FSM Contract Review Process
The purpose of the FSM contract review process is to protect you, your department, the Feinberg School of Medicine and Northwestern University from liability.
- For the Feinberg School of Medicine, only the Dean's Office is authorized to sign contracts and agreements on behalf of the University. End users within departments do NOT have the authority to sign ANY contracts or agreements with outside parties in the name of the University or one of its departments/schools.
- Agreements valued over $100,000 must be reviewed and approved by the Office of General Counsel before being submitted for Dean's Office review and signature.
- Agreements must name Northwestern University to be signed by the Dean's Office. Agreements made out to Northwestern Medicine, other affiliates or individuals cannot be signed by the Dean’s Office.
FSM Contract Request Form Overview
- To submit an agreement for Dean's Office signature, users must complete the FSM Contract Request Form.
- The following chart should be reviewed to determine the correct agreement type, routing, and necessary documentation prior to completing the online request form. Agreements should not be submitted for signature until all documentation and additional approvals are obtained.
- All documents requiring signature and listed in bold in the chart below should be combined as a single PDF and uploaded as the Agreement, while all other necessary documentation should be combined into a single PDF and uploaded as Supporting Documentation to the online request form.
| Agreement Type | Dean's Office | Description | Documentation *Required |
|---|---|---|---|
| Charitable Donation | Finance & Administration | Requests for Dean’s Office Approval to provide donations to or fundraise for a not-for-profit charitable organization in adherence to the Charitable Donations by the University Policy. |
|
| Event | Finance & Administration |
Agreements related to events including:
|
|
|
Research Agreements:
|
Scientific Affairs & Graduate Education |
Agreements related to research, typically on a University-approved template |
|
| Other |
Finance & Administration (Non-Sponsored) Scientific Affairs & Graduate Education (Sponsored) |
Other agreements not listed above including:
|
|
Documentation
1. Rider
2. Office of General Counsel (OGC) Approval
For more information, refer to OGC’s Contract Review Process and Resources to determine whether the agreement requires review by OGC. Agreements requiring OGC review must receive OGC approval prior to submitting the agreement for Dean's Office signature with documentation of the approval included with the documentation uploaded to the form.
3. Office for Regulatory Affairs (ORA) Approval
4. Expense Policy Exception Form
For more information, refer to the NU Travel and Entertainment Policy. If the event requires an exception to the NU T&E policy, an expense policy exception form signed by the requestor must be included with the documentation uploaded to the form.
5. IT Approval
IT (and situationally, OGC) approval is required for the purchase of software, internet-based applications (e.g., Software-as-a-Service or “cloud-based” products) and other IT-related systems or services. Please contact Abby Cosentino-Boehm to determine if additional review or approvals are required. Agreements requiring IT review must receive IT approval prior to submitting the agreement for Dean's Office signature with documentation of the approval included with the documentation uploaded to the form.
Required Information
Charitable Donation
Charitable Donation requests will be routed to the Vice Dean for Finance and Administration in the FSM Office of Finance and Administration.
Northwestern University may provide donations to charitable organizations only as outlined in the Charitable Donations by the University Policy. Donations made at the direction of the president, provost or executive vice president or donations to attend or gain recognition at fundraising events require the Request Form to Provide Donations to or Fundraise for a Registered Not-for-Profit Charitable Organization for approval from the requesting unit, school and university. Donations to for-profit businesses or organizations, foreign organizations and political activities are not permitted.
Required Information
Recipient's Information:- Organization's Address
- Federal Employer Identification Number (EIN)
- NUFinancials Supplier ID
Agreement Details:
- Vendor Name
- Total cost of Agreement (Requested Donation Amount)
- Chart String
- Purpose of Agreement
Documentation
Agreement:
- Request Form to Provide Donations*
- Proof of federal tax-exempt status*
- IRS Form W-9
- Event flyer
Approved charitable donation forms will be returned to the Requestor for routing to the Senior Associate Vice President for Finance & Treasurer for university approval.
In NUFinancials, the tax-deductible donation amount should be charged to account code 78654.
Event
Agreements related to Events will be routed to the Vice Dean for Finance and Administration in the FSM Office of Finance and Administration.
Required Information
Event Information:
- Event Name
- Date of Event
- Total expected cost of Event
- Additional costs may include any and all agreements in place related to the Event, including venue rental, equipment rental, catering, staffing, entertainment, etc.
- Expected number of attendees
- Estimated Revenue, if applicable
- Vendor Name
- Total cost of Agreement
- Chart String
- Purpose of Agreement
Documentation
Agreement:
- Agreement or contract
- Where applicable:
- Rider
- Expense Policy Exception Form
Supporting Documentation, where applicable:
- Approval from Office of General Counsel
- Approval from Office for Regulatory Affairs
- Copy of signed master agreement for an amendment being submitted for signature
- Event flyer
Important Note
- Liability is of heightened concern when the event includes alcohol, whether it is on or off campus. The university does not carry alcohol liability insurance because we are not in the business of serving alcohol. The vendor must provide alcohol liability coverage or no alcohol can be served. Importantly, if your department is providing alcohol in any manner, even a casual gathering, you are required to hire a licensed bartender.
- Departments should refer to Risk Management regarding liability insurance for serving of alcohol at events.
Research Agreements
Agreements related to Research will be routed to the Vice Dean for Scientific Affairs & Graduate Education in the FSM Research Office.
The following agreement types will route to the FSM Research Office:
- Business Associate Agreements
- Facility Use Agreements
- Graduate Student Placements
- Purchase Orders
Many research agreements have and should use a University-approved template. Available templates may be found on the Procurement and Payment Services Contract Process page. Departments should inquire with the FSM Research Office for other available agreement templates not listed on the PPS website.
From Procurement and Payment Services:
- Using university approved templates or forms that are unmodified by vendors can decrease the amount of time it takes to issue a purchase order and ensures terms that are favorable to the university as a buyer.
- If the vendor returns a Northwestern approved form with modifications or insists on using a non-Northwestern form for the contract, please review the agreement and discuss with business stakeholders before reaching out to subject matter experts.
Required Information
Agreement Details:
- Vendor Name
- Total cost of Agreement
- Chart String
- Purpose of Agreement
Documentation
Agreement:
- University-approved agreement template or vendor's agreement
- Rider, where applicable
Supporting Documentation, where applicable:
- Approval from Office of General Counsel
- Approval from Office for Regulatory Affairs
- Approval from IT
- Copy of signed master agreement for an amendment being submitted for signature
Other
Other agreements not listed above will be routed depending on funding source. Agreements charged to non-sponsored funding sources will be routed to the Vice Dean for Finance and Administration in the FSM Office of Finance and Administration, while agreements charged to sponsored funding sources will be routed to the Vice Dean for Scientific Affairs & Graduate Education in the FSM Research Office.
Some examples of these agreements are advertising services, software agreements, equipment rental agreements, maintenance agreements, service agreements and agreements to share resources with other institutions.
Required Information
Agreement Details:
- Vendor Name
- Total cost of Agreement
- Chart String
- Purpose of Agreement
Documentation
Agreement:
- Agreement or contract
- Rider, where applicable
Supporting Documentation, where applicable:
- Approval from Office of General Counsel
- Approval from Office for Regulatory Affairs
- Approval from IT
- Copy of signed master agreement for an amendment being submitted for signature
Additional Information
Paying Vendors
When paying the vendor, the following documentation must be uploaded to the NUFinancials Requisition or Payment Request to ensure timely processing:
- Approved documentation (e.g., agreement, rider)
- Event flyer or invitation
- Guest list
- Approved Expense Policy Exception (where applicable)
For approved charitable donations, the tax-deductible donation amount should be charged to account code 78654.
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