cases to other Northwestern University offices or procedures as it deems appropriate in its discretion.
II. SUSPECTED VIOLATIONS
A. Reporting Suspected Violations: Students, faculty members and administrators are obligated to report suspected violations of the Honor Code promptly to a member of the Honor Code Committee, the Senior Associate Dean for Teaching and Curriculum or any faculty member. This may also be done by emailing Honor@kellogg.northwestern.edu
B. Notification: The person to whom the suspected violation is initially reported will notify the co-chairs for the respective program of the suspected violation as soon as possible. The co-chairs will notify the student government VP of Academics/Academic Representative, the Student Affairs Advisor and the members of the committee. The Co-Chairs will also notify the charged student(s) of the alleged infraction.
C. Confidentiality: Charges and all subsequent steps pertaining thereto will be handled with utmost discretion, maintaining confidentiality to the extent possible. Only the co-chairs, the VP of Academics/Academic Rep and the Student Affairs Advisor will know the identities of the accused and the accuser(s) unless/until the case goes before a student panel. Any breach of confidentiality, other than as is required to complete an investigation or on a need-to-know basis, is an Honor Code violation. The charged person may choose to waive his or her right to confidentiality at any time during the investigation or hearing by giving written notice to the co-chairs.
D. Investigators: One Co-Chair, the Student Affairs Advisor and the Academic VP/Academic Rep for the respective program will conduct the investigation. Should the Co-Chairs or VP of Academics/Academic Reprecuse him/herself or be unavailable to conduct the investigation in a timely manner, his/her designee from the Honor Code Committee or student government respectively will conduct the investigation.
E. Investigation: The investigation may include interviews with any and all persons, regardless of affiliation with Kellogg, believed to have information relevant to the incident. All interviews will be conducted in the presence of at least two of the three investigators. Upon completion of the investigation, the investigating committee will determine if sufficient evidence of a potential violation exists to move forward with the Honor Code process or if the case should be dismissed. Should the investigating committee determine that there is not sufficient evidence to move forward with a case, its dismissal is final and not subject to appeal without additional evidence.
If the accused student accepts responsibility for the alleged violation of the Honor Code, the VP of Academics/Academic Rep will present an investigation report to a sub-committee comprised of (1) 4 students from the Honor Code Committee (2 student reps from home program including the second Co-Chair as leader, 2 student reps from other Masters Programs), and (2) for academic cases, 1 Faculty Advisor, or for non-academic conduct related cases, the Student Affairs Advisor from another Masters level program. Upon the presentation of the investigation report, the sub-committee and the investigator/s will discuss the elements of the case and address any ambiguities. At the conclusion of the discussion, the sub-committee will determine recommended sanctions based on the results of the investigation, the letter and spirit of the Honor Code, and the materiality of the suspected violation. The Student Affairs Advisor will serve in an advisory capacity to the committee, to assist with precedent and procedural questions
IV HEARING PANEL If the accused student does not accept responsibility for
the alleged violation of the Honor Code, and the investigating committee determines
that there is sufficient evidence of a potential violation to move forward,
the case will be referred to a hearing panel.
A. Role: The purpose of the panel is to provide the dean of Kellogg with a determination of fact and a recommended sanction, if any.
B. Composition: The Hearing Panel will be comprised of (1) 4 students from the Honor Code Committee (2 student reps from home program including the second Co-Chair as leader, 2 student reps from other Master s Programs), and (2) for academic cases , 1 Faculty Advisor, or for non - academic conduct related cases, the Student Affairs Advisor from another Master s level program. C. Conflict of Interest : Members of the Honor Code Committee may notify a Student Affairs Advisor to recuse themselves from a case when there is a potential conflict of interest. Accused students may also submit a request to a Student Affairs Administrator that a member of the Honor Code Committee not participate in an Honor Code hearing due to potential conflict of interest.
A . Notification : Upon determining that the case will move to a hearing, the Co-chair leading the hearing panel should immediately inform the charged person of this fact via email. Once the date, time and location for the hearing have been determined by the Student Affairs Advisor for the home program, the Co-chair leading the hearing panel will provide written notification by email to the charged person. This will be do ne promptly, while allowing time for a Pre-hearing conference . The notification will include:
B . Advisor: During the hearing, the charged person/s may have a non-attorney
advisor who is affiliated with Northwestern University (faculty , staff, or
student) present. That advisor may not speak at the hearing.
C . Prehearing Conference: The charged person will be encouraged to attend a prehearing conference conducted by the Co-Chair leading the hearing panel . The purpose of this conference is to clarify procedural issues concerning the hearing and preparations for the hearing. The prehearing conference is to be held prior to the hearing.
D. Preparation : An outline of the information to be presented at the hearing will be made available to the charged person by the VP Academics/Academic Rep prior to the hearing, to ensure that the charged person has had a reasonable amount of time to complete his or her own investigation.
E . The Hearing
i. Location and time: The hearing will be held a t a place and time that will protect the privacy of the matter and be convenient to all parties involved.
ii. Observers: Unless otherwise requested in writing by the charged person, hearings will be closed. Witnesses are not permitted to remain in the hearing room either before or after giving testimony . The charged person’s adviser will be permitted to attend the hearing, if applicable.
a. The Honor Code Co-Chair will direct the hearing.
b. The VP of Academics/Academic Rep will present to the panel the findings of the investigation as well as a written report. In conducting this role, the investigator is not and should not be a “ prosecutor, ” but should always seek to present all relevant facts pertaining to the particular case.
c. The Charged Person/s will be given the opportunity to respond to the allegations with: information, physical evidence, testimony or witnesses; and/or questions of the witnesses who present to the Hearing Panel .
d. Hearing Panel members may question evidence and testimony presented by both the investigator and the charged person.
iv. Rules of evidence: The hearing will not be conducted according to rules of evidence or the procedures used in a court of law. The Co-chair s will make determinations on the admissibility of evidence. Honor Code hearings are educational, and not legal, proceedings.
v. Decisions: At the conclusion of the hearing, the panel members and Student Affairs Advisor of the home program will meet privately to discuss the hearing. Thereafter, all five member s of the hearing panel will vote to determine whether or not the charged person is responsible for violating the Honor Code. The Student Affairs Advisor from the home program will act as the Executive Secretary to the Hearing panel, providing information on precedent and procedures, but may not be involved in determination.
vi. Burden of Proof: For a finding of responsibility to be made, a majority of the hearing panel members must conclude that the preponderance of the material presented during the hearing supports such a decision.
F . Acceptance of Charge for Suspected Violation : A t any point in the hearing process, and at his or her sole discretion, the charged person may accept responsibility for the alleged violation and thus waive his or her rig ht to a hearing . The charged person must inform the co - chairs of his or her decision as soon as possible, and subsequently provide a written and signed statement to the co - chairs detailing what violation the student is taking responsibility for . I n such situations, the sub - committee (see section III above) , after being briefed by the investigating committee and with the advice of the Student Affairs Advisor for the home program , will determine the recommended sanctions for the violation. Possible sanctions are listed below in Section VI . T he charged person retains the rights to appeal these sanctions to the Dean of Kellogg or his/her designee using the procedures outlined in Section VII below.
VI. SANCTIONS A. Recommendation of Sanctions: I f the stu den t/s is found
to be responsible for violating the Honor Code , the hearing panel members will
also recommend a sanction or slate of sanctions to the Dean’s Office . The recommended
sanction(s) must be agreed to by a majority of the hearing panel members. Sanctions may include, but are not limited to, the following:
i. Loss of student /alumni rights and privileges for a specified period;
ii. Required service;
iii. Reduced or failing grade *
iv. Loss of eligibility for academic honors or student awards
v. Loss of participation in graduation ceremony
vi. Probation vii. Suspension
viii . Exclusion (i.e., expulsion) from Kellogg and Northwestern University.
* Any sanction involving a reduced or failing grade will serve as a recommendation to the appropriate faculty member.
B. Reporting of Sanctions: Sanctions that are reportable outside the University
include Suspension and Exclusion . A sanction of Probation will be noted in
a student’s file until the time of graduation. Should no other infractions of
the Honor Cod e occur during that time, the notation will be removed at the
time of graduation. Should another infraction occur, the notation will be made
a permanent part of the student’s school record. A sanction of Suspension will
be recorded in a letter that will be made a permanent part of the student’s
record, before and after graduation. A sanction of Exclusion will be recorded
on the student’s transcript.
C. Notification of Determination and Sanction : For all cases, the Co-Chair will provide a letter of determination and any recommendations of sanctions to (1) the Senior Associate Dean for Teaching and Curriculum in academic related cases or (2) the Associate Dean of MBA Programs in non - academic conduct related cases, who shall approve or modify the recommended sanctions in her/his discretion . Upon receipt of approval of any recommended sanction(s) from the respective Kellogg dean , the Co-Chair will share any relevant sanction (i.e., reduced or failing grade) with any faculty who were involved in the case. Subsequently, the Co-Chair will provide the charged person written notice of the panel’s determination of fact and the final sanction(s), if any .
Within one business day of notifying the student , the determination sanctions and a file containing all documents and physical evidence needed to evaluate the case will be given to the Dean’s Office of Kellogg.
A. Appeal to the Dean : Within five business days of the date of written notice of the panel’s determination of fact and any sanction( s), the charged person may appeal the decision of responsibility and/or the sanction(s) to the dean of Kellogg or his/her designee . Appeals may b e considered on the basis of a perceived unduly harsh sanction(s), new , material information not available or reasonably known at the time of the hearing or an alleged material violation of procedure. All appeals must be in writing and include the following information:
i. The date the appeal is filed;
ii. The name, address and telephone number of the person making the appeal;and
iii. T he basis for the appeal. The appeal must also be forwarded to the relevant Honor Code co-chairs . Both the co-chairs and the VP of Academics/Academic Rep will be permitted to reply to the dean of Kellogg in writing to address the issues raised by the appeal.
B. Results of Appeals : :In connection with any appeal, the dean of Kellogg may accept the Honor Code Committee’s sanctions of in whole or in part, or fashion a decision he or she feels is more appropriate at his/her discretion . C. Notification: The dean will notify the charged party of his or her decision in writing within 10 business days after the appeal is filed , unless unusual circumstances require additional time . The dean’s decision on appeal shall be final and not subject to further appeal.
Minutes of the investigation, meetings of the investigating committee and/or hearing panel and all documents associated with the investigation and hearing will be maintained by Kellogg.
IX . ANNUAL REPORT
The Student Affairs Advisors for the master s level programs will be responsible for submitting an annual overview of all Honor Code Committee proceedings for the past calendar year to the Kellogg community. The overview should include a summary of allegations received, investigation outcomes, and final sanctions if any. This report will be an aggregate report of all master s level programs. No student names or other personally identifiable information should be included in the report. The annual report is to b e issued during the fall quarter.
X . AMENDMENTS It is envisioned that from time to time amendments to the Kellogg Honor Code may be necessary to clarify or amend provisions. As needed, the Dean or his/her designee will appoint a committee comprised of student representatives from each master level program, faculty and staff. The committee will propose any recommended changes to the entire Honor Code Committee for feedback and approval. After responding to any expressed concerns, and having gained the approval of both the Honor Code Committee and the Northwestern University Office of General Counsel, the committee will share their final recommendations the Dean , who shall have final approval of any proposed amendments in her/his discretion .