Kellogg Policies

Kellogg Honor Code

The Kellogg Honor Code promotes our values of integrity, professionalism and respect for others so that each student can fully develop intellectually and professionally within our community.

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 an 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 and 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 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:

  1. Treats each member of the Kellogg community with respect;
  2. Acts honestly and does not seek an unfair advantage over other students, including, but not limited to, providing or receiving unauthorized aid on academic assignments, working with others on assignments intended to be completed individually, sharing confidential information about academic assignments and plagiarizing;
  3. Represents oneself truthfully at all times;
  4. Acts with personal integrity and good judgment in participation in all school - related activities and events, on and off campus; and
  5. Respects and responsibly uses individual, school and community facilities and resources.

The Kellogg Honor Code is student - led and is based on the concept of community self - government. The efficacy of such a student - administered honor code is dependent upon the Kellogg community’s dedication to the ideals reflected by the code. An inherent feature of the Kellogg Honor Code is the obligation of each member of the Kellogg community to report all suspected violations and fully cooperate with any Honor Code proceedings.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.

I. Organization of the Honor Code Committee

  1. Role: The Honor Code Committee is responsible for:
    1. Interpreting the Honor Code;
    2. Promoting the values of the Honor Code through communication with Kellogg students, faculty and administrators;
    3. Serving as representatives of the student body on all issues pertaining to the Honor Code;
    4. Assisting in investigations of suspected Honor Code violations;
    5. Determining possible violations of the Honor Code; and
    6. Recommending sanctions as appropriate.
  2. Composition : The Honor Code Committee is school-wide and consists of students from all Kellogg MBA programs, faculty and administrators;
    1. Led by one or two co - chairs from each of the Kellogg MBA programs (EMBA, FT MBA, and E&W MBA);
    2. Comprised of the following additional members:
      1. 8 EMBA Student Reps (4 from Evanston and 4 from Miami);
      2. 7 FT MBA students (3 first years, 3 second years and 1 One - Year),
      3. 5 E&W MBA students;
      4. Faculty members; and
      5. Student Life Advisors from EMBA, FTMBA and, E&W MBA.
  3. Selection: The Honor Code Committee members are selected by a specific process or appointment:
    1. Student representatives are selected through an application process
        2. 1. Interview and selection process is managed by the Honor Code Committee Co-Chairs/Student Rep and Student Affairs Advisor of their respective program.
    2. Faculty members will be identified by the Senior Associate Dean for Teaching and Curriculum.
    3. Student Affairs Advisors will be appointed by the Associate Dean of MBA Programs.
    4. The Honor Code Committee Co-Chairs/Student Rep will be selected by the outgoing Co-Chairs/Student Rep and Student Affairs Advisor for each respective program. (see next section)

II. The Honor Code Co-Chairs

  1. Role: The Honor Code Committee is responsible for:
    1. Promoting the values of the Honor Code within the Kellogg Community;
    2. Selecting members of the Honor Code Committee in collaboration with the Student Affairs Advisors;
    3. Setting the annual agenda for the Honor Code Committee;
    4. Overseeing the activities of the Honor Code Committee;
    5. Administering Honor Code proceedings;
    6. Coordinating with the administration and faculty on matters relating to the Honor Code; and
    7. Ensuring that the Honor Code remains an important aspect of the Kellogg environment.
  2. Succession : The Honor Code Committee is school-wide and consists of students from all Kellogg MBA programs, faculty and administrators;
    1. The offices of the Honor Code Co-Chairs for the FT, and E&W, programs will be filled by current non-graduating Honor Code Committee representatives where possible, upon the completion of the current academic year. This elevation is subject to the consensus approval of graduating Co - Chairs and the Student Affairs Advisor for that program.
        2. In the event that either the non - graduating representatives opt out or are deemed unsatisfactory for the Co-Chair position, the graduating Co-Chairs and Student Affairs Advisor will select suitable replacements.
  3. Conflict of Interest : Full-time and Evening-Weekend Honor Code Committee members may not run for President or Vice President of Academics in the student government due to the potential conflict of interest.

III. The Student Affairs Advisors

  1. Role: The Student Affairs Advisor for each MBA program is responsible for:
    1. Providing support, guidance and continuity to the Committee and the Co-Chairs/Student Rep;
    2. Selecting members of the Honor Code Committee and its Co-Chairs/Student Rep;
    3. Providing training for Honor Code Co-Chairs/Student Rep and Committee members in collaboration with the Co-Chairs/Student Rep;
    4. Administering Honor Code Proceedings;
    5. Maintaining records of all case materials;
    6. Advising the committee of past precedents; and
    7. Compiling and publishing the Honor Code Annual Report.

IV. Suspected Violations

    1. Reporting Suspected Violations : Students, faculty members and administrators are obligated to report suspected violations of the Honor Code promptly by emailing [email protected]. All email is monitored by the Student Affairs Advisors.
    2. Notification : The Student Affairs Advisors will notify the Co-Chairs/Student Rep for the respective program and the Vice President of Academics/Student Representative of the suspected violation as soon as possible.  The Student Affairs Advisor will then notify the charged student(s) of the alleged infraction.
    3. Confidentiality: Charges and all subsequent steps pertaining thereto will be handled with utmost discretion, maintaining confidentiality to the extent possible. Only the Co-Chairs/Student Rep, the VP of Academics/Student Academic Rep, the Student Affairs Advisor, any witnesses interviewed by the investigating committee, and the Dean’s Office will know the identities of the accused and the accuser(s) unless/until the case goes before a Hearing Panel. Once a case goes before a Hearing Panel, information will be shared with additional individuals as needed to administer the process. 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/Student Rep.
    4. Investigators: One Co-Chair/Student Rep, the Student Affairs Advisor, and the Academic VP/Student Rep for the respective program will conduct the investigation. Should the Co-Chairs/Student Rep or VP of Academics/Student Rep recuse 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.
    5. 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, the accused will be notified, and its dismissal is final and not subject to appeal without additional evidence. For academic integrity cases, a faculty advisor will be consulted before the decision to dismiss a case is finalized. At the end of the investigation process, an investigation report will be written by one of the student members of the Investigation committee, and will be submitted to the Student Affairs Advisor.
    6. Deferred Conduct Action: In appropriate situations, conduct cases may be deferred. When a case is deferred, the University refrains from taking any action on a case for a designated period of time (generally up to one year from the date of the incident), during which time a student may be given the opportunity to satisfy certain conditions or obligations as a means of avoiding further conduct action. Sanctions may also be deferred.

V. Determination

If the accused student accepts responsibility for the alleged violation of the Honor Code, the Student Affairs Advisor will convene a Sanctioning Committee and present the investigation report to a sub-committee comprised of members of the Honor Code Committee as follows:

 

  1. Academic cases
    i. 1 Faculty Advisor
    ii.4 students from across the Honor Code Committee
  2. Non-academic conduct-related cases
    i. The Student Affairs Advisor from another MBA program.
    ii. 4 students from across the Honor Code Committee

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 of the applicable program will serve in a non-voting advisory capacity to the committee, to assist with precedent and procedural questions.

VI. 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.

  1. Role: The purpose of the Hearing Panel is to provide the relevant Dean of Kellogg with a determination of fact and a recommended sanction, if any.
  2. Composition: The Hearing Panel will be comprised of members of the Honor Code Committee as follows:
    1. Academic cases:
      1. 1 Faculty Advisor
      2. 4 students from across the Honor Code Committee
    2. Non-academic conduct-related cases:
      1. The Student Affairs Advisor from across another MBA program.
      2. 4 students from the Honor Code Committee
  3. 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 Advisor that a member of the Honor Code Committee not participate in an Honor Code hearing due to potential conflict of interest. The Student Affairs Advisor will make a final determination on any such requests.

VII. Hearing Preparation

  1. Notification: Upon determining that the case will move to a hearing, the Student Affairs Advisor for the respective program will promptly notify the charged person/s via email and will initiate the process to form a Hearing Panel. Once the Honor Code Committee student member (ideally a Co-Chair) leading the Hearing Panel has been identified, and the date, time and location for the Hearing have been determined by the Student Affairs Advisor for the respective program, the Student Affairs Advisor will provide written notification by email to the charged person/s and any others presenting to the Hearing Panel. This will be done promptly and at least five business days prior to the hearing. The notification to the charged person/s will include:
    1. The name of the charged person(s);
    2. The name of the charging person, if appropriate;
    3. A description of the suspected violation;
    4. The date, time and place/modality of the hearing; and
    5. A copy of the investigation report, as well as the names of all other people being asked to provide evidence to the hearing panel.
  2. 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.
  3. Prehearing Conversation: The charged person will be encouraged to attend a Prehearing Conversation facilitated by the Student Affairs Advisor. The purpose of this conference is to clarify procedural issues concerning the hearing and preparations for the hearing. The Prehearing Conversation is to be held prior to the hearing.
  4. Preparation: Prior to the hearing, the Student Affairs Advisor will distribute the investigation report to the charged person(s) (as set forth above), the charging person, and the Hearing Panel members. The charging person and the charged student(s) will have three business days from the receipt of the investigation report to send any response, including a list of any questions that they believe the Panel should ask the other party and/or the investigation committee based on the findings presented in the investigation report. These should be submitted to the Student Affairs Advisor for the respective program.

VIII. The Hearing

  1. 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.
  2. Roles:
  3. Rules of evidence: The hearing will not be conducted according to rules of evidence or the procedures used in a court of law. The Honor Code Co-Chair will make determinations on the admissibility of evidence. Honor Code hearings are educational, not legal, proceedings.
  4. Decisions: At the conclusion of the hearing, the Hearing Panel members and Student Affairs Advisor of the respective program will meet privately to discuss the hearing. Thereafter, all five members 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 respective program will act as the Executive Secretary to the Hearing Panel, providing information on precedent and procedures, but may not be involved in determination.
  5. 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 (i.e., that it was more likely than not that a violation occurred).
  6. Determination and Sanction Recommendation: After a decision on responsibility has been reached, a voting member of the Hearing Panel will compile a sanction recommendation and present it to the Student Affairs Advisor.

IX. Acceptance of Charge for Suspected Violation

At any point in the hearing process, at the charged person(s) sole discretion, they may accept responsibility for the alleged violation and thus waive their right to a hearing. The charged person(s) must inform the Student Affairs Advisor directing the hearing of their decision, and subsequently provide them with a written and signed statement, detailing what violation the student is taking responsibility for. In such situations, the sub-committee, after being briefed by the investigating committee and with the advice of the Student Affairs Advisor for the respective program, will determine the recommended sanctions for the violation per Section V above. Possible sanctions are listed below. The charged person(s) retains the right to appeal these sanctions to the Dean of Kellogg or their designee using the procedures outlined below.

X. Sanctions

  1. Recommendation of Sanctions: If the student/s is/are found to be responsible for violating the Honor Code, the Hearing Panel 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:
    1. Loss of student /alumni rights and privileges for a specified period
    2. Required service
    3. Reduced or failing grade *
    4. Loss of eligibility for academic honors or student awards
    5. Loss of participation in graduation ceremony
    6. Required educational programming
    7. Probation
    8. Suspension
    9. Exclusion from Kellogg and Northwestern University
    10. Expulsion from Kellogg and Northwestern University
      *Any sanction involving a reduced or failing grade will serve as a recommendation to the appropriate faculty member of the course in question.
  2. Reporting of Sanctions:
    1. A sanction of Probation will be noted in a student’s file until the time of graduation.
      1. Should no other infractions of the Honor Code occur during that time, the notation will be removed at the time of graduation.
      2. Should another infraction occur, the notation will be made a permanent part of the student’s school record, and may be reported externally.
    2. 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. This is reportable outside of the University.
    3. A sanction of Exclusion or Expulsion will be recorded on the student’s transcript. This is reportable outside of the University.
  3. Notification of Determination and Sanctions:
    1. For all cases, the Hearing Panel member directing the hearing will create a letter of determination and/or sanction recommendation report and submit it to the Student Affairs Advisor.
    2. The Student Affairs Advisor provides the 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.
      1. Should there be concerns regarding the factual determination of the case, the respective Kellogg Dean may refer the case back to the Honor Code Committee.
      2. Should there be no such concerns regarding the factual determinations, the respective Kellogg Dean will approve or modify the recommended sanctions at their discretion.
    3. Upon receipt of approval of any recommended sanction(s) from the respective Kellogg Dean, the Student Affairs Advisor will share any relevant sanction (i.e., reduced or failing grade) with any faculty who were involved in the case. The Honor Code Committee must receive approval from the faculty for any sanctions impacting the grade of the accused student.
    4. Once all sanctions are approved from the respective Kellogg Dean and the faculty member (as appropriate), the Student Affairs Advisor will provide the charged person (s) with written notice of the panel’s determination of responsibility and the final sanction(s), if any.
    5. In the case of an appeal, a file containing all documents and physical evidence needed to evaluate the case will be made available to the Dean’s Office of Kellogg.

XI. Appeals

  1. Appeal to the Dean's Office: Within five business days of the date of written notice of the Hearing 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 be considered on the basis of a perceived unduly harsh sanction(s), new and 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:
    1. The date the appeal is filed;
    2. The name, email address and telephone number of the person making the appeal; and
    3. The basis for the appeal.
  2. The appeal must also be forwarded to the relevant Honor Code Committee members. The members of either the Investigation Committee or the Hearing Panel will be permitted to reply to the relevant Dean of Kellogg in writing to address the issues raised by the appeal.
  3. Results of Appeals: In connection with any appeal, the relevant Dean of Kellogg may accept the Honor Code Committee’s findings or sanctions in whole or in part, or fashion a decision they feel is more appropriate at their discretion.
  4. Notification: The Dean of Kellogg will notify the charged person of their decision in writing generally 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.

XII. Informal Resolution

An Informal Resolution may be sought when the reporter of a behavioral concern or a potential academic Honor Code violation does not wish to pursue formal resolution, when there is not enough evidence of a violation to initiate a formal honor code investigation or when a behavior/action is not aligned with Kellogg/Northwestern’s values but does not rise to the level of a violation of the Kellogg Honor Code.  Informal resolution involves action taken by the Kellogg administration in response to the reported concern but does not result in findings related to responsibility. Informal Resolution is a final resolution and may not be pursued when there is a pending disciplinary case regarding the same matter under the Kellogg Honor Code or other University policies/procedures.  Options for informal resolution include, but are not limited to:

  • An educational meeting with a senior administrator, student or community
  • Changes in academic, work, or extracurricular involvement
  • A no contact directive placed between students or between a student and another member of the University community
  • A formal advisory letter requesting that a student cease current behaviors
  • Deferred conduct action

Records of Informal Resolution will be maintained in the same manner as records of Honor Code investigations and cases. In the event that a subsequent honor code concern arises, records of Informal Resolutions will be incorporated into the investigation process. 

XIII. Records

Notes 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. A file containing all documents and physical evidence needed to evaluate the case will be made available to the Dean’s Office of Kellogg in the event of an appeal.

XIV. Annual Report

The Student Affairs Advisors for the MBA 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 MBA programs. No student names or other personally identifiable information should be included in the report. The annual report is to be compiled at the end of the summer quarter/academic year and shared during the fall quarter..

XV. Amendments

It is envisioned that from time to time amendments to the Kellogg Honor Code may be necessary to clarify or amend provisions. Such amendments may be proposed by a Dean-designated committee comprised of student representatives from each MBA program, faculty and staff, or they may be proposed by the Kellogg administration. Any recommended changes will be proposed 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 or Kellogg administration will share its final recommendations with the Dean of Kellogg , who shall have final approval of any proposed amendments at their discretion.