1. Personnel Policies Required by the State Officials and Employees Ethics Act
   

   No university employee shall conduct any political activity prohibited by the State Officials and Employees Ethics Act on university-compensated work time (other than "vacation, personal, or compensatory time off"), nor shall any university employee misappropriate any university property or resources for any prohibited political activity. Nothing in this policy prohibits activities that are otherwise appropriate for a university employee or Trustee to engage in as a part of his or her official university duties, or activities that are undertaken by a university employee or Trustee on a voluntary basis as permitted by law.
   (5/7/09)

2. Conflict of Interest Policy
   
   
   1. Preamble
      
      The Southern Illinois University Board of Trustees acknowledges that as members of the Board, each Trustee has a fiduciary responsibility to the University, that each member is a steward of the public trust, that each member has a legal obligation to comply with relevant laws and regulations, and that each member has an ethical obligation to uphold the highest ethical standards in the conduct and discharge of the University business, academic, and service affairs.* Further, each member of the Board acknowledges that each member should take reasonable steps to avoid even the appearance of a conflict of interest or something that might be perceived as improper or inappropriate.
      
      A Trustee shall be considered to have a conflict of interest if (a) such Trustee has existing or potential financial or other interests which impair or might reasonably appear to impair such member's independent, unbiased judgment in the discharge of his or her responsibilities to Southern Illinois University, or (b) such Trustee is aware that a member of his or her family, or any organization in which such Trustee (or member of his or her family) is an officer, director, employee, member, partner, trustee, or controlling stockholder, has such existing or potential financial or other interests. For the purposes of this provision, a family member is defined as a spouse, parent, sibling, child, and any other relative who resides in the same household as the Trustee.
      
      Each Trustee shall complete and sign a conflict of interest disclosure form annually, prior to the Board's first regular meeting of each calendar year, which shall indicate that the Trustee acknowledges a conflict of interest or potential conflict of interest, if any, and shall recuse himself or herself pursuant to the procedures adopted by the Board.  In addition, a Trustee must also make changes to their disclosure form as his or her situation changes or conflicts of interest or potential conflicts of interest arise throughout the year.  If a question arises as to whether a conflict exists, a Trustee shall disclose in writing to the Chair of the Board and the General Counsel any possible conflict of interest at the earliest practical time, and if such disclosure is complete, shall be entitled to rely upon the opinion of the General Counsel as to whether a conflict exists. If a conflict does exist, the General Counsel shall disclose the conflict to the Board and the Trustee shall abstain from discussions of and advocacy for, voting on the matters under consideration by the Board of Trustees or its committees. The minutes of such meeting shall reflect that a disclosure was made and that the Trustee having a conflict or potential conflict abstained from deliberating and voting. The General Counsel shall maintain a confidential file of all such inquiries in the offices of the Board of Trustees.
      
      Nothing in this policy shall be construed to abridge, abrogate or otherwise alter any professional privileges recognized by law including but not limited to the attorney- client privilege, doctor-patient confidentiality and mental health provider privileges.
   2. Trustee Duties and Obligations
      
      
      1. Time commitment
         
         In undertaking the duties of the office, a Trustee shall make the necessary commitment of time and diligence to carry out his/her public governance responsibilities.
      2. Trustees authority
         
         A Trustee shall not use the authority, title, or prestige of office to solicit or otherwise obtain a private financial, social, or political benefit that in any manner would be inconsistent with the public interest or the interest of the university, or to secure unwarranted privileges or advantages for him/herself or others.
      3. Prohibited Activities
         
         A Trustee shall not have any interest (financial or otherwise, direct or indirect) or engage in any business transaction or professional activity that is in substantial conflict with the proper discharge of his/her duties in the public interest and shall not act in his/her official capacity in any manner wherein he/she has a direct or indirect personal, financial or political interest that might reasonably be expected to impair the Trustee's objectivity or independence of judgment. A Trustee or member of his or her family who resides in the home of the Trustee is prohibited from entering into any contract for the purchase of goods or services by the University. Student members shall not be deemed to have a conflict of interest under this policy because of their student status.
      4. Use and Disclosure of Information
         
         A Trustee shall not willfully disclose any information not generally available to members of the public that he/she receives or acquires in connection with his/her official duties, nor shall he/she use such information for the purpose of securing personal, financial, or political gain for him/herself or others with whom he/she is associated.
      5. Conduct in the Public Interest
         
         Trustees should strive to conduct themselves in a manner that serves the best interests of the public and the university. A Trustee shall not knowingly act in any way that might reasonably be expected to create an impression or suspicion among the public that he/she is engaged in conduct violative of his/her trust as a Trustee.
   3. Conflict of Interest Procedures

      Upon completion of the annual disclosure form, or any update thereto throughout the year, any member shall disclose that a potential conflict of interest exists and advise the Chair and the General Counsel of such disclosure. In such an event, the Trustee shall be deemed an Interested Trustee and shall be governed by the Conflict of Interest procedures. A majority of disinterested Trustees may determine that a potential conflict of interest exists. Upon such disclosure, and if a majority of the then present disinterested Trustees at the meeting determine that a conflict of interest exists and is material to the particular matter being considered, all Board proceedings regarding such matters shall be governed by the Conflict of Interest procedures.

      Procedures
      
      
      1. Upon completion of the annual disclosure form, or any update thereto throughout the year, in the event a conflict of interest or potential conflict of interest is identified, the Interested Trustee shall refrain from exerting in any manner, his or her personal influence over the decision of such matter; and
      2. Thereafter, if requested by the Chairperson or the Vice Chair, in the event the Chair is the subject matter of the conflict, the Interested Trustee shall not participate in any discussions, recommendations, determinations, and decisions concerning the particular matter; and
      3. The Board and/or committee shall take no action on the matter unless and until a quorum of disinterested Trustees is present; and
      4. The Interested Trustee shall not vote on the particular matter. The Interested Trustee must recuse him or herself from Board deliberations or actions if the Trustee believes that a duality or conflict of interest exists with respect to any such deliberations or actions. Any such recusal shall not release the Trustee from making full disclosure upon request of the Board as set forth hereinabove.
      5. Any disputed issues relating to the existence of a conflict of interest requiring recusal shall be decided by the Board. The majority of disinterested Trustees shall determine whether there is a conflict of interest. In all cases the Board is the final authority on conflict questions.
      6. Upon identification of a conflict of interest or potential conflict of interest, if the conflict involves a matter that relates to university procurement, the General Counsel shall notify the procurement offices at Southern Illinois University Carbondale, Southern Illinois University Edwardsville, and the Southern Illinois University School of Medicine.
      The Chair of the Board, or his or her designee shall annually disclose to the Board, Governor, the Senate President, and the Senate Minority Leader all conflicts of interest as determined by the member or the Board.
   4. Recusal

      Members of the Board shall recuse themselves from any discussion, vote, decision or activity related to a matter which either they determine or the Board determines is a conflict of interest. The Board's determination shall be final and shall be based on the majority of disinterested Board members, i.e., those members not having a conflict of interest in the matter or activity.

      Recusal shall mean the removal by the member or the Board of a member or members from acting as policymaker, judge, advocate or decision maker related to a particular matter of material substance to the University or Board.

   5. Gifts and Expenses
      
      
      1. Acceptance of Gifts

         A Trustee shall not accept any gift, favor, service, accommodation or other thing of value under circumstances from which it might reasonably be inferred that such gift, service or other thing of value was given or offered for the purpose of influencing him/her in the discharge of his/her official duties. A Trustee shall comply with the relevant gift ban provisions of the State Officials and Employees Ethics Act. A Trustee may, however, accept from University officials complimentary tickets to University-sponsored events.

      2. Reimbursement for Expenses

         A Trustee serves without compensation. However, he/she is entitled to receive payment for expenses incurred while representing the University in his/her official capacity.

   * Attribution

   Conflict of interest policies are governed by state and federal laws and statutes. As such, policies at many institutions can look very similar to that proposed by Southern Illinois University. This policy was developed in accordance with the Southern Illinois University Management Act (110 ILCS 520/0.01 et al.), the State Officials and Employees Ethics Act (5 ILCS 430/1-1 et al.), the Illinois Governmental Ethics Act (5 ILCS 420/1.101 et al.) as well as various Illinois Attorney General opinions, and state and federal appellate decisions. Additionally, policies from several other universities were reviewed including, but not limited to: University of Illinois, Northern Illinois University, Western Illinois University, American University, Boston University, Catholic University, Universi ty of Michigan, University of Minnesota, University of Tennessee, Vanderbilt University, Montclair State University, and University of Northern Colorado.

   (5/7/09, 12/12/13)

3. Student Loan Code of Conduct Policy
   
   
   1. Revenue Sharing Prohibition
      
      Southern Illinois University ("SIU" or "University") and any of its affiliates or University related organizations shall not accept or receive anything of value from any entity (other than an institution of higher education or a governmental entity such as the U.S. Department of Education) involved in the making, holding, consolidating or processing of any student loans ("Lending Institution") in exchange for favorable consideration by the University, including, but not limited to, designation of the institution on its preferred or approved lender list. Designation on the University's lender list, preferred or otherwise, shall be the result of compliance with the University's established and published guidelines.
   2. Gift and Trip Prohibition
      
      University employees with responsibilities involving student financial aid, including administrative/executive officials with decision-making authority over financial aid operations, are prohibited from receiving gifts and/or trips of more than nominal value from any Lending Institution. This prohibition includes, but is not limited to, members of the Board of Trustees, the President and members of the President's staff, each Chancellor and members of the Chancellors' staff, the Financial Aid Directors, their supervisors and employees of the Office of Financial Aid.
   3. Advisory Board Membership
      
      University employees with responsibilities involving student financial aid, including administrative/executive officials with decision-making authority or ultimate authority over financial aid operations, are prohibited from serving on an advisory board or a corporate board of any Lending Institution. This prohibition includes members of the Board of Trustees, the President and members of the President's staff, each Chancellor and members of the Chancellor's staff, the Financial Aid Directors, their supervisors and employees of the Office of Financial Aid.
   4. Lender Guidelines
      
      The University shall develop, publish and enforce lender guidelines which shall establish the criteria for inclusion or designation as a preferred or approved lender and the process by which financial institutions will be selected for student loan program participation. Nothing in the guidelines shall impair the right of the student to select the lender of their choice.
   5. Lender Guidelines - Review and Publication
      
      The University shall periodically review, and if deemed necessary, revise the guidelines and shall publish any changes made to the guidelines. The University shall also publish the material provisions of each lender program including what the lender's rates are, whether said lender sells its loans and other relevant information.
   6. Call - Center Prohibition
      
      The University prohibits employees of Lending Institutions from serving as the representatives of the University. The University will train and monitor its employees in financial aid services in an effort to enhance the service provided to the students and their families, to ensure that the distribution of information is accurate and timely, and provided in an objective, independent manner.
   7. State Officials and Employees Ethics Act
      
      Nothing in these policies shall limit or otherwise alter the obligation of University officials and employees to comply with the relevant provisions of the State Officials and Employees Ethics Act (5 ILCS 430/1 et seq.) ("Ethics Act").
   8. Sanctions
      
      Any University employee who violates this Code of Conduct may be subject to discipline, up to and including discharge, by the appropriate authority within the University system.
      
      The Board of Trustees may take action limiting the responsibility of any Member found to be in violation of this Code of Conduct or the Ethics Act.
   (11/08/07, 5/7/09)

4. Policy on Sexual Harassment
   
   
   1. Sexual Harassment Policy Statement
      
      Southern Illinois University is committed to a policy of providing equal employment and educational opportunities. In particular, Southern Illinois University is committed to maintaining a community in which students, faculty, and staff can work and learn together in an atmosphere free of all forms of discrimination, including sexual harassment. Sexual harassment violates the dignity of the individual and the integrity of the University as an institution of higher learning, and thus, sexual harassment in any form will not be tolerated at Southern Illinois University. This policy applies to all employees, students, contractors, and visitors of Southern Illinois University.
      
      This policy prohibits sexual harassment, retaliation related to sexual harassment claims, knowingly reporting false sexual harassment complaints and knowingly providing false information during the investigation of a sexual harassment complaint. All University employees are responsible for taking reasonable and necessary action to prevent sexual harassment, and all members of the University community are expected to contribute to an environment free of sexual harassment, and are encouraged to report promptly (pursuant to campus procedures) any conduct that could be in violation of this policy. Each SIU campus shall adopt specific procedures for reporting, investigating and resolving harassment claims.
      
      This policy shall not abridge any individual's speech and due process rights under the First and Fourteenth Amendments; nor shall it abridge principles or rights of academic freedom or the University's educational mission. Prohibited sexual harassment and discrimination are not expression protected as a matter of academic freedom.
   2. Definition of Sexual Harassment
      
      Sexual Harassment in employment means any unwelcome sexual advances, requests for sexual favors, or any conduct of a sexual nature, when:
      1. Submissions to or toleration of such conduct is made, either explicitly or implicitly, a term or condition of an individual's employment (this is a type of quid pro quo - meaning “this for that” - sexual harassment); or
      2. Submission to or rejection of such conduct by an individual is used as a basis (or threatened to be used as a basis) for employment decisions or assessments affecting such individual (this is a type of quid pro quo - meaning “this for that” - sexual harassment); or
      3. Such conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment (this is a type of hostile environment sexual harassment).
      Sexual Harassment in higher education means any unwelcome sexual advances, requests for sexual favors, or any conduct of a sexual nature, when:
      1. Submission to or toleration of such conduct is made, either explicitly or implicitly, a term or condition affecting the student's participation in or benefit from any of the academic, educational, extra-curricular, athletic, or other programs of the University (this is a type of quid pro quo - meaning “this for that” - sexual harassment ); or
      2. Such conduct has the purpose or effect of substantially interfering with a student's academic performance or creating an intimidating, hostile, or offensive academic environment (this is a type of hostile environment sexual harassment).
      Hostile environment sexual harassment occurs when unwelcome conduct of a sexual nature is so severe, persistent, or pervasive that it affects an employee's work performance, limits a student's ability to participate in or benefit from a University program or activity, or creates an intimidating, threatening or abusive working or academic environment. Sexual harassment generally includes something beyond the mere expression or display of views, words, symbols, images, or thoughts that some person finds offensive.
      
      Totality of the Circumstances: In determining whether alleged conduct constitutes sexual harassment, the record as a whole and the totality of the circumstances will be considered. Circumstances may include the frequency of the conduct; its severity; whether it was physically threatening or humiliating, or a mere offensive utterance; and whether it unreasonably interfered with the alleged victim's work performance or ability to participate in or benefit from the University's programs. The objective severity of the conduct will be judged from the perspective of a reasonable person in the position of the alleged victim and not on the intent of the person engaging in the conduct.
      
      Examples of behavior that may be considered sexual harassment include, but are not limited to:
      1. Physical sexual assault or coerced sexual intercourse;
      2. Unwelcome physical contact, such as touching of a person's body, hair or clothing, or hugging, patting or pinching;
      3. Direct or implied threats that submission to sexual advances will or could be a condition of employment, work status, promotion, performance evaluation, grades, letters of recommendation, or other work or educational benefit (quid pro quo);
      4. Severe or persistent unwelcome verbal, physical or other expressive conduct that is offensive or humiliating in a sexual way. Such conduct may include comments of a sexual nature and/or sexually explicit statements, questions, jokes, anecdotes, gestures, or facial expressions that would offend or humiliate a reasonable person in the circumstances of the individual experiencing this conduct. Conduct need not be in person but can be any form of communication including but not limited to written, telephonic, or electronic communication such as electronic mail and/or comments sent via the internet.
      5. Exhibition or use of sexually explicit materials in the workplace or learning environment that have no relationship to the curriculum or research or the mission of the University and substantially interfere with an employee's work performance or a student's ability to benefit from University programs. Such materials may be in the form of music, documents, objects, photographs, film or electronically generated materials.
      6. Any unwanted, inappropriate behavior that is targeted to a person or person(s) because of their gender or sexual orientation, for example repeatedly telling women (or men) that they are not capable of doing a certain kind of work.
      7. Amorous or sexual relationships between a faculty member and a student under his or her academic supervision or between a supervisor and an employee under his or her supervision, where the direct power differential compromises the subordinate's free choice. (Even consenting relationships may lead to an actual or perceived conflict of interest or other unethical conduct. See policies on consenting relationships.)
      Retaliation is defined as any act of reprisal, including negative or otherwise unwarranted treatment, related to the reporting of, or participation in a complaint of sexual harassment. Retaliation may include, but is not limited to:
      1. Taking negative tangible employment actions against a person;
      2. Taking actions that substantially interfere with or have a chilling effect on the employee's or student's ability to participate fully in and benefit from the work or educational environment;
      3. Failing to provide assistance or instruction that would otherwise be provided;
      4. Failing to fairly and/or objectively evaluate an employee's or student's performance;
      5. Failing to record an appropriately earned grade for a student; or
      6. Otherwise sabotaging an employee's or student's performance or evaluation.
      It is a violation of this policy to engage in any retaliatory acts against an employee or student who reports an alleged incident of sexual harassment, or any employee or student who testifies, assists, or participates in a proceeding, investigation, or hearing relating to an allegation or complaint of sexual harassment.
   3. Duty to File in Good Faith/ False Reports
      
      Any person who reports alleged sexual harassment or provides information during the investigation of a complaint is presumed to have participated in the investigatory process in good faith. It is a violation of this policy for persons to knowingly make a false sexual harassment complaint or knowingly provide false information during the investigation of a complaint.
   4. Implementing Procedures
      
      This Sexual Harassment Policy is to be implemented throughout the University, and procedures consistent with this policy for such implementation are to be established on each campus. The President is authorized to delegate to each Chancellor, the authority to develop procedures for the implementation of this Sexual Harassment Policy.
   Attribution
   
   Sexual harassment policies are governed by state and federal laws and statutes. As such, policies at many institutions can look very similar to that proposed by SIUC. This policy was developed in accordance with the Illinois Human Rights Act (775 ILCS 5/2 and 775 ILCS 5/5 and 775 ILCS 5/5a), the Equal Employment Opportunity Commission Regulations (29 C.F.R § 1604.11); and guidance issued by the United States Department of Education Office of Civil Rights. Additionally, policies from several other universities were reviewed including: University of Massachusetts Amherst, University of Michigan, University of North Carolina at Chapel Hill, Michigan State University, University of North Carolina At Greensboro, University of Maine, Indiana University, Indiana University – Purdue University at Indianapolis, Purdue University, University of Southern Indiana – Evansville, New York University, University of Illinois, University of Massachusetts – Boston, City University of New York, Northwestern University, Illinois State University, University of Colorado System, Youngstown State University, Princeton University, Michigan State University, and University of Florida – Gainesville.
   
   (5/7/09)

5. Policy on Non-Discrimination and Non-Harassment

   It is the policy of Southern Illinois University that all students, faculty, staff, and guests should be able to enjoy and work in an educational environment free from discrimination, and harassment. Discrimination against any person or group of persons based on race, color, national origin, ancestry, religion, sex, sexual orientation including gender identity, marital status, age, physical or mental disability, military status, unfavorable discharge from military service, or veteran's status is specifically prohibited in the Southern Illinois University community. This policy on non-discrimination and non-harassment reaffirms Southern Illinois University's commitment to maintain an environment in which ideas are pursued free of intimidation or fear, and the Policy applies to admissions, employment, access to and treatment in all University programs and activities.

   Discriminatory harassment includes, but is not limited to, conduct (oral, written, graphics or physical) directed against any person or group of persons because of race, color, national origin, ancestry, religion, sex, sexual orientation including gender identity, marital status, age, physical or mental disability, military status, unfavorable discharge from military service, or veteran's status that has the purpose of or reasonably foreseeable effect of creating an offensive, demeaning, intimidating or hostile environment for that person or group of persons. Such conduct includes but is not limited to objectionable epithets demeaning depictions or treatment and threatened or actual abuse or harm.

   Harassment of any kind is strictly prohibited and may also be a violation of federal and or state laws. Each Chancellor is authorized to develop or use existing procedures for his or her respective campuses to address discrimination and harassment.

   (3/13/03, 5/7/09, 04/14/11, 3/24/16, 3/28/19)

6. Plagiarism Policy

   Definition

   Plagiarism is presenting another existing work, original ideas, or creative expressions as one's own without proper attribution. Any ideas or materials taken from another source, including one's own work, must be fully acknowledged unless the information is common knowledge. What is considered “common knowledge” may differ from subject to subject. To avoid plagiarizing, one must not adopt or reproduce material from existing work without acknowledging the original source. Existing work includes but is not limited to ideas, opinions, theories, formulas, graphics, and pictures. Examples of plagiarism, subject to interpretation, include but are not limited to directly quoting another's actual words, whether oral or written; using another's ideas, opinions, or theories; paraphrasing the words, ideas, opinions, or theories of others, whether oral or written; borrowing facts, statistics, or illustrative material; and offering materials assembled or collected by others in the form of projects or collections without acknowledgment.

   Glossary

   The following are terms and their definitions derived from scholarship on plagiarism and used in this working guide.

   • Adapt: “To make suitable (for a new or different use or situation) by means of changes or modifications."[1]
   • Adopt: “To take over . . . esp. with little or no change in form . . . ADOPT may stress the fact that the belief or practice is not of one's own invention but is voluntarily taken from another's example"[2]
   • Common Knowledge: Knowledge presumed to be ubiquitous among members of the specific community being addressed.[3] Such communities may be broadly conceived, such as the entire citizenry, or much more narrowly conceived, such as only those who have studied geological evidence of the Late Cretaceous Period.
   • Competitive Context: A context where attribution for a work provides justification for status and advancement of status within a particular community. For example, within the academic community, attribution for published books and articles is used to justify promotion and tenure.
   • Developmental Plagiarism (in written communication, called patchwriting[1]): An unintended plagiarism that is caused by the plagiarist's effort to produce work that mimics that of a particular community while she or he is not adequately familiar with the ways of expression of that community. This kind of plagiarism can be seen as the product of an intermediate stage in the plagiarist's development from being an outsider to being an insider.
   • Existing Work: For this definition of plagiarism existing work is defined as all work of others and one's own previously created work misrepresented as newly created work. This definition is not intended to restrict the author from reusing his or her own ideas or materials in any way but does require that the author cite their previous work in appropriate circumstances.
   • Institutionalized Context: A context where official credit for a work does not represent a means of achieving status and advancement and where plagiarism is accepted and even expected and encouraged. For example, when writing reports and memos within many business settings, writers are expected to employ the organization, language, and even the content of previous reports and memos.
   • Intentional Plagiarism: Conscious and deliberate plagiarizing of a source or sources.
   • Publication Format: Citation requirements differ with different publication formats. This policy recognizes that the author often does not have control over the format of the publication and therefore should not be held responsible for editorial policies of the publisher.
   • Unintentional Plagiarism: Plagiarism that is due to carelessness, a misremembering (believing some language or even a substantial portion of a text is one's own creation when it is not), memory bias (false memory recollection of creating or generating an original work when in fact it was created or generated by another), a misreading of context (believing one is producing a text within an institutionalized context when the context is actually competitive), or an inadequate understanding of the citation requirements of authorship within a particular community.

   Guidelines

   An act of plagiarism can be either intentional or unintentional. As an institution, our first recourse to fight plagiarism must be to try to eliminate unintentional plagiarism by educating all members of the University community as to what plagiarism is and how to avoid it.

   Some instances of plagiarism are minor, involving small quantities of copied textual material, and these minor cases do not warrant extensive investigation. We do not endorse policies and procedures that might stifle the routine use of source material in all legitimate research and, thus, the dissemination of knowledge. The academy in general and this institution in particular, however, cannot abide the intentional misrepresentation of source material as one's own in order to fraudulently advance one's status within the academy or outside the academy.

   That said, there may be extenuating circumstances involved even in cases of substantial intentional plagiarism. While such circumstances might mitigate punishment for such offenses, they cannot altogether absolve the intentional plagiarist from punishment. The SIU Board of Trustees then seeks to emphasize the responsible investigation of and just resolution to every case of intentional plagiarism. The distinction between institutionalized and competitive contexts within all academic disciplines should be recognized. Each campus and its academic units are encouraged to adopt policies and procedures to address plagiarism that recognize institutionalized and competitive contexts within all academic disciplines in each respective unit.

   Finally, the context of student plagiarism is different from that of others in the academy and beyond academia. Although students may perceive the context of their work, at least at times, as being institutionalized, in fact, schoolwork is produced always within a competitive context. School assignments are intended to facilitate learning or to assess learning or both. Plagiarism undermines those purposes. The distinction between institutionalized and competitive contexts within all academic disciplines should be recognized; students should assume they always produce their schoolwork within a competitive context that does not allow plagiarism. Faculty members are encouraged to watch for developmental plagiarism in student work, and students should be given opportunities to learn from such cases.

   In providing an appropriate response to any accusation of plagiarism, then, the following factors should be taken into account.

   • Context: That is, whether the context was institutionalized or competitive. Determination of context should be based on the discipline or community's typical attitude toward the citation of source material for that particular genre and situation, as well as past experience of those producing similar texts within the particular discipline or community, and in cases involving student plagiarism, whether the instructor indicated that the assignment was meant to be completed as if within an institutionalized context.
   • Intent: That is, whether the plagiarist intended to plagiarize in order to fraudulently advance his or her status within the academy.
   • Seriousness of the offense: That is, how substantial and significant the plagiarism was.
   • Engagement with the source material: That is, whether the plagiarist adapted the source material with a recognizable intent to integrate the content honestly within his or her own work or mindlessly adopted the source material without a recognizable intent to integrate it.
   • Extenuating circumstances: That is, whether there exist circumstances that mitigate punishment for the offense.

   Equally important as having an informed plagiarism policy is its implementation. Research indicates that many university and college faculties nationwide are, like their students, uncertain about what constitutes plagiarism. We also strongly suspect that faculty members, staff, and students alike will not be sufficiently motivated without encouragement to seek out, read, and study our institution's plagiarism policies. Even then, institutional policy alone cannot fully educate a person in the subject of plagiarism. Given these limitations, we feel it is imperative that Southern Illinois University aggressively offer faculty members, staff, and students opportunities to learn how to correctly quote, paraphrase, summarize, cite, and document ideas and expression from sources and thus how to avoid unintentional and intentional plagiarism. To that end, committee members from SIU Carbondale have appended further recommendations that they believe would facilitate an adequate implementation on its campus of the University's plagiarism policy.

   Acknowledgement

   Southern Illinois University hereby credits the following non-exclusive list of materials and resources in the drafting and implementation of the policies, procedures and guidelines within the institutionalized context of the development of institutional policies and related materials:

   References and Selected Resources

   • Angelil-Carter, S. Stolen Language?: Plagiarism in Writing. New York: Longman, 2000.
   • Austin, Wendy Warren. “Plagiarism, Ghostwriting, Boilerplate, and Open Content: Authorship in the Virtual Workplace.” The Handbook of Research on Virtual Workplaces and the New Nature of Business Practices. Eds. Pavel Zemliansky and Kirk St. Amant.. Hershey, PA: Idea-Group Publishers, 2008.
   • Barnbaum, C. “Plagiarism: A Student's Guide to Recognizing It and Avoiding It.” http://www.valdosta.edu/%7Ecbarnbau/personal/plagiarism.htm.
   • Bink, M.L., Marsh, R.L., Hicks, J.L., & Howard, J.D. “The Credibility of a Source Influences the Rate of Unconscious Plagiarism.” Memory 7.3 (May 1999): 293-308.
   • Brent, Doug. “Rhetorics of the Web: Patchwriting.” http://english.ttu.edu/kairos/2.1/features/brent/patchwri.htm.
   • Brown, A.S., & Halliday, H.E. “Cryptomnesia and Source Memory Difficulties. American Journal of Psychology 104.4 (Winter 1991): 475-490.
   • Brown, A.S., & Murphy, D.R. “Cryptomnesia: Delineating Inadvertant Plagiarism.” Journal of Experimental Psychology: Learning, Memory, and Cognition 15 (1989): 432-442.
   • Carpenter, Siri. “Plagiarism or Memory Glitch?” Monitor on Psychology 33.2 (February 2002): http://www.apa.org/monitor/feb02/glitch.html.
   • Council of Writing Program Administrators. "Defining and Avoiding Plagiarism: WPA Statement on Best Policies." Jan. 2003.
   • Decco, Wilfried. Crisis On Campus: Confronting Academic Misconduct. Cambridge, MA: The MIT Press, 2002.
   • Defeldre, Anne-Catherine. “Inadvertent Plagiarism in Everyday Life.” Applied Cognitive Psychology 19 (2005): 1033-1040.
   • Dollinger, Stephen J., William M. Wells, Kathy G. Chonez, Jacob G. Jantzer, and Danielle M. Diers. “Report of the Ad Hoc Plagiarism Committee, College of Liberal Arts Council.” Southern Illinois University Carbondale, Spring 2006.
   • Dryden, L. M. “A Distant Mirror or Through the Looking Glass? Plagiarism and Intellectual Property in Japanese Education.” Perspectives on Plagiarism and Intellectual Property in a Postmodern World. Albany, NY: SUNY Press, 1999. 75-85.
   • English 391, Precision in Reading and Writing, Students. Responses to Draft Report of the SIU Plagiarism Committee. April 2008.
   • http://ori.dhhs.gov/documents/42_cfr_parts_50_and_93_2005.pdf Federal Register / Vol. 70, No. 94 / Tuesday, May 17, 2005 / Rules and Regulations DEPARTMENT OF HEALTH AND HUMAN SERVICES 42 CFR Parts 50 and 93 RIN 0940–AA04 Public Health Service Policies on Research Misconduct
   • Franklin-Stokes, A., & S. Newstead, S. “Undergraduate Cheating: Who Does It and Why?” Studies in Higher Education 20 (1995): 159-172.
   • Hayes, Niall, and Lucas D. Introna. “Cultural Values, Plagiarism, and Fairness: When Plagiarism Gets in the Way of Learning.” Ethics & Behavior 15.3 (2005): 213-231.
   • Hjortshoj, Keith. “Theft, Fraud, and Loss of Voice.” Transition to College Writing. Boston: Bedford/St. Martin's, 2001. Pp. 172-184.
   • Howard, Rebecca Moore. “Plagiarisms, Authorships, and the Academic Death Penalty,” College English 57 (1995): 708-736.
   • ---. Standing in the Shadow of Giants: Plagiarists, Authors, Collaborators (Ablex, 1999).
   • Indiana University Writing Tutorial Services. “Plagiarism: What It is and How to Recognize and Avoid It.” Indiana University, Bloomington, IN. http://www.indiana.edu/~wts/wts/plagiarism.html.
   • Jameson, D. “The Ethics of Plagiarism: How Genre Affects Writers' Use of Source Materials. Bulletin of the Association for Business Communication 56.2 (June 1993): 18-28.
   • Landau, J.D., & Marsh, R.L. “Monitoring Source in an Unconscious Plagiarism Paradigm.” Psychonomic Bulletin and Review 4 (1997): 265-270.
   • Lipsom, Abigail, and Sheila M. Reindl. “The Responsible Plagiarist: Understanding Students Who Misuse Sources.” About Campus 8.3 (July-August 2003): 7-14. ERIC 20 March 2007.
   • Lipson, Charles. Doing Honest Work in College: How to Prepare Citations, Avoid Plagiarism, and Achieve Real Academic Success. Chicago: U of Chicago P, 2004.
   • Lovett-Hooper, Gwena, Meera Komarraju, Rebecca Weston, and Stephen J. Dollinger. “Is Plagiarism a Forerunner of Other Deviance? Imagined Futures of Academically Dishonest Students.” Ethics & Behavior 17.3 (2007): 323-336.
   • Marsden, Helen, Marie Carroll, and James T. Neill. “Who Cheats at University? A Self-Report Study of Dishonest Academic Behaviours in a Sample of Australian University Students.” Australian Journal of Psychology 57.1 (May 2005): 1-10.
   • Marsh, R.L., & Bower, G.H. “Eliciting Cryptomnesia: Unconscious Plagiarism in a Puzzle Task.” Journal of Experimental Psychology 19.3 (May 1993): 673-678.
   • Marsh, R.L., & Landau, J.D. “Item Availability in Cryptomnesia: Assessing Its Role in Two Paradigms of Unconscious Plagiarism.” Journal of Experimental Psychology: Learning, Memory, and Cognition 21 (1995): 1568-1582.
   • Marsh, R.L., Landau, J.D., & Hicks, J.L. (1997). “Contributions of Inadequate Source Monitoring to Unconscious Plagiarism During Idea Generation.” Journal of Experimental Psychology: Learning, Memory, and Cognition 23 (1997): 886-897.
   • Martin, Brian. “Academic Credit Where It's Due.” Campus Review 7.21 (4-10 June 1997): 11. http://www.uow.edu.au/arts/sts/bmartin/pubs/97cr.html.
   • ----. (1994, Fall). “Plagiarism: A Misplaced Emphasis.” Journal of Information Ethics 3.2 (Fall 1994): 36-47.
   • ---. “Plagiarism and Responsibility.” J of Tertiary Educational Administration 6.2 (Oct. 1984): 183-190.
   • McCabe, Donald L. “Cheating: Why students do It and How We Can Help Them Stop.” American Educator 25.4 (Winter 2001), 38-43.
   • ---. “The Influence of Situational Ethics on Cheating Among College Students.” Sociological Inquiry 62.3 (1992): 365-374.
   • ---. “It Takes a Village: Academic Dishonesty and Educational Opportunity.” Liberal Education 91 (Summer/Fall 2005): 26-31. http://www.aacu.org/liberaleducation/le-sufa05/le-sufa05feature2.cfm.
   • McCabe, Donald L., and Patrick Drinan. “Toward a Culture of Academic Integrity.” Chronicle of Higher Education 46.8 (15 October 1999).
   • McCabe, Donald L., & Gary Pavela, “Ten [updated] Principles of Academic Integrity.” Change 36.3 (May/June 2004): 10-14.
   • McCabe, Donald, and Linda Klebe Treviño. “Academic Dishonesty: Honor Codes and Other Contextual Influences.” Journal of Higher Education 64.5 (1993), 522-538.
   • ---. “What We Know About Cheating in College.” Change 28.1 (January-February 1996): 28-33.
   • Moodie, Gavin. “Bureaucratic Plagiarism.” Plagiary: Cross Disciplinary Studies Plagiarism, Fabrication, and Falsification 1.6 (2006): 1-5.
   • Murphy, Richard. “Anorexia: The Cheating Disorder.” College English 52 (1990): 898-903.
   • Nelms, Gerald. Handouts for “Plagiarism as Educational Opportunity” Workshops, University Core Curriculum, Southern Illinois University Carbondale, October 2006.
   • Office of Research Integrity, US Department of Health and Human Services. “Policies: ORI Policy on Plagiarism.” http://www.ori.dhhs.gov/policies/plagiarism.shtml.
   • Pecorari, Diane. “Good and Original: Plagiarism and Patchwriting in Academic Second-Language Writing.” Journal of Second Language Writing 12 (2003: 317-345.
   • Pennycook, Alastair. “Borrowing Others' Words: Text, Ownership, Memory, and Plagiarism.” TESOL Quarterly 30 (Summer 1996): 201-230.
   • Price, Margaret. “Beyond ‘Gotcha!': Situating Plagiarism in Policy and Pedagogy.” College Composition and Communication 54.1 (September 2002): 88-115.
   • Roig, Miguel. “Can Undergraduate Students Determine Whether Text Has Been Plagiarized?” Psychological Record 47.1(Winter 1997): 113-122.
   • ---. “Plagiarism and Paraphrasing Criteria of College and University Professors. Ethics and Behavior, 11.3 (2001), 307-323.
   • ---. “When College Students' Attempts at Paraphrasing Become Instances of Potential Plagiarism.” Psychological Reports 84.3, pt.1 (June 1999): 973-982.
   • Sapp, David Alan. “Towards an International and Intercultural Understanding of Plagiarism and Academic Dishonesty in Composition: Reflections from the People's Republic of China.” Issues in Writing 13.1 (Fall/Winter 2002).
   • Scanlon, Patrick M. “Student Online Plagiarism: How Do We Respond?” College Teaching 51.4 (Fall 2003): 161-165.
   • Scanlon, Patrick.M. & David R. Neumann. “Internet Plagiarism Among College Students.” Journal of College Student Development 43 (May/June 2002): 375-384.
   • Scollon, R. (1995). Plagiarism and ideology: Identity in intercultural discourse. Language in Society, 24(1), 1-28.
   • Shei, Chris. “Chinese Learners and Plagiarism: Westernisation or Easternisation?” Newsletter (Northumberland) 1 (February 2006).
   • Shi, Ling. “Cultural Backgrounds and Textual Appropriation.” Language Awareness 15.4 (2006): 264-282.
   • Sowden, Colin. “Plagiarism and the Culture of Multilingual Students in Higher Education Abroad.” ELT Journal 59.3 (July 2005): 226-233.
   • Stark, Louisa-Jayne, and Timothy J. Perfect. “Elaboration Inflation: How Your Ideas Become Mine.” Applied Cognitive Psychology 20 (2006): 641-648.
   • Taylor, F.K. “Cryptomnesia and Plagiarism.” British Journal of Psychiatry 111 (1965): 1111-1118.
   • Thompson, Lenora C., and Portia G. Williams. “But I Changed Three Words! Plagiarism in the ESL Classroom.” Clearing House 69.1 (September-October 1995): 27-29.
   • University of Indiana definition of plagiarism from the Code of Student Rights, Responsibilities, and Conduct, Part II, Student Responsibilities, Academic Misconduct, By action of the University Faculty Council (April 12, 2005) and the trustees of Indiana University (June 24, 2005.)
   • University of Tampere, School of Modern Languages and Translation Studies, Foundations in Area Studies for Translators. Retrieved November 14, 2005, from http://www.uta.fi/FAST/PK6/REF/commknow.html.
   • Whitley, Bernard E. Jr. “Factors Associated with Cheating Among College Students: A Review.” Research in Higher Education 39.3 (1998): 235-274.
   • Yanal, Robert. “Plagiarism” (PowerPoint Presentation). Wayne State University.

   [1] Source: Webster's Third New International Dictionary of the English Language Unabridged, Springfield, Mass.: Merriam-Webster Inc., 1981.

   [2] Source: Webster's Third New International Dictionary of the English Language Unabridged, Springfield, Mass.: Merriam-Webster Inc., 1981.

   [3] University of Tampere, School of Modern Languages and Translation Studies, Foundations in Area Studies for Translators. Retrieved November 14, 2005, from http://www.uta.fi/FAST/PK6/REF/commknow.html.

   [4] Rebecca Moore Howard, Standing in the Shadow of Giants: Plagiarists, Authors, Collaborators (Ablex, 1999); Rebecca Moore Howard, “Plagiarisms, Authorships, and the Academic Death Penalty,” College English 57 (1995): 708-736.

   (5/7/09)

7. Legal Hold Policy and Procedures

   Purpose

   The University has a legal obligation to preserve evidence and records, including electronic documents, relevant to a pending or potential claim or action. The purpose of this policy is to inform University employees and members of the Board of Trustees of the requirements and responsibilities for retaining paper and electronic records upon notice of pending or anticipated litigation.

   Scope

   This policy and procedures applies to all University personnel and covers all records, regardless of form, made or received in the transaction of University business. Examples of electronic records include but are not limited to electronic messages created using email and other new or emerging communication technologies, word processing documents, spreadsheets and databases.

   Definitions

   As utilized throughout this policy, these terms are defined as follows:

   “University personnel” includes all university employees, regardless of whether the employee is full-time, part-time, temporary, permanent, or student employee.  For purposes of this policy, “university personnel” includes members of the Board of Trustees.  It also includes subcontractors responsible for any activities related to storage of records or evidence, including but not limited to email storage, electronic data storage, or document storage.

   “Evidence” includes all records and tangible items relating to a legal action or reasonably foreseeable legal action.

   “Records” includes all records, whether in electronic, paper, or any other form, created, received, or maintained in the transaction of University business, whether or not such business was conducted at the physical location of the University or some other location, including home, and whether or not such records are stored at the University, in University computers, in a personal computer of University personnel, or any other location.  Such records may include, but are not limited to, paper records and electronic records stored on servers, desktop or laptop hard drives, tapes, flash drives, memory sticks, external hard drives, DVDs, or CD-ROMs.  “Records” includes all forms of electronic communications, including, but not limited to, e-mail, word processing documents, spreadsheets, databases, instant messages, calendars, voice messages, videotapes, audio recordings, photographs, SharePoint files, Wiki materials, telephone or meeting logs, contact manager information, Internet usage files, and information stored in PDAs, Blackberry devices, I-phones, other like devices, or removable media, including CDs, DVDs, thumb drives, etc.

   “Legal action” includes a lawsuit or threatened lawsuit and investigation or threat of investigation by any administrative, civil or criminal authority.

   “Legal hold” is an order to cease destruction and preserve all evidence including records, regardless of form, related to the subject of the legal hold.

   Procedures:

   1. Any University personnel who become aware of any legal action shall immediately notify the Office of the General Counsel for the University.  Such notification should be made, at the latest, by the end of the business day that notice was received.  Upon becoming aware of any legal action, the University personnel shall preserve any evidence related to such legal action while waiting for further instruction from the Office of the General Counsel.
   2. Upon notification from University personnel of legal action, the Office of the General Counsel shall determine whether or not a legal hold should be initiated.  In the event that the General Counsel determines that a legal hold is necessary, the following shall occur.
      1. The Office of the General Counsel shall send written notice to affected University personnel of the legal hold.
      2. All notified University personnel shall immediately suspend deletion, overriding, or any other destruction of any evidence.
      3. The Office of the General Counsel shall also notify the supervisor, chair, dean, or individual holding a supervisory position over the affected personnel.
      4. Because it will not always be possible for counsel to be aware of every employee who may possess or have access to evidence, notified individuals in supervisory positions shall be cognizant of any University personnel within the scope of their supervision who may possess or have access to evidence related to the legal hold, shall provide notification of the legal hold to those individuals, and shall ensure that those employees also comply with the legal hold.  Those supervisors shall contact the Office of the General Counsel immediately to make them aware of additional affected employees.  Such notification shall in no case be made later than the end of the business day on which notice of the legal hold is received.
      5. In the event that the Office of the General Counsel determines that a legal hold is necessary, it shall notify Information Technology personnel in writing.  The Office of the General Counsel shall direct Information Technology personnel to take appropriate action to ensure compliance with the legal hold.  Information Technology personnel should also notify any subcontractors or companies who provide email storage, data storage, or another related service if they possess evidence related to the legal hold.  They should also notify the Office of the General Counsel immediately, but in no case later than the end of the business day, if such subcontractors or companies do possess evidence related to the legal hold.
      6. Employees and supervisors notified of a legal hold shall consult Information Technology personnel regarding the effective preservation of electronic data, information, or records.
      7. Electronic Data, Information, and Records:
         1. It is not sufficient to make a hard copy of electronically stored data, information, and records.
         2. All electronically stored data, information, and records should be maintained in its original form unless otherwise notified by the Office of the General Counsel.
      8.  Any University personnel, supervisory personnel, and Information Technology personnel who are notified of a legal hold shall respond by email to the Office of the General Counsel, acknowledging receipt, understanding, and compliance with the legal hold within a reasonable time. Such acknowledgment should in no case be later than the end of the business day on which such personnel received notification from the Office of the General Counsel.
      9. If any affected University personnel separates from their employment or affiliation with the University during a legal hold, the supervisor of such employee, or in the case of a member of the Board, the Chair of the Board, shall take possession of any evidence in the possession of the employee and shall notify the Office of the General Counsel within a reasonable time, but in no case should such notification be made later than the end of the business day on which the employee separates from the University.
      10. Release of a Legal Hold:
          1. Regardless of the duration of the legal hold, a legal hold does not terminate until affected University personnel are notified by the Office of the General Counsel that the legal hold has been released.
          2. In order to release a legal hold, written notification must come from the Office of the General Counsel.

   Violations

   Violations of the legal hold policy and procedures may result in disciplinary action up to and including termination of employment.(04/14/11)

1. Purpose

To address the Southern Illinois University – System (SIU-S) obligations to comply with federal export controls. This policy applies to the SIU-S and each of its campuses-- Southern Illinois University Carbondale (SIUC), Southern Illinois University Edwardsville (SIUE), and the Southern Illinois University School of Medicine (SIUSOM). The policy codifies SIU’s commitment to compliance with U.S. export controls, identifies the corresponding responsibilities of SIU-S personnel, and establishes the administrative foundation for the SIU-S export controls compliance program. These steps are required to ensure SIU-S compliance with U.S. export controls.

2. Scope

This policy applies to all members of the SIU-S community, including but not limited to employees, tenure-and non-tenure-track faculty, lecturers, students, postdoctoral fellows, postdoctoral scholars, and other postdoctoral personnel, independent researchers, visiting scholars, visiting scientists, contractors, subcontractors, and volunteers.

3. Policy

SIU-S is committed to complying with U.S. export controls including without limitation the Arms Export Control Act (“AECA”), 22 U.S.C. 2751 et seq.; the International Traffic in Arms Regulations (“ITAR”), 22 C.F.R. 120 et seq.; the Export Administration Regulations (“EAR”), 15 C.F.R. 730 et seq.; the Foreign Assets Control Regulations (“FACR”), 31 C.F.R. 500 et seq.; and all campus policies and procedures related to export controls.

SIU-S recognizes the importance of these laws and regulations and expects compliance from all of its personnel. No members of the SIU-S community may engage in any activity or commit the University to engage in any activity that violates U.S. export control laws and regulations. Individuals involved in research and academic projects that are subject to export controls must follow the requirements that are appropriate for the roles they serve. These individuals are responsible for reviewing the materials on the SIU-S Export Control Website and consulting with the Director of Export Controls when export controls apply.

SIU-S export control compliance efforts, screening, and training are coordinated through the Director of Export Controls. Export Control procedures will be drafted by the Director of Export Controls in conjunction with each campus. It is the responsibility of the Principal Investigator/Project Director (PI/PD) on any project or contract to be aware of this policy and to notify the Director of Export Controls of potential export control issues.

Violations can result not only in significant civil or criminal liabilities for SIU-S, and potentially the individuals involved, up to and including termination of employment, but also in damage to national security and to the University's standing as an institution of research and learning.

4. Export Controls Record Retention

SIU-S must comply with regulatory requirements regarding export control-related recordkeeping. These records must be organized to be available when requested by U.S. governmental authorities or for internal audit purposes. Records include printed and hard copy documents, as well as electronic records (including e-mail, e-mail attachments and other electronic files). All records will be retained for a minimum period of five (5) years from the date of export or from the date of license expiration, as per the requirements of ITAR Section 123.22 and EAR Section 762.6. Departments, researchers and all SIU-S offices must keep soft or hard copies of all their export documentation, including Restricted Party Screens, financial records such as purchase orders, and shipping documentation (commercial/pro forma invoices, packing lists, FedEx and other international freight forwarder/courier documents), in their research project files for a period of five years from the date of the export, re-export, or controlled deemed export.

(8-15-18)

5. Export Control Training

To address the Southern Illinois University (SIU) obligations to comply with U.S. export controls, training of faculty and appropriate staff will be required on an ongoing basis. This training applies to SIU and each of its campuses--Southern Illinois University Carbondale (SIUC), including the SIU School of Medicine, and Southern Illinois University Edwardsville (SIUE). Training is the foundation of a successful export compliance program. Well-informed faculty and staff minimize the likelihood that inadvertent violations of the law will occur. The training codifies SIU’s commitment to U.S. export control training for SIU employees. This training requirement applies to all employees of the SIU community whose areas of employment involve export controls. SIU export control training shall be coordinated through the Director of Export Controls (DEC) in coordination with the Provost and Vice Chancellor for Academic Affairs, the chief research administrator and the office that oversees the administration of sponsored research projects for each campus. The DEC will consult with the appropriate units to assure the training necessary to the understanding of export control regulations and implementation of this policy. Training resources will include written and online material, formal and informal course offerings, and individualized consultation. The DEC will provide specific training for personnel involved in conducting controlled research and periodic awareness training tailored to the specific needs of a given department. Mandatory in-person training for all STEM-Faculty shall occur once every three (3) years. New faculty hires shall be trained at a designated scheduled time in the year of hire as determined by the DEC and the new hire’s department. Other training shall occur on an “as-needed basis” as determined by the DEC and SIU administrators. Faculty, staff, and students involved in research and academic projects that are subject to export controls must follow the requirements that are appropriate for the roles they serve. These individuals are responsible for reviewing the materials on the SIU export controls website and consulting the DEC when export controls apply. SIU personnel subject to a Technology Control Plan (“TCP”) must complete an initial in- person export control training when the TCP is implemented, and are required to complete follow up trainings annually. In addition, the DEC will monitor compliance with the TCP and confirm its accuracy on an annual basis with the PI. It is the PI’s responsibility to contact the DEC if any changes need to be made to the TCP during the course of the year. Mandatory training may also be assigned for individual departments, groups or offices on an as needed basis as determined by the DEC and/or campus administrators. The DEC will be responsible for training materials to be given to employees of SIU. The DEC will also maintain records of training or briefings provided. General export controls information and presentations will be available for the SIU community online at the SIU export control website. Provosts, Academic Deans, Directors, or Department Chairs will assist the DEC in implementing the export controls training sessions or briefings relative to their respective colleges, schools, departments, centers, or institutes. Failure of any employee to complete export control training may result in employee discipline, including and up to termination.

6. Other Expoprt Control Policies

All additional Policies, Procedures or campus export control training may result in employee discipline, including and up to termination.

7. Definitions

Deemed Export:
Any release of controlled technology or source code subject to the Export Administration Regulations ("EAR") to a foreign person in the U.S. is "deemed" an export to the person’s country or countries of nationality. This deemed export rule does not apply to persons lawfully admitted for permanent residence in the U.S. and does not apply to persons who are protected individuals under the Immigration and Naturalization Act. Refer to section 734.2(b) of the EAR. A “deemed” export situation can occur by access/use in research or training, visual inspection, or an oral exchange of information.

Export Administration Regulations ("EAR"):
Regulations implemented by the U.S. Department of Commerce, which control the export of dual-use technologies (i.e., items used or having the potential to be used for both military and commercial purposes that could adversely affect national security if exported).

International Traffic in Arms Regulations (ITAR):
Regulations implemented by the U.S. Department of State to regulate military or defenserelated articles, technologies, and services.

Office of Foreign Asset Control (OFAC) Sanctions:
A department of the U.S. Treasury that enforces economic and trade sanctions against countries and groups of individuals involved in terrorism, narcotics, and other disreputable activities enforced by the Office of Foreign Asset Control of the U.S. Department of Treasury.

Public Domain as defined by EAR: Covers published information and software. Information is “published” when it becomes generally accessible to the interested public in any form, including but not limited to: o publication in periodicals, books, print, electronic, or other media available for general distribution, either free or at a price that does not exceed the cost of reproduction and distribution

• available at libraries open to the public or university libraries
• issued patents or open patent applications published and available at any governmental patent office
• released or publicly discussed at an open conference, meeting, seminar, trade show, or other open gathering

Public Domain as defined by ITAR:
Covers published information generally accessible or available to the public through:

• sales at newsstands and bookstores
• subscriptions available without restriction
• second class mailing privileges granted by the U.S. government
• libraries open to the public or from which the public can obtain documents o patents available at any patent office
• through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the U.S.
• public release (i.e., unlimited distribution) in any form
• fundamental research in science and engineering at accredited institutions of higher learning in the U.S., where the resulting information is ordinarily published and shared broadly in the scientific community