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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.
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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
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.
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.
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.
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)
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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)
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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.
The following are terms and their definitions derived from scholarship on plagiarism and used in this working guide.
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.
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.
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
 Source: Webster's Third New International Dictionary of the English Language Unabridged, Springfield, Mass.: Merriam-Webster Inc., 1981.
 Source: Webster's Third New International Dictionary of the English Language Unabridged, Springfield, Mass.: Merriam-Webster Inc., 1981.
 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.
 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)
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.
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.
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.
Violations of the legal hold policy and procedures may result in disciplinary action up to and including termination of employment.(04/14/11)
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The Board of Trustees of Southern Illinois University (University) adopts this Identity-Protection Policy pursuant to the Identity Protection Act (5 ILCS 179/1 et seq.). The Identity Protection Act requires each local and State government agency to draft, approve, and implement an Identity-Protection Policy to ensure the confidentiality and integrity of Social Security numbers the agencies collect, maintain, and use. It is important to safeguard Social Security numbers (SSNs) against unauthorized access and to limit the widespread dissemination of SSNs in order to reduce the potential for identity theft. The Identity Protection Act was passed in part to require local and State government agencies to assess their personal information collection practices and make necessary changes to those practices to ensure confidentiality.
1) Pursuant to the Act, this Policy does not apply to the collection, use, or disclosure of a social security number as required by State or federal law, rule or regulation.
2) Pursuant to the Act, this Policy does not apply to documents that are recorded with the county recorder or documents that are required to be open to the public.
Patient Health Identifier Program
If a federal law takes effect requiring any federal agency to establish a national unique patient health identifier program, and if Southern Illinois University complies with such patient health identifier program, then the University shall be deemed to be in compliance with the Identity Protection Act.
Embedded Social Security Numbers
Social security numbers shall not be encoded or embedded in or on a card or document, including, but not limited to, using a bar code, chip, magnetic strip, RFID technology, or other technology.
Social Security Number Protections Pursuant to Law
Whenever an individual is asked to provide a SSN, the University shall provide that individual with a statement of the purpose or purposes for which the University is collecting and using the SSN. The University shall also provide the statement of purpose upon request.
The University shall not:
In addition, the University shall not1:
Requirement to Redact Social Security Numbers
The University shall comply with the provisions of Illinois state law with respect to allowing the public inspection and copying of information or documents containing all or any portion of an individual's SSN. The University shall redact SSNs from the information or documents before allowing the public inspection or copying of the information or documents.
When collecting SSNs, the University shall request each SSN in a manner that makes the SSN easily redacted if required to be released as part of a public records request. "Redact" means to alter or truncate data so that no more than five sequential digits of a SSN are accessible as part of personal information.
Employee Access to Social Security Numbers
Only employees who are required to use or handle information or documents that contain SSNs will have access. All employees who have access to SSNs shall be trained to protect the confidentiality of SSNs.
This policy was developed using a template provided by the State of Illinois Attorney General's Office.
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This Code of Ethics applies to all Community members which includes: a) the members of the Board of Trustees; and b) all employees, including faculty, staff and student employees.
In carrying out Southern Illinois University’s teaching, research, public service, and patient care missions, members of the University community are committed to maintaining high ethical standards, striving for excellence, and complying with relevant laws and regulations. The Code of Ethics forms the ethical principles that will guide all members of the University community in all decisions and activities.
These principles are:
Respect. Community members will nurture a climate of care, concern, fairness, and civility towards others while recognizing and embracing each individual’s dignity, freedom and diversity.
Honesty and Integrity. Community members will act and communicate truthfully. They will make decisions based on the greater good, conducting themselves free of personal conflicts of interest or appearances of impropriety and self-dealing.
Cooperation and Communication. Community members will work together to support the institutional missions. Respecting confidentiality requirements, they will share information with stakeholders regarding the process used in developing policies and making decisions for the University.
Stewardship. Community members will use University resources in a wise and prudent manner in order to achieve the teaching, research, public service and patient care missions. They will not use University resources for personal benefit or gain. They will protect the integrity and security of confidential, proprietary and private information such as student and patient records.
Continuous Improvement. Community members will conduct University affairs diligently, exercising professional care and striving to meet the high expectations they have set for themselves as well as the expectations of those they serve.
Responsibility. Community members will be trustworthy and responsible for their conduct, decisions and obligations and will comply with all applicable laws, regulations, policies and procedures.
Accountability and Transparency. Community members will maintain accurate financial records and distribute them in a timely and transparent fashion.
Reporting Violations. Community members will report conduct in violation of these principles to appropriate authorities. Retaliatory action may not be taken against a Community member for reporting violations.
The Southern Illinois University Code of Conduct is based on these guiding principles. All members of the University community should integrate the Code of Ethics’ principles and the Code of Conduct’s standards into their daily University activities.
Nothing in this Code of Ethics nor related policies limits or alters the obligations of 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”).
Many major universities have adopted excellent Codes of Ethics. This document was adapted from codes developed by Radford University and Washington University in St. Louis. (11/08/12)
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1. INTRODUCTION AND PURPOSE
a) Introduction - The University values respect, integrity, honesty, cooperation, communication, stewardship, continuous improvement, responsibility, accountability and transparency and strives for excellence in carrying out its teaching, research, public service, and patient care mission. The standards of conduct in this Code, supported through policies, procedures, and workplace rules, provide guidance for making decisions and memorialize the University’s commitment to responsible behavior.
b) Applicability - This Code applies to the following members of the Southern Illinois University community: a) the members of the Board of Trustees; and b) all employees, including faculty, staff and student employees. The Code refers to all these persons as “members of the University community” or “community members.”
c) Purpose – This Code is a shared statement of commitment to uphold ethical, professional and legal standards. All community members must comply with the relevant policies, standards, laws and regulations that guide their work. Each community member is accountable for his/her own actions and, as members of the University community, are collectively accountable for upholding these standards of behavior and for compliance with applicable laws and policies.
d) Violations – This Code requires that suspected violations of applicable standards, policies, laws or regulations be brought to the attention of the appropriate office. Confirmed violations will result in appropriate disciplinary action, up to and including termination from employment or other relationships with the University. In some circumstances, civil and criminal charges and penalties may apply.
e) Questions – Questions regarding the intent or applicability of this Code should be directed to the Senior Vice President for Financial and Administrative Affairs and Board Treasurer.
The Board of Trustees is responsible for promoting adherence to this Code of Conduct by its members. The President and each Chancellor is responsible for disseminating and promoting adherence to this Code of Conduct by all SIU employees. Each administrator, department head, and department chair is responsible for promoting compliance with this Code and applicable standards, laws, policies, regulations and procedures; for informing employees of appropriate training opportunities; for ensuring that employees receive ongoing training; and for demonstrating compliance within their unit. Each employee is responsible for participating in training and education programs, referring to and complying with standards, laws, policies, regulations and procedures applicable to his or her work.
3. INTEGRITY AND ETHICAL CONDUCT
Ethical conduct is a fundamental expectation for every community member. Community members are expected to work together to maintain the highest standards of quality and integrity in fulfilling the University mission. Community members are expected to conduct University business transactions with respect, honesty, accuracy and fairness. Each member is personally responsible for his/her own actions and should strive to communicate ethical standards of conduct through instruction and leading by example.
4. RESPECT AND FAIRNESS
The University is committed to the principles of tolerance, diversity, and respect for differences. When dealing with others, community members are expected to be respectful, fair, civil, and truthful. The University prohibits discrimination and harassment and provides equal opportunities for community members and applicants.
5. CONFLICT OF INTEREST / CONFLICT OF COMMITMENT
Community members are expected to conduct University business free of personal conflict of interest or appearances of impropriety and self-dealing. Community members with other professional or financial interests are expected to disclose them in compliance with applicable conflict of interest and conflict of commitment policies.
6. ACADEMIC FREEDOM AND RESPONSIBILITIES
Creating an atmosphere conducive to providing a quality education is essential to achieving the University’s mission. Community members are expected to promote academic freedom and meet academic responsibilities. This includes encouraging discussions of relevant matters and creative expression, seeking and stating the truth, respecting those with differing views, submitting knowledge and claims to peer review, and working together to foster the education of students.
7. TEACHING AND RESEARCH
University faculty and researchers have an ethical obligation to the University and to the larger global community as they seek knowledge and understanding. Community members are expected to propose, conduct, and report research and teaching with integrity and honesty. They should protect human subjects involved in research, the rights of individuals and University intellectual property, and they should treat animals humanely. Community members should ensure the originality of their work and provide credit for the ideas of others upon which their work is built, be responsible for the accuracy and fairness of information published, and fully assign authorship credit.
8. FINANCIAL REPORTING
University accounts, financial reports, tax returns, expense reimbursements, time sheets and other documents, including those submitted to government agencies, should be accurate, clear, complete and transparent. Community members should follow University policies and procedures and sound financial practices. Community members are expected to exercise responsible fiscal management and use strong internal controls.
9. PROTECT AND PRESERVE UNIVERSITY RESOURCES
The University is dedicated to responsible stewardship. Community members are to promote efficient operations and engage in appropriate accounting and monitoring of University resources. Community members are expected to prevent waste and abuse of University resources. University resources include, but are not limited to, property, equipment, vehicles, finances, materials, systems, data communication and networking services, procurement tools, and the time and effort of faculty, staff and students. University resources may not be used for personal gain and may not be used for personal use except in a manner that is consistent with University policies and procedures.
10. COMPLIANCE WITH LAWS
Members of the University community should conduct University business in compliance with applicable laws, regulations, and University policies and procedures. When questions arise pertaining to the interpretation or applicability of a policy, community members should contact the individual who has oversight of the policy.
11. CONFIDENTIALITY AND PRIVACY
Community members receive and generate on behalf of the University various types of confidential, proprietary and private information. Community members should understand and comply with federal laws, state laws, agreements with third parties, and University policies and procedures pertaining to the use, protection, disclosure, retention, and disposal of such information.
12. REPORTING OF SUSPECTED VIOLATIONS
a) Reporting to Management – Members of the University community should report suspected violations of applicable laws, regulations, government contract and grant requirements and this Code to the Senior Vice President for Financial and Administrative Affairs and Board Treasurer, Ethics Officer, Compliance Officer, or other University official as designated within existing policies and procedures. The University complies with the Whistle Blower Protection Act (5 ILCS 430/15) and assures community members that possible violations can be reported without fear of retaliation.
b) Other Reporting – Nothing in this Code of Conduct or related policies limits or alters the obligations of 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”).
c) Cooperation – Employees are expected to cooperate fully in the investigation of any misconduct.
Many major universities have adopted excellent Codes of Conduct. This document was adapted from codes developed by Washington University in St. Louis, Stanford University, Virginia Commonwealth University, and University of Minnesota. (11/08/12)
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It is the intent of Southern Illinois University to regulate, subject to applicable law, the carrying (concealed or otherwise), possession, and storage of weapons, including without limitation firearms, on property under the control of the University.
The Board of Trustees hereby authorizes the Chancellor of Southern Illinois University Carbondale, the Chancellor of Southern Illinois University Edwardsville, and the Dean and Provost of the Southern Illinois University School of Medicine to each promulgate and/or amend policies, regulations and/or protocols ("Policies"), for their respective campus or locations, regulating the carrying, possession, and storage of firearms and other weapons. Such Policies shall adhere to all applicable law and shall provide due authority to enforce such Policies.
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Pursuant to relevant portions of Illinois' Firearm Concealed Carry Act, it is the duty of the chief administrative officer of a university, or his or her designee, to report to the Illinois State Police any determination that a student poses a clear and present danger to himself/herself or to others. (430 ILCS 66/105) The Board of Trustees hereby authorizes the Chancellor of Southern Illinois University Carbondale, the Chancellor of Southern Illinois University Edwardsville, and the Dean and Provost of the Southern Illinois University School of Medicine to each promulgate and/or amend policies, regulations and/or protocols ("Policies"), for their respective campus or locations, setting forth procedures for making such determinations and reports, including, without limitation, permitting the Chancellor of Southern Illinois University Carbondale, the Chancellor of Southern Illinois University Edwardsville, and Dean and Provost of the School of Medicine to name a designee to make such respective determinations and reports as required by law.
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As of July 1, 2015, in compliance with the Smoke-Free Campus Act, 110 ILCS 64/1 et seq., smoking is prohibited on all Southern Illinois University campus property as defined below. This prohibition does not apply to any instance in which an individual is traveling through or parked on a campus in a vehicle that is not owned by a State-supported institution of higher education.
Campus: all property, including buildings, grounds, parking lots, and vehicles that are owned or operated by Southern Illinois University. Campus does not include enclosed laboratories, not open to the public, where the activity of smoking is exclusively conducted for the purpose of medical or scientific, health-related research. Smoke or Smoking: the carrying, smoking, burning, inhaling, or exhaling of any kind of lighted pipe, cigar, cigarette, hookah, weed, herbs, or other lighted smoking equipment. Smoke or smoking also includes products containing or delivering nicotine intended or expected for human consumption, or any part of such a product, that is not a tobacco product as defined by Section 321(rr) of Title 21 of the United States Code, unless it has been approved or otherwise certified for legal sale by the United States Food and Drug Administration for tobacco use cessation or other medical purposes and is being marketed and sold solely for that approved purpose. Smoke or smoking does not include smoking that is associated with a native recognized religious ceremony, ritual, or activity by American Indians that is in accordance with the federal American Indian Religious Freedom Act.
The Board of Trustees hereby authorizes the Chancellor of Southern Illinois University Carbondale, the Chancellor of Southern Illinois University Edwardsville, and the Dean and Provost of the Southern Illinois University School of Medicine to each promulgate and/or amend policies for their respective campuses or locations, regulating smoking on campus consistent with applicable law. Such policies shall include a plan for enforcement of the Smoke-Free Campus Policy for their respective campuses, including but not limited to, disciplinary action, fines, and an appeals process. Each campus shall also post on its website a smoke-free campus map indicating the locations where smoking is prohibited under this policy. An individual or campus subject to the smoking prohibitions of this policy may not discriminate or retaliatein any manner against a person for making a complaint of a violation of this policy or furnishing information concerning a violation to a person, campus, or governing authority. (4/16/15)
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.
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.
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.
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
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