1. Each Trustee, officer, employee, and student appointee of Southern Illinois University, whether or not in office, and the heirs, executors, administrators, and assigns thereof shall be indemnified by the Board of Trustees against all costs and expenses reasonably incurred by or imposed upon such person or such person's estate in connection with or resulting from an action, suit, proceeding, claim, or investigation, civil or criminal, to which such person or such person's estate shall or may be made a party, or with which such person or person's estate shall or may be threatened, by reason, directly or indirectly, of any action or omission to act in the scope of such person's appointment as a Trustee, officer, employee, or student appointee of the University, provided, however 1) that no such Trustee, officer, employee, or student appointee shall be indemnified against or be reimbursed for any cost or expense arising out of such person's own willful misconduct; 2) that the Trustee, officer, employee, or student appointee has given prompt notice to the Office of the Board of Trustees of the action, suit, proceeding, claim, or investigation or threat of same; 3) that the Trustee, officer, employee, or student appointee has agreed to legal representation by counsel acting on the matter for the Board of Trustees, or in the event of conflict of interest on the part of such counsel by individual counsel acceptable to the Board and its counsel, which acceptance shall not be reasonably withheld; 4) that the cost or expense is not reasonably recoverable from any other source. The costs and expenses against which any Trustee, officer, employee, or student appointee of the University shall be so indemnified shall be those actually paid or for which liability is actually incurred, including sums paid in settlement of any such action, suit, proceedings or claim, on advice of competent counsel and with the concurrence of the Board of Trustees, and irrespective of whether such costs or expenses are taxable costs as defined or allowed by statute or rule of court. These rights of indemnification shall be supplementary to any other rights with respect to any such costs and expenses to which the Trustee, officer, employee, or student appointee may otherwise be entitled against the Board of Trustees or any other persons. (3/13/03)
2. A Trustee, officer, employee, or student appointee shall not be deemed to have been guilty of willful misconduct in the performance of duty as a Trustee, officer, employee or student appointee, as to any matter wherein such person relied upon the opinion or advice of legal counsel employed or retained by or for the Board of Trustees, or relied upon erroneous information or advice furnished by an officer, or an employee of the University, and which was accepted in good faith from such persons. "Willful misconduct," as the term is used herein, includes but is not limited to the intentional violation of a law or of a regulation having the force of law or of the directive of a superior University authority.
   
   

1. The Board of Trustees of Southern Illinois University is committed to full compliance with the Illinois Campus Security Act, 110 ILCS 12, which requires public institutions of higher education to identify security-sensitive positions and make provisions for the completion of criminal background investigations prior to employing individuals in those positions.
2. The President is hereby authorized to approve regulations for the completion of appropriate criminal background investigations prior to the final selection of any candidate for a security-sensitive position. The President is further authorized to approve regulations for the completion of appropriate pre-employment investigations of candidates for other positions of employment, including but not limited to education, employment, and credential checks on all new hires. (3/13/03)
3. Such regulations and amendments thereto shall become effective upon approval by the President. (3/13/03)
4. Such regulations and any amendments thereto shall provide for proper adherence to all applicable laws, including the adoption of appropriate precautions against any mandatory disclosure of legally protected personal information such as social security numbers, personal financial records or confidential medical records, as a condition of consideration for employment.
5. Such regulations shall also provide for the identification of security-sensitive positions in accordance with the following standards:
   1. Positions which involve working with minors or individuals with diminished mental capacity.
   2. Positions which involve providing for the safety of students, faculty, and staff.
   3. Positions having regular access to controlled substances.
   4. Positions which provide significant overall responsibility, defined at $50,000 or more per day, for the control of University financial resources.
6. Such regulation shall also provide for the identification of other similar positions of employment for which pre-employment investigations may be performed, and provide for determination of the nature and amount of investigation appropriate to each position.
7. Potential applicants for security-sensitive and similar positions shall be notified that they may become subject to a criminal background or other pre-employment investigation, or both. Such notice shall be offered as early in the recruitment process as feasible.
8. Such regulations shall provide criteria for determining the stage of the recruitment process at which an investigation or investigations shall be undertaken.
9. When a pre-employment investigation has been made, this information shall be considered only as it is relevant to performance in the position in question in a manner consonant with personal safety and the security of property. (3/13/03)
   

1. General Comment. The Board of Trustees shall establish basic financial policies and be involved in strategies as they relate to financial support of operations, programmatic directions, and capital maintenance and development of Southern Illinois University. (3/13/03)
2. Annual Budget Requests to the Illinois Board of Higher Education. Following consideration and approval by the Board of Trustees, annual budget requests shall be submitted to the Illinois Board of Higher Education in the form of Resource Allocation and Management Program (RAMP) materials. The President, working with the Chancellors, shall develop guidelines for these materials which will include but not necessarily be limited to such matters as salary increases and plans, inflation increments, operation and maintenance of the physical plant, tuition rate, tuition waiver levels, enrollment levels, programmatic and capital priorities, and other special items. These guidelines will be used by the Chancellors in developing specific budget requests for SIUC and SIUE and by the president for the Office of the President. These guidelines and the RAMP materials following from them shall be submitted to the Board for consideration and approval according to a schedule determined by University requirements and Illinois Board of Higher Education submission requirements. (3/13/03)
3. Annual Budget for Operations and Capital Expenditures. The annual budget for operations and capital expenditures will be developed by the Chancellors for SIUC and SIUE under the direction of the President in conformance with the Guidelines approved by the Board. Budget development will take into consideration state appropriations and other revenue expectations; University priorities, including salary increase plans which will be approved by the Board; contingency plans; and maintenance of University assets. The budgets shall be submitted to the Board for approval. Subsequent to Board approval of the annual operating budget, adjustments are authorized in accordance with decision rules promulgated by the President in University Guidelines. (3/13/03)

1. Fund Depositories
   
   
   1. University accounts shall be held in the name of "Board of Trustees - Southern Illinois University." (3/13/03)
   2. The Board authorizes the Board Treasurer to open and maintain bank accounts and to make such arrangements for the conduct thereof as that officer shall deem proper. (3/13/03)
   3. The Treasurer will conduct banking activities in a manner that is in compliance with State Statute and applicable Board policy and that maintain safety of funds, sufficient liquidity and maximum investment return. (3/13/03)
   4. The Board Treasurer is authorized to designate temporary depositories at such locations at which a need for local banking services may arise to serve a University activity remote from the base campus. For such accounts the Board Treasurer may appoint an agent or agents with signature authority over such accounts provided, however:
      
      
      1. The amount maintained in each such banking facility should be the minimum required to conduct operations;
      2. A U.S. bank in the area be utilized if at all workable in the circumstances. (3/13/03)
2. Investments
   
   
   1. The Board Treasurer is given continuing authority to purchase, to sell, or to transfer between University accounts those securities held as investments and to oversee externally managed investments in accordance with University Guidelines promulgated by the President. (3/13/03)
   2. SIUC and SIUE will maintain the control records of such investments in a manner approved by the Board Treasurer. (3/13/03)
   3. A report on cash and investment activity shall be made at least semi-annually to the Finance Committee. (3/13/03)
3. Financing
   
   
   1. The Treasurer oversees the issuance of revenue bonds or other forms of external financing. (3/13/03)
   2. The Treasurer is authorized to finance certain capital and other improvements from internal cash reserves as that officer deems appropriate in accordance with University Guidelines promulgated by the President. (3/13/03)

1. Contracts -- General
   

   The University Purchasing Directors of Southern Illinois University are authorized to rent from others, as necessity warrants, properties that in their opinion will help to satisfy the requirements of the administrative, educational, and auxiliary operations of the University. The University Purchasing Directors may negotiate lease contracts in which the University is the lessee subject to approval by the President prior to final execution of the document. The University Purchasing Directors may negotiate leases of University properties to others and give notice to vacate subject to approval by the President. (3/13/03, 04/14/11)
    

2. Approval - Fixed Improvement Projects

   Prior approval by the Board of Trustees is required before the commitment of funds can be made for requisitions for fixed improvements projects or annual needs by subdivision of work for renovation, repair, and maintenance activities where the entire project cost or annual need by subdivision of work is $500,000 or more.  The Board of Trustees shall approve the project, the budget, and major changes to the budget, defined as changes of 10 percent. The Board shall receive the bids and award all contracts.  (12/08/11)

   Prior approval by the Board of Trustees is not required if the fixed improvement project involving a commitment of less than $500,000, provided that the President's approval is obtained for projects of $100,000 or more.  (9/14/00, 2/12/09, 12/08/11)
    

3. Requisitions-Purchasing of Goods and Services, Approval and Reporting Requirements
   
   
   1. Policy Statement -- General: The Board of Trustees of Southern Illinois University has delegated to each University Purchasing Director, through appropriate administrative channels, the authority to purchase goods and services. All purchases are made in accordance with the Procurement Rules of the Chief Procurement Officer of Public Institutions of Higher Education, as approved by the Joint Committee on Administrative Rules, and filed with the Secretary of State.  (04/14/11)
   2. Approval Required: Approval is required by the Board for all purchasing contracts involving the commitment of $500,000 or more. This requirement also includes purchases requesting multiple deliveries over a period of time. Additional approval of a supplemental requisition will be required if the amount of the supplement is in excess of 10% of the amount originally approved. (3/13/03, 12/08/11)
   3. Authorization by the Board of Trustees is not required:
      
      
      1. for requisitions involving a commitment of less than $500,000, provided that the President's approval is obtained for commitments of $100,000 or more; (12/08/11)
      2. for requisitions involving expenditures of a routine nature necessary for normal and usual operation of the University, where there is only one source of supply or in actual practice no price selection is possible; such instances include, but are not limited to
         
         
         1. postal charges purchased from the Postmaster and locked in the postage meter machine;
         2. postage stamps, post cards, and bulk mailing;
         3. utilities (electrical energy, city water, and sewage charges, natural gas, and telephone charges); (3/13/03)
         4. freight, express, and interstate moving expenses;
         5. annual renewals for rental of various physical facilities;
         6. annual renewal insurance premiums in years subsequent to the year in which the original insurance was contracted.
         7. subscriptions to journals and periodicals;
         8. books and bound periodicals;
         9. professional and technical services;
         10. credit card encumbrances for usual and customary automotive service station charges. Repair work other than the minor or emergency type must have previous approval of Transportation Service.
         11. annual rental of equipment in years subsequent to the year in which the original requisition was approved for installation, such as data processing equipment, photo- static copiers, accounting machines, and similar items;
         12. annual maintenance contracts provided by a manufacturer or its agent for the equipment made by them. (3/13/03)
         13. payments for items from specific single-item appropriations, such as CDB lease rental payment, retirement contributions, and fire protection, but excluding capital items;
         14. in emergencies involving public health, public safety, or where immediate expenditure is necessary for repairs to University property in order to protect against further loss of or damage to University property, to prevent or minimize serious disruption in University services, or to insure the integrity of University records;
         15. where the goods or services are procured from another governmental agency;
         16. purchases of and contracts for office equipment and associated supplies when such contracts provide for prices that are equal to or lower than Federal General Services Administration contracts and when such contracts or pricing result in economical advantage to the University.
      3. for requisitions involving commodities and stock equipment for internal distribution through normal procedures of established storeroom and service units and resale necessary for normal and usual operation of the University, where there are various sources of supply. This category will include, but is not limited to, commodities and stock equipment for the following operations:
         
         
         1. Food Services
         2. Pharmacy
         3. Student Center Bookstore
            
         In the case of purchases which fall within the above-mentioned exceptions, the approval of the Board of Trustees is not required, but the appropriate internal approvals are required.  (2/12/09, 12/08/11)
         
         The various offices and departments of the University shall communicate their requirements for commitments to the appropriate office by means of a requisition. When properly approved, the document constitutes authority for making commitments according to the procedures described in these regulations.
         
         
   4. Monthly Reporting Procedure
      
      
      1. The Purchasing Offices of SIUC and SIUE shall prepare an information report monthly, summarizing all purchase orders and contracts against University funds for the period and shall submit such reports to the President and the Board of Trustees.
      2. The monthly reports to the President and the Board of Trustees shall also include those contracts and subcontracts with grantors deemed exempt from the Illinois Procurement Code, 30 ILCS 500/1-10(b)(2). (04/14/11)
      3. The report of Southern Illinois University Carbondale shall consist of two parts: one for SIUC excluding the School of Medicine and one for the School of Medicine. The Office of the President, the Office of the Board of Trustees and University-wide Services transactions will be included in the campus section where the transaction occurred. (3/13/03)
      4. Each part of each report shall be divided into three sections:
         
         
         1. a section entitled "Detailed Report of Speaking and Performing Fees, Consultants, and Architectural and Engineering Fees" that provides:
            
            
            1. a summarization of those orders under the state required bid amount which shows the total of the number of orders with an aggregate dollar total; (3/13/03, 12/08/11)
            2. a list of all orders of the state required bid amount or more containing information on order number, type of funds, vendor, brief description, and amount. (3/13/03, 12/08/11)
         2. a section on all other "Purchase Orders and Contracts" under $100,000 that provides:
            
            
            1. a summarization of those orders under the state required bid amount which shows the total of the number of orders with an aggregate dollar total; (3/13/03)
            2. a list of all orders between the state required bid amount and $100,000 containing information on order number, type of funds, vendor, brief description and amount. (3/13/03)
         3. a section on all orders of $100,000 or more containing information on order number, type of funds, brief description, amount, a list of bidders with amount of their bids, the number of vendors invited to bid and declining, information on Executive Committee or President's approval, and the basis of award if other than low bid meeting specifications. (3/13/03)
             
   5. Authorization of purchases by Illinois Public Higher Education Consortium (IPHEC) on behalf of the Board of Trustees of SIU is approved as follows:
      
      1. IPHEC is authorized, as agent and on behalf of the Board, to prepare specifications, advertise, receive, open, tabulate and evaluate competitive bids for such commodities, equipment, and services as may from time to time be designated by the University Purchasing Directors of Southern Illinois University. In all such activities, IPHEC shall identify the Board of Trustees as its principal.  (04/14/11)
      2. IPHEC shall report to the Board all of IPHEC's activities as such agent, its evaluation of the bids received, and its recommendations for award of contracts. Bids shall be accepted or rejected and contracts shall be awarded by and in the name of the Board of Trustees in accordance with procedures heretofore or hereafter established by the Board.
      3. All advertising, receiving, opening, recording, and tabulating of bids by IPHEC and the award of any contract shall be in accordance with the Procurement Rules of the Chief Procurement Officer of Public Institutions of Higher Education and in accordance with the provisions of the laws of the State of Illinois.
   6. Guidelines for Procurements Exempt from the Procurement Rules of the Chief Procurement Officer of Public Institutions of Higher Education.
      
      Occasionally it is convenient or necessary to vend or lease a privilege or property to the larger community. Examples include the food service franchise within a student union, concessions or broadcasting rights for sports or entertainment events, automatic vending services, and leases of property for uses compatible with the mission of the Board. Sales of a privilege or property do not involve the expenditure of University funds. Nevertheless, such sales do represent the bartering of a University asset in return for cash, services or goods, and most of the same procurement principles and standards should be applied.  (12/08/11)
      
      
      1. Principles
         
         
         1. The opportunity to submit a bid should be offered to any qualified supplier. Minor transactions may be offered on the basis of telephone bids or communicated in electronically transmitted form. When in the best interest of the University, transactions over the legal bid limit should be subject to formal competitive selection procedures. (3/13/03)
         2. The structure of the competitive selection process must be such as to assure bidders that the award was based on objective judgment of known criteria applied to a defined set of facts. It is not sufficient that the award is subjectively impartial; it must also be perceived as impartial. The President will promulgate Guidelines to ensure that such privileges are awarded competitively and impartially. (3/13/03)
      2. Standards
         
         Use of the following standards will aid in producing the perception that privileges are awarded competitively and impartially.
         
         
         1. Bid specifications should set forth clearly the extent of services or quality of goods to be provided and the form and time of payment of any cash.
         2. Bid specifications should state clearly the criterion or criteria for award, and no award shall be made which is materially influenced by any other factor.
         3. When technical competence as opposed to unique artistic or professional talent is all that is necessary to performance, a minimum standard of competence shall be clearly described and required as a condition or qualification for consideration of a bidder's proposal. To the extent fiscal stability of the supplier bears upon the performance expected, a minimum prerequisite should also be used. The capacity to furnish a performance bond will usually satisfy the latter concern. The important concern is to avoid subjective comparisons of technical or fiscal ability as a criterion for award whenever such comparisons can be avoided.
         4. Consultants should be used as necessary to achieve the clarity and quantifiability required by the preceding principles, to the end that awards may be on demonstrably objective bases so far as is possible. Where subjective judgments cannot be avoided they should be made on the basis of recommendations of disinterested experts on the subject.
         5. All submittals by bidders shall be received at a specified location via electronic transmission or in sealed packages or envelopes clearly labeled as a bid on a particular proposed transaction, and publicly opened (except proposals), read or described or otherwise made public. Only materials so received shall be considered in making an award. No material omission, pertinent to a criterion for award, may be waived, unless determined by the University Purchasing Director to be in the best interest of the University. No other communication by a bidder on the subject of the bid shall be received or considered if known, except requests for clarification of specifications prior to the bid opening; response to such requests may only be made by an amendment to specifications distributed to all potential bidders or in mandatory pre-bid meeting where all bidders must be present. Further clarification or documentation or other proof of representations in bid documents in hand are the only communications which may be received from a bidder after the bid opening. (3/13/03, 04/14/11)
      3. Procedures
         
         
         1. The office desiring to lease or lease purchase tangible personal property or vend a privilege or property of the University in return for cash, services, or goods shall utilize the same procedure as is mandated for procurement from University funds. A Requisition describing the functions required or stating the privilege or asset to be vended and the desired return shall be approved in the usual manner and submitted to the University Purchasing Director.
         2. The dollar limit above which Board of Trustees approval of a lease or lease purchase of tangible personal property is required is determined by the cost over the whole prospective period of a lease or renewals provided for therein, and approval shall be obtained before making any promise of payment or commitment of funds whatsoever.
         3. The University Purchasing Director will handle a tangible personal property lease or lease purchase or the procurement of the services or goods in the same manner as other procurements so far as possible.
         4. The Procurement Rules of the Chief Procurement Officer of Public Institutions of Higher Education will govern either directly, by inversion, or by analogy, to the extent feasible.
            
         (9/14/00, 04/14/11)
   7. Vendor Suspension or Debarment
      

      The Board authorizes the University Purchasing Directors to petition the State Purchasing Officer to suspend or the Chief Procurement Officer to debar a vendor from submitting future bids for violation of the Procurement Code and/or the Rules of the Chief Procurement Officer of Public Institutions of Higher Education.  (12/08/11)
       

1. The President, as the chief executive officer of Southern Illinois University, is responsible for the development and implementation of a program of internal audit.
2. The President will promulgate guidelines which give direction to the overall internal audit function of the University; these guidelines, as they are developed and amended, will be transmitted to members of the Board of Trustees.
3. Internal Audit Charter: This charter identifies the purpose, authority, and responsibility of the Internal Audit Office at Southern Illinois University.
   
   
   1. Purpose: The Internal Audit office was established within Southern Illinois University to conduct assurance reviews of operations and procedures and to report findings and recommendations to the institution's administration and to the Board of Trustees. All Internal Audit endeavors are to be conducted in accordance with applicable law, institutional objectives and policies, as well as professional ethics and standards.  Specifically, activities of the Internal Audit Office will be carried out in accordance with the mandatory nature of the Definition of Internal Auditing, the Code of Ethics, and the Standards established by the Institute of Internal Auditors (International Standards for the Professional Practice of Internal Auditing (Standards)).  The Internal Audit Office may report that its operations are conducted in conformance with the International Standards for the Professional Practice of Internal Auditing, only if the results of the quality assurance and improvement program support the statement. (11/09/06, 04/14/11)
   2. Authority
      
      
      1. The Internal Audit Office reports administratively to the President, whose authority as chief executive officer is sufficient to assure a broad range of audit coverage and adequate consideration of effective action on internal audit findings and recommendations. The Internal Audit Office has an independent, functional responsibility to the Audit Committee of the Board of Trustees for reporting on the adequacy and effectiveness of internal controls. (5/14/98, 3/13/03, 9/11/08)
      2. While the Internal Audit office is an integral part of Southern Illinois University and functions in accordance with the policies established by the President and the Board of Trustees, it is essential for the internal audit activity to be independent of the activities audited. To enhance and ensure this independence, and with strict accountability for safekeeping and confidentiality, internal audit staff are authorized unlimited access to all records, personnel, and physical properties which the Executive Director of Audits has determined to be relevant to the performance of assigned audits. Consulting services may be performed, if conducted in accordance with applicable standards. (11/09/06, 04/14/11, 03/22/12)
      3. In performing its work, the Internal Audit Office shall assert no direct responsibility nor authority over activities reviewed. Therefore, its appraisal of activities does not relieve other persons in the organization of any responsibilities assigned to them.  Furthermore, when assisting management in establishing or improving risk management processes, internal auditors must refrain from assuming any management responsibility by actually managing risks. (04/14/11)
   3. Responsibility
      
      
      1. The Internal Audit Office is responsible for providing Southern Illinois University's administrators and Board members with information about the adequacy and the effectiveness of its system of internal controls and quality of operating performance. To accomplish this responsibility, all institutional activities are subject to audit.
      2. The scope of internal auditing encompasses examining and evaluating the adequacy and effectiveness of Southern Illinois University's systems of internal control and the quality of operating performance against established standards in carrying out assigned responsibilities. Areas of review include (04/14/11):
         
         
         1. reliability and integrity of financial and operating information;
         2. compliance with policies, plans, procedures, laws, and regulations;
         3. safeguarding assets;
         4. effectiveness and efficiency of operations and programs;
         5. accomplishment of institutional goals and objectives;
         6. evaluation of the potential for the occurrence of fraud and how the organization manages fraud risk;
         7. assessment of whether the Information Technology governance supports the University's strategies and objectives; and
         8. evaluate the effectiveness and contribute to the improvement of the risk management process.
      3. The Executive Director of Audits is generally responsible for the administration of this policy and for functionally directing and effectively managing the internal audit activities throughout Southern Illinois University.  Specifically, the Executive Director of Audits (04/14/11):
         
         
         1. is responsible for communicating directly and interacting with the Audit Committee regarding the results of activity of the Internal Audit Office.  The Chief Audit Executive must report periodically to senior management and the Audit Committee on the internal audit activity's purpose, authority, responsibility, and performance relative to its plan.  Reporting must also include significant risk exposures and control issues, including fraud risk, governance issues, and other matters needed or required by the Audit Committee or senior management.
            
         2. must develop and maintain a quality assurance and improvement program that covers all aspects of the internal audit activity.  The results of external assessments must be reported to senior management and the Audit Committee.
            
         3. must have direct and unrestricted access to senior management and the Audit Committee, and must identify and consider the expectations of senior management, the board and other stakeholders for internal audit opinions and other conclusions.  When an overall opinion is issued, it must take into account the expectations of senior management, the board, and other stakeholders and must be supported by sufficient, reliable, relevant, and useful information.
      4. Southern Illinois University administrators are responsible for providing internal auditors with timely access to records, personnel, and physical properties which the Executive Director of Audits has determined to be relevant and for making sure that prompt, pertinent, and comprehensive responses are made to audit recommendations.

1. Office of the Board of Trustees, the Office of the President, SIUC and SIUE shall have a records management program which will provide for the maintenance of records in an efficient and orderly manner and for the discarding of records no longer needed. Such program will comply with all state and federal regulations.
2. The details of the programs established will include those general guidelines herein established, and the program will become effective when submitted in writing to and approved by the President.
3. Each program will include consideration of the following:
   1. Retention Schedules
      1. Legal constraints
      2. Operational needs
      3. Archival value
   2. Storage and Retrieval
      1. Filing systems
      2. Medium
         1. Paper
         2. Microfilm
         3. Computer storage
         4. Microfiche
   3. Designation of individual responsible for the program
   4. Provisions for appropriate confidentiality of records
   5. Provision for identification of and special care of records vital to the continuation of operations in the event of disaster.

1. The Higher Education Travel Control Board, as authorized by "An act in relation to State finance," sets travel regulations for all University employees. These regulations, and any changes that may be made, are considered as Board of Trustees travel policy. SIUC and SIUE, the Office of the President, and the Office of the Board of Trustees may have travel regulations that differ from these regulations so long as they are not inconsistent with the Higher Education Travel Control Board travel regulations.

1. The President of Southern Illinois University is authorized, pursuant to authority granted to the Board of Trustees by State law, to direct the development of a University Self-Insurance Program. Where appropriate, the self-insurance program will replace the protections and administrative services historically provided to the University by commercial insurance companies. The program will include:
   1. Retention of risks by the University within its financial capabilities through the establishment of self-insurance limits to be determined by normal loss levels.
   2. Creation by the university of a self-insurance reserve, funded within the University's financial capabilities, in those amounts necessary to insure against potential liabilities. Protection against potential liabilities in excess of funds held in reserve would be provided through other University resources or the purchase of insurance coverage for amounts in excess of self-insurance reserve funds.
   3. Solicitation by the University, as needed, of claims adjustment and legal services to be paid from available resources on a "fee for service" basis.
   4. Initiation of internal risk management programs intended to reduce the University's exposure to potential liabilities.
2. Guidelines promulgated by the President direct the functioning of the University Risk Management and Self Insurance program. (3/13/03)

1. User Responsibility for Security of Stored Information. The user is responsible for correct and efficient use of the tools each electronic information system provides for maintaining the security of stored information.
   
   
   1. Individual users to whom computer accounts, passwords, and other types of security authorizations have been assigned must obey any express restrictions on disclosure of such authorizations to others. No otherwise authorized disclosure may be made until the proposed recipient of the disclosure has demonstrated familiarity with the security requirements for usage of the authorizations and agreed to comply with them.
   2. The user must strive to understand the level of protection each electronic information system automatically applies to files and supplement that protection, if necessary, for sensitive information.
   3. The microcomputer user must be aware of computer viruses and other destructive computer programs, and take steps to avoid being either their victim or propagator by using up-to-date anti-virus software. (3/13/03)
   4. Use of computers by individuals implies that they accept responsibility for protecting any information (processed and/or stored under directories or accounts assigned to them) which is derived from restricted, licensed, or proprietary information.
2. Confidentiality of Stored Information
   
   
   1. Information stored on electronic information systems is considered confidential, whether protected by the computer system or not, unless the owner intentionally makes that information available to other groups or individuals. The University assumes that computer users wish the information they store on central and campus shared computing resources to remain confidential.
   2. Requests for the disclosure of confidential information outside the University will be governed by the provisions of law, including but not limited to the Family Educational Rights and Privacy Act of 1974, the State Records Act, and the Illinois Freedom of Information Act. All such requests will be honored only when approved by university officials who are the legal custodians of the information requested, or when required by state or federal law, or court order. A current statute which protects the electronic mail users is the federal Electronic Communications Privacy Act of 1986. This law basically protects messages while in transmission on a public mail service as well as after messages are received and stored on that service.
3. Inappropriate Usage
   
   Computing and networking resources may be used only in accordance with accepted University practice. Examples of inappropriate and unacceptable use of computing and networking resources include:
   
   
   1. harassment of other users;
   2. destruction of or damage to equipment, software, or data belonging to the University or other computer and networking users;
   3. disruption or unauthorized monitoring of electronic communications;
   4. violations of computer system security;
   5. unauthorized use of computer accounts, access codes, or network identification numbers assigned to others;
   6. use of computer and/or network facilities in ways that impede the computing activities of others;
   7. use of computing facilities for personal or business purposes unrelated to the mission of the University;
   8. violation of copyrights and software license agreements;
   9. violation of the usage policies and regulations of the networks of which the University is a member or which at least has authority to use;
   10. violation of another user's privacy;
   11. academic dishonesty such as plagiarism or cheating;
   12. accessing, or attempting to access, another individual's or entity's data or information without proper authorization regardless of the means by which this access is attempted or accomplished;
   13. giving another individual the means to access data or information they are not authorized to access;
   14. obtaining, possessing, using, or attempting to use passwords or other information about someone else's account;
   15. inspecting, modifying, distributing, or copying data, mail messages, or software without proper authorization, or attempting to do so;
   16. tapping phone or data lines.
4. Electronic Mail. The University considers electronic mail to be a confidential, direct communication between sender and receiver(s). Accordingly, it should not be monitored, observed, viewed, displayed, or reproduced in any form by anyone other than the sender or intended recipient(s). E-mail users should exercise the same restraint and caution in drafting messages that they would when writing a formal memorandum using University letterhead and assume that their messages will be saved and be seen by someone other than the original addressee. Electronic mail may be disclosed to others with a need to know under law and University policy. Examples include:
   
   
   1. incidental disclosure to technicians or supervisors during maintenance or repair procedures;
   2. disclosure to internal or external auditors pursuant to their audit programs;
   3. disclosure to adverse parties in civil lawsuits pursuant to mandated discovery procedures, or to attorneys for the University for use in preparing a defense against such suits;
   4. disclosure to administrative, regulatory or law enforcement authorities discharging their mandated functions, or to attorneys for the University for use in defending against charges or sanctions;
   5. disclosure made for the purpose of resolving internal disputes including but not limited to those arising under grievance policies; parking and traffic regulations; student conduct codes; academic admissions, retention, grading and degree awards policies or practices; patent and copyright policies; indemnification policy liability and self-insurance programs; electronic information systems policies, and any external appeals of unresolved internal disputes.
5. Sanctions. Violation of the policies described herein for use of computing resources will be dealt with seriously. Violators are subject to disciplinary procedures of the University and, in addition, may lose computing privileges. Illegal acts involving the University's computing and networking facilities may also be subject to prosecution by state and federal authorities.

• There shall be multiple levels of security protection including but not limited to firewalls and virus protection services.
• Each campus shall publish policies for the security responsibilities of users, local system administrators, and enterprise system offices.
• Each campus shall have an active process to centrally test, monitor, and assess security risks of applications, servers, and networks. Corrective measures shall be taken when vulnerabilities are found.
• Authentication and authorization shall be used for services such as dial-in, e-mail, and similar services. Additional authentication and authorization shall be required for computer and server applications such as the Student Information System (SIS) and the Human Resource Management System (HRMS) in order to comply with the federal Family Educational Rights and Privacy Act (FERPA) and to protect and secure sensitive personnel information.
  
  

• Lists of critical applications and required recovery timeframes;
• Specific roles and responsibilities of key personnel including quick order personnel for computer equipment and system programmer's duties for restoring computer systems and data;
• Recovery of supporting networks;
• Interfaces between mainframe, server, and network platforms;
• Detailed list of equipment, software, and vendors with all associated interconnections; and
• Offsite data backup storage location(s).

• Notice - Notice that the University is collecting information, what information is collected, how it is collected, and how it is used.
• Choice - Whether users have a choice on how personal information is used.
• Access - Whether users are given the opportunity to access the information on the Web sites to review and correct errors.
• Security - The steps the University has taken to ensure that user information is protected.

• Develop a Privacy Policy for its Web sites that is readily accessible by being located on the homepages and other places where personal information is collected and tracking technology is used.
• The University Privacy Policy shall comply with Public Act 93-0117 (State Agency Web Site Act) effective January 1, 2004 by identifying any technology used to collect information on or track individual users.
• The University Privacy Policy shall contain provisions that effectively disclose practices regarding notice, choice, access, and security.
• The University Privacy Policy shall be placed on all University Web sites whether they collect information or not.

1. The trademarks, service marks, logos, insignias, seals, designs, symbols, trade names, slogans, and logotypes developed by or associated with Southern Illinois University and any campus or unit of Southern Illinois University, hereinafter "SIU marks", whether registered or unregistered for federal and state trademark protection, shall be owned and controlled by the Board of Trustees of Southern Illinois University. All applications for registration of SIU marks pursuant to federal or state law shall be filed by the Office of General Counsel, at the request of the President or a Chancellor, in the name of and on behalf of the Board of Trustees of Southern Illinois University. Records of such applications shall be maintained in the Office of General Counsel and in a campus office designated by the Chancellor.
2. Any and all private or commercial uses of SIU marks by any person, group, association, corporation, institution, or other entity, including University Related Organizations, shall require the written consent and authorization by the Board of Trustees. For commercial uses, license agreements approved as to legal form by the Office of General Counsel and naming the Board of Trustees of Southern Illinois University as Licensor, shall be executed on behalf of the Board of Trustees by the Chancellors. Royalties received from such licenses shall be retained at the campus level for uses determined by each Chancellor.
3. Appropriate legal actions on behalf of the Board of Trustees to protect SIU marks from misappropriation and infringement by others shall be undertaken by the Office of General Counsel.
4. Each Chancellor is authorized to develop administrative regulations, policies, and procedural guidelines for the institutional use of respective SIU marks on the campus and for the commercial licensing of the SIU marks. Such regulations, policies, and guidelines shall identify the campus office(s) or official(s) responsible for overseeing administration and licensing of the SIU marks, serve to promote appropriate use of the SIU marks, and become effective when approved by the President.
5. A Chancellor may, with approval of the President, delegate full or partial authority created under this policy to a designated senior administrator as appropriate, including but not limited to the Dean of the School of Medicine.
   
   (11/08/07)

1. Purpose:
   
   The public policy of the State of Illinois states "that all persons are entitled to full and complete information regarding the affairs of government and the official acts and policies of those who represent them as public officials and public employees" consistent with the limitations contained in Illinois' Freedom of Information Act (hereinafter "Act"). 5 ILCS 140/1 et. seq.

   Pursuant to Section 3(h) of the Act (5 ILCS 140/3), Southern Illinois University has promulgated policies governing access to public records of the University in conformity with the Act. The purpose of the policies are to provide timely access to public records in the possession of the University while, at the same time, protecting legitimate privacy interests and maintaining administrative efficiency within the requirements of the State Records Act. 5 ILCS 160/1 et. seq.

2. Definitions:
   
   FOIA: The Freedom of Information Act.
   
   Freedom of Information Act Office(r): The individual or office designated by the Chancellor for each campus, and the Dean and Provost of the SIU School of Medicine (SIUC, SIUE, and the School of Medicine) or for the President's office responsible for receiving and responding to requests for public records.
   
   FERPA: The Family Educational and Privacy Rights Act.
   
   Head of public body: The President of Southern Illinois University.
   
   Requester: A person or entity who submits a request for public records in accordance with the Act.
   
   Commercial purpose:  The use of any part of a public record, or information derived from public records, in any form for sale, resale, or solicitation or advertisement for sales or services.
   
   Business days: Calendar days, other than Saturdays and Sundays, legal holidays, and other University closures.  For purposes of calculating time periods for responses to requests, the calculation begins on the first business day after the public body receives the request.
   
   Any other terms which are defined in Section 2 of the Act shall have the same meaning for purposes of this policy.
   
3. Freedom of Information Act Office(r):
   
   The Chancellor of each campus and the Dean of the SIU School of Medicine shall each appoint a FOIA officer who shall have the authority to receive and respond to all FOIA requests for the campus. With respect to FOIA requests involving the SIU Board of Trustees and/or the President of the University, the President shall designate a FOIA officer for such requests. The contact information for each FOIA office(r) shall be posted on the website and shall be available through the President's Office, Chancellor's office at each of the campuses, and the Provost and Dean of the SIU School of Medicine.
   
   The FOIA office(r) is responsible for ensuring an appropriate response to requests for access to records under the Act. The FOIA office(r) shall:
   
   1. Implement these rules governing access to public records.
   2. Coordinate the efforts of other University employees and campuses under the Freedom of Information Act and this policy.
   3. Maintain and make available for public inspection pursuant to Section 4(a) and (b) of the Act, a brief description of the University and a brief description as to how the public may request public records.  This information shall also be posted on the University's website.
   4. Maintain and make available for public inspection pursuant to Section 5 of the Act a reasonably current list of the types or categories of records under the University's control.
   5. Assist the public in identifying requested records.
   6. Extend the time for acting on a request, if necessary, for any of the reasons specified in Section 3 of the Act.
   7. After records are located and reviewed, make the records available for inspection or deny access to the records in whole or in part.
   8. When applicable, explain in writing the reasons for denial of access, the names and titles of persons responsible for denial and inform the requester of his or her right to submit a request for review to the Public Access Counselor of the Illinois Attorney General's Office.
   9. Upon request for a copy of a record which is subject to public inspection, make a copy available upon compliance with fee and copyright requirements.
   10. Upon request, certify that a copy is a true copy.
   11. Upon failure to locate records, declare in writing to the requester that the University is not the custodian for such records or that the records cannot be found after diligent search.
   12. Upon request, provide information about what records are electronically available and how to access the records pursuant to Section 5 of the Act.
   13. Determine, pursuant to Section 6(b), whether a request for a reduction or waiver of any charge is appropriate because the specific purpose for the request is in the public's interest (i.e., health, safety and welfare) and not primarily for personal or commercial benefit.
   14. Maintain an electronic or paper copy of a written request, including all documents submitted with the request until the request has been complied with or denied.
   15. Create a file for the retention of the original request, a copy of the response, a record of written communications with the requester, and a copy of other communications.
   16. Maintain a public file of denials indexed according to type of record requested and type of exemption asserted by the University as required by Section 9(b) of the Act.
   17. Complete an annual training program provided by the Public Access Counselor. In the event a new FOIA officer is designated, the new officer shall complete the electronic training curriculum provided by the Public Access Counselor within 30 days after assuming the position.
       
4. Form and content of FOIA requests:
   
   FOIA requests shall be in writing and submitted to the appropriate FOIA office(r) identified in Section 3 above.  Requesters are encouraged to utilize the University's request form available on the University's website, but use of this form is not required.  The request may be submitted via personal delivery, mail, fax, or electronic mail.  All requests shall be date and time stamped upon receipt and logged in a centralized database with a notation for each response deadline.
   
   The University shall document and date all contacts between the University and the requester in the requester's file. 

   The requester shall include the following information in a request:
   

   1. The requester's full name, address, and telephone number;
   2. The date of the request;
   3. A brief description of the public records sought, being as specific as possible regarding dates; file designations, names, etc.;
   4. Whether the request is for inspection of public records, copies of public records, or both;
   5. Whether the information being requested is for a specific public purpose sufficient to reduce or waive any cost applicable to the request;
   6. Whether the request is for a commercial purpose pursuant to Section 3.1 of the Act; and
   7. If the request is being submitted on behalf of a business or financial institution, whether that business or financial institution issues credit and/or debit cards pursuant to the Southern Illinois University Management Act, 110 ILCS 520/16.
5. Authorized responses to FOIA requests:
   
   
   1. For all FOIA requests other than requests made for commercial purposes, the FOIA Office(r) shall respond to a request for public records in one of five ways:
      1. Approve the request in writing within five (5) business days after receipt of the request and either (i) provide the materials immediately, (ii) give notice that the materials shall be made available upon payment of reproduction costs and/or mailing costs, or (iii) give notice of the time and place for inspection of records. When a request is made for a record maintained in an electronic format, the University will produce it in the electronic format specified by the requester, if feasible. If it is not feasible to furnish the records in the specified electronic format, then it shall be furnished in the format in which it is maintained by the University, or in paper format at the option of the requester.
      2. Notify the requester within five (5) business days that either (i) the University does not maintain or possess the documents requested or that the requested documents could not be found after a diligent search and/or (ii) the written request is illegible, incomplete or incomprehensible and must be resubmitted to remedy the identified problem. The University is not obligated to create or maintain a public record solely to respond to a request.
      3. Notify the requester in writing within five (5) business days after receipt of the request that an additional five (5) business days will be necessary to determine a response and provide the requester with the specific reason for the delay consistent with the grounds identified in Section 3(e) of the Act, as well as the date the delayed response will be forthcoming. Where a categorical request creates an undue burden, the University shall send written notification within five (5) business days asking the requester to reduce the request to manageable proportions in accordance with Section 3(g) of the Act.
      4. Approve the request in part and deny it in part, in writing, within five (5) business days after receipt of the request, and notify the requestor of (i) the specific reason why part of the request has been denied, (ii) the University personnel responsible for the decision, and (iii) the availability of the right to review by the Public Access Counselor consistent with Section 9 of the Act.
      5. Deny the request in its entirety within five (5) business days after receipt of the request, and notify the requestor of (i) the specific reason the request has been denied, (ii) the University personnel responsible for the decision, and (iii) the availability of the right to review by the Public Access Counselor consistent with Section 9 of the Act.
      1. A denial of a request for public records shall be made in writing and shall state the reasons for the denial in accordance with either Section 3(g), Section 7, or Section 7.5 of the Act, and include the names and titles of individuals responsible for the decision.  It shall give notice of the requester's right to appeal to the Public Access Counselor of the Illinois Attorney General's Office and provide contact information for the Public Access Counselor.  It shall also inform the requester of the right to judicial review under Section 11 of the Act.  Exemptions expressly articulated under Section 7 or Section 7.5 of the Act are per se exempt from disclosure under the Act.
      2. When a denial of a request is based upon a law other than the Illinois Freedom of Information Act, such as FERPA, the requester shall be notified of the applicable statute and provision in writing.  The University's FERPA policy shall be consulted prior to disclosing any information about a student and that policy is incorporated by reference as if fully stated herein.
      3. When a denial of a request is based upon an express exemption from disclosure under Section 7 or Section 7.5 of the Act, the University shall, where possible, redact the exempt information and make the remaining information available for inspection and copying pursuant to Section 7(1) of the Act.
      4. When a denial is based on the exemptions contained in subsection 7(1)(c) or subsection 7(1)(f) of the Act, the requester and the Public Access Counselor will be notified of the intent to deny the request in whole or in part.  The notice shall include: (i) a copy of the request; (ii) the proposed response from the public body; and (iii) a detailed summary of the public body's basis for asserting the exemption.
      5. Categorical requests creating an undue burden shall be considered denied if the requester refuses the University's invitation to confer about reducing the request to manageable proportions in accordance with Section 3(g) of the Act.
      6. Copies of all denial notices shall be retained by the FOIA office(r) in a single central office file open to the public and indexed according to the type of exemption asserted.  The central office file for Southern Illinois University Carbondale is located at the Budget Office, Room 115 Anthony Hall, Carbondale, IL; Southern Illinois University Edwardsville is located at the Office of the Vice Chancellor for Administration,  Room 2228 Rendleman Hall, Edwardsville, IL; SIU School of Medicine is located at the Office of Human Resources, 327 W. Calhoun, Springfield, IL;, and for matters pertaining to the Board of Trustees or President and their immediate staff, Office of the President, located at the Stone Center, 1400 Douglas Drive, Carbondale, IL.
      7. The failure to respond to a written request within five (5) business days after receipt of request may be treated as a denial by the requester. A failure to respond within five (5) business days after an extension has been exercised may also be treated as a denial by the requester.
   2. For FOIA requests made for commercial purposes, the FOIA Office(r) shall respond in one of three ways:
      1. Approve the request in writing within 21 business days after receipt of the request and either provide the records or provide the requester an estimate of the time required by the public body to provide the records requested and an estimate of the fees to be charged, which the University may require to be paid in full before copying the requested documents; or
      2. Deny the request within 21 business days pursuant to one or more of the exemptions set out in the Act and subject to Section 5(A)(5)(a) through (f) of this Policy; or
      3. Notify the requester within 21 business days that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions.
      Unless the records are exempt from disclosure, the University will comply with a request within a reasonable period considering the size and complexity of the request and giving priority to records requested for non-commercial purposes.
6. Time limits for responses:

   The FOIA Office(r) shall respond to all written request for public records other than requests for commercial purposes, within five (5) business days after receipt of the request, and within 21 business days after receipt of a request for commercial purposes, unless otherwise authorized by this policy or law. The calculation of the time period for response begins on the first business day after the public body receives the request.

   1. The initial five (5) business day time limit for non-commercial requests may be unilaterally extended by the University for another five (5) business days for the following reasons:
      1. the requested records are stored in whole or in part at other locations than the office having charge of the requested records;
      2. the request requires the collection of a substantial number of specified records;
      3. the request is couched in categorical terms and requires an extensive search for the records responsive to it;
      4. the requested records have not been located in the course of routine search and additional efforts are being made to locate them;
      5. the requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under section 7 or section 7.5 of this Act or should be revealed only with appropriate deletions;
      6. the request for records cannot be complied with by the public body within the time limits prescribed by subsection 3(d) without unduly burdening or interfering with the operations of the public body; or
      7. there is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request.
   2. When additional time is required for any of the reasons identified above, the public body must notify the requester by letter specifying (i) the reason for the delay and (ii) the date when either the records will be released or the denial of the request will be made. This letter must be sent within the original five (5) business day period. The extended time period cannot be longer than five (5) extra business days, and if a response is not made within that extended period, the request may be considered denied by the requester.
   3. The requester and the public body may agree in writing to further extend the time for compliance for a period to be determined by the parties.
7. Inspection of records at University offices:

   Generally, public records will be available for inspection at the FOIA offices designated above in Section 3 between the hours of 8:00 a.m. and 4:30 p.m., Monday through Friday, except on State holidays and other University closures.

   The requestor shall be notified in writing within five (5) business days after receipt of the request when and where the records will be available for inspection.

   The University will notify the requester of the availability of the records for inspection within five (5) business days after receipt of the request or as extended pursuant to the Act.

   The written notification shall admonish of the requester of the following:

   1. Space will be provided for the requester to inspect public records. Upon request, the University shall make whatever reasonable accommodations are necessary to remedy physical obstacles to inspection. Although appointments are not required, appointments are strongly encouraged to ensure record availability when and where the requester appears for inspection.
   2. The University reserves the right to have designated personnel present throughout the inspection to maintain the integrity of the public records.
   3. A requester shall not be permitted to take briefcases, bags, folders or other similar materials, or pens, into the inspection area.
   4. A requester is allowed to take pencils and paper into the inspection area.
   5. The requester shall identify and/or segregate during the course of inspection any documents the requester desires to have copied. All copying shall be completed by university employees at the cost specified in these policies.
   6. There shall be no fee charged for the inspection of records.
8. Copies of public records:

   Copies of public records shall be provided to the requester only upon payment of any fees that are due. There shall be no fee charged, however, for the University's cost of searching and reviewing the requested records. The availability of the record and the amount of the fee being charged shall be communicated to the requester within five (5) business days of receipt of the request, unless more time is authorized under the Act or this Policy.

   1. Fees for copies of public records shall be assessed in accordance with Section 6 of the Act. A schedule of fees shall be available in each of the University's FOIA offices as required by Section 4 of the Act.
   2. Fees may be reduced or waived if the requester satisfies the criteria set forth in Section 6(c) of the Act and specifies a public purpose upon which the request is based. Fees may also be waived for good cause at the discretion of the FOIA Office(r).
   3. No fees will be charged for the first 50 pages of black and white, letter or legal sized copies. The charge for copying after the first 50 pages is $0.15 per single-sided letter or legal sized page, with an additional charge of $1.00 per document if certification of the document is requested. Microfilmed records are charged at a rate of $0.15 per single-sided paper page produced. If the records requested cannot be copied on the university's standard office copying equipment, or if the copies provided are in color or in a size other than letter or legal sized paper, the requester will be charged the actual costs incurred by the university.
   4. Fees shall be waived if the requester is a State agency, a constitutional officer, or member of the General Assembly.
   5. Payment shall be made by cash, check, or money order payable to the Southern Illinois University, and mailed or hand delivered to the FOIA Office(r).
   6. If the requester is unwilling or unable to pick up the copies of requested records at the University's offices, the requester shall incur the costs of mailing or shipping the requested materials.
   7. In accordance with federal law and/or regulations governing copyright, the University will not provide copies of records protected by copyright without (i) a written authorization or proof of a license from the copyright holder of record or (ii) a copyright acknowledgement signed by the requester attesting that the copied materials will not be used for any purpose other than personal use, private study, scholarship or research.
9. Right to Review of a denial:

   If a person's request for public records has been denied in whole or in part by the FOIA Office(r), that person may file a request for review with the Public Access Counselor of the Attorney General's Office no later than 60 days after the date of the denial. The request for review must be in writing, signed by the requester, and include (i) a copy of the request for access to records and (ii) any responses from the public body.

10. Litigation:

    A person whose request has been denied by the University may file suit for injunctive or declaratory relief pursuant to Section 11 of the Act, in either the circuit court where the University's principal office is located or where the person denied access resides. All communications involving litigation and/or a court summons arising out of a denied request under the Act shall be transmitted to the President's Office, Chancellor's Office, or the Provost and Dean's Office as appropriate immediately upon receipt.

    (01/17/08, 02/11/10)

1. Policy Adoption
   
   Southern Illinois University ("University") developed this Identity Theft Prevention Policy ("Policy") pursuant to the Federal Trade Commission's ("FTC") Red Flags Rule, which implements Section 114 of the Fair and Accurate Credit Transactions Act of 2003. This Policy was developed with oversight and approval of the Audit Committee. This Policy will be presented to the Southern Illinois University Board of Trustees for approval at the May 7, 2009 meeting.
2. Purpose
   
   The purpose of this policy is to establish an Identity Theft Prevention Program designed to detect, prevent and mitigate identity theft in connection with the opening of a Covered Account or an existing Covered Account, as defined in section III, and to provide continued administration of the program in compliance with 16 C.F.R. Part 681. This Policy enables Southern Illinois University, in its capacity as a creditor to protect existing consumers, reduce risk from identity fraud, and minimize potential damage from fraudulent new accounts with the least possible impact on business operations. This Policy applies to business practices used by employees when conducting business activity relating to a Covered Account. In order to obtain these objectives Southern Illinois University will:
   
   
   • Identify risks that signify potentially fraudulent activity within new or existing Covered accounts;
   • Detect risks when they occur in Covered accounts;
   • Respond to risks to determine if fraudulent activity has occurred and act if fraud has been attempted or committed; and
   • Update procedures periodically, including reviewing the accounts that are Covered and the identified risks that are part of the program.
3. Definitions and Program
   
   Red Flags Rule Definitions Used in this Program: “Identity Theft” is a “fraud committed or attempted using the identifying information of another person without authority.” A “Red Flag” is a “pattern, practice, or specific activity that indicates the possible existence of Identity Theft.” A “Covered Account” is a ‘continuing relationship established to provide a financial product or service' and includes all consumer accounts or loans that are administered by the University. “Program Administrator” is the individual designated with primary responsibility for oversight of the program. “Identifying information” is “any name or number that may be used, alone or in conjunction with any other information, to identify a specific person,” including: name, address, telephone number, social security number, date of birth, driver's license, student identification number, or network ID.
4. Administration of the Policy
   
   The Board of Trustees shall be responsible for establishing the Policy. Responsibility for implementation and oversight of the Policy is delegated to the chancellor, or his/her designee, at each campus.

Acknowledgement: Because many universities have been involved in drafting Identity Theft Protection Policies to be incompliance with changes in the laws, these policies may look similar. This policy was developed in accordance with Sections 114 and 315 of the Fair and Accurate Credit Transactions Act, the Fair Credit Reporting Act, and the Federal Trade Commission regulations and guidelines (16 CFR Part 68). Additionally, several other university policies were reviewed in creating this policy including: Purdue University, UCLA University, and Kalamazoo College.

1. The Board of Trustees will approve matters relating to the acquisition and disposal of land.
2. The Board of Trustees will approve changes in city boundaries when they encompass land where title or interest is vested in the Board of Trustees.
3. The President shall promulgate University guidelines assuring that towers built on University land return fair compensation to the institution; be structurally safe; meet all governmental requirements; be designed to be aesthetically acceptable; and be located away from campus buildings, parking lots, walk and roadways, and other frequently used areas. The Board of Trustees will be held harmless for losses. At the end of the lease, the tower owner must remove the tower equipment and restore the land to its original condition.

1. Fixed Improvements
   
   
   1. Project Approval: The Board of Trustees shall consider for approval all projects for fixed improvements forwarded to it by the Architecture and Design Committee and all projects having an aggregate budget of $500,000 or more. For such projects, the selection and employment of each major design consultant, shall be in accordance with the Architectural, Engineering and Land Surveying Qualifications Based Section Act and with University guidelines promulgated by the President. Project plans and specifications and the details shall be reviewed by an architect retained on behalf of the Board. The Board shall receive the bids and award all contracts therefore. Fixed improvements as herein used includes but is not limited to the construction of buildings or other structures affixed to land, rehabilitation or remodeling, fixed equipment, and landscaping, whether done by University forces or by contract or by any combination thereof. (9/14/00, 3/13/03, 2/12/09)
   2. Superintendence of Construction: After any contract shall have been awarded for the construction of a new building, or for rehabilitation or remodeling projects, supervision of such construction or projects shall be the responsibility of the respective Chancellor as the agent of the Board.
   3. Projects in the interest of the Board: From time to time, fixed improvement projects to be located on property under the jurisdiction of the Board of Trustees will be accomplished by another governmental agency, a foundation, or group. After such project is recommended by the Architecture and Design Committee and approved by the Board of Trustees, the board will be informed of the subsequent bidding process and award of contracts. (9/14/00)
2. Policy for Naming Physical Components of the University
   
   
   1. Southern Illinois University Policy
      
      
      1. The Board of Trustees reserves the right to name, or rename, all buildings, structures or facilities, or discrete wings or additions to structures, and all streets, drives, playfields, lakes, and other areas external to structures and belonging to the University and under the control of the Board of Trustees, either Southern Illinois University at Carbondale or Southern Illinois University at Edwardsville (10/10/96). The President of Southern Illinois University is authorized to name, or rename, interior facilities or areas of buildings and other structures belonging to the University and under the control of the Board of Trustees (10/10/96). Hereafter in this policy and in the policies for SIUC and SIUE, all of the above-mentioned physical components shall be referred to as physical components of the University. (10/10/96)
      2. The Chancellor of SIUC or SIUE shall make recommendations to the President who will make recommendations to the Board of Trustees regarding the naming of a physical component of the University.
      3. The selection of a name for a physical component of the University shall be governed by policies for Southern Illinois University at Carbondale and Southern Illinois University at Edwardsville as submitted to and approved by the President.
      4. The policies established by SIUC and SIUE shall include the following considerations:
         
         
         1. Physical components of the University may be named for living or deceased: notable members of the University faculty, staff, and student body; for distinguished former members of the Board; for donors of substantial funds; or for public persons of the state and nation, or of any country. (10/10/96)
         2. No more than one physical component shall be named for any one person at the University campuses, except for presidents and statesmen of the United States.
         3. When physical components of the University comprising permanent buildings and structures used for housing, instruction, research, or administrative purposes are given a proper name, an appropriate suffix noun excluding "Building" should be used. The noun "Building" will be used, with function names as a prefix, whenever a building is not named for a person. This policy for suffix nouns holds for all except special purpose physical components of the University, such as libraries, athletic buildings and structures or facilities, extracurricular activity buildings, physical service buildings and structures, over/underpasses, streets, drives, special purpose areas, and the like.
         4. The appropriate suffix noun for auditoria, theaters, lecture halls, lounges, art galleries, dining rooms, and other spaces contained within a permanent building that are suitable for honoring a person will be determined by the predominant intended use of the space.
3. Architecture and Design Committee Procedures
   
   
   1. In accordance with the Bylaws of the Board, the Architecture and Design Committee will review all capital improvement projects which affect the function and appearance of a campus and all capital improvement projects which require Board approval and, when appropriate, will recommend action to the Board of Trustees.
   2. In preparation for Committee review, concerned campus officers will provide, through established channels to the President's Office, detailed information, for each project appropriate to the purpose of the review and the status of the project. The President's Office will forward the information together with any additional comment deemed necessary, for Committee review. (3/13/03)
   3. After initial review of the information, the Committee may, through the President's Office and established channels, ask campus officers for comment, presentations, discussions, etc., until Committee reaction can be formulated.
   4. Results of Committee review of a project may range from informal concurrence to formal recommendation presented by the Committee to the entire Board, depending upon the status of the project under examination.
   5. For the support and guidance of the Committee, each campus will develop a "Master Plan for Capital Improvements" emphasizing factors of campus function and appearance, such as project location, traffic flow, parking, building utilization, etc. Each "Master Plan" will be maintained by the respective campus to recognize Board actions and as the result of annual review and updating conducted by each institution. These "Plans" and their annual updates shall be recommended by the Chancellors to the President and shall be reviewed by the Architecture and Design Committee prior to presentation to the Board of Trustees for approval. (3/13/03)

1. Policies Governing the Use of University Property for Scheduled Events and Meetings
   
   
   1. Use of University premises is restricted to events and meetings sponsored by the following:
      
      
      1. Colleges, schools, departments, and functional units of SIUC and SIUE and any of these units in conjunction with professionally recognized educational organizations or bona fide non-University organizations;
      2. University-recognized student organizations;
      3. University-allied or affiliated organizations such as the Southern Illinois University Foundation and the Southern Illinois University Alumni Association;
      4. Non-student on-campus groups that require facilities unique to the campus;
      5. Non-University groups and organizations, with approval of the appropriate University Scheduling Officer, when the event or meeting is of educational, cultural, or social significance and constitutes a desirable contribution to general community welfare.
      6. In keeping with the traditional neutrality of state universities in political matters, Southern Illinois University provides the free use of certain physical facilities for purposes primarily political for any political party listed on the present state ballot. The free use of these facilities is allowed on each campus of the University for not more than one meeting for each division of the party (National, State, County) during any election campaign (primary or general). All meetings of this nature must be cleared through the elected county chair or other appointed party official. Meetings which are scheduled and paid for, such as a dinner meeting held at the University Center, are not included in the number of meetings allowed each political party. (3/13/03)
      7. The use of University premises and facilities shall be subject to every applicable federal and state law.
2. Policies Governing the Use of University Property for Fund-Raising, Canvassing, Soliciting, Vending, and Allied Advertising
   
   
   1. Fund raisers, canvassers, solicitors, vendors, and agents are forbidden to pursue their occupations on any property owned or controlled by the University except on official University business or in accordance with policies to accept certain educational, cultural, and service activities. Proper notice of the policy shall be given.
      
      
      1. An admission fee may be charged or contributions solicited for events or meetings held on University premises only in accordance with University policies and regulations. Permission to charge admission fees or to solicit contributions may be granted to the following:
         
         
         1. Recognized student organizations, when the proceeds from approved and properly scheduled activities are deposited into the University Agency Fund of the organization concerned and are expended in accordance with established policies and regulations;
         2. Faculty and staff organizations recognized by the University, when the funds collected are for the purpose of defraying the expenses of the event or meeting, or are to be used for University scholarships, University projects, or University philanthropic programs;
         3. University-allied or affiliated organizations and non-University groups and organizations, when the funds collected are for the purpose of defraying the expenses of the event or meeting, or are to be used for University scholarships, University projects, or University philanthropic programs.
      2. No person shall conduct such activity without first having procured credentials for identification as the agent for an activity within one of the above exceptions, nor when an otherwise excepted activity disrupts or interferes with or might reasonably lead the responsible administrative officer to forecast substantial disruption of or material interference with the official operations of the University; the normal flow of vehicular and pedestrian traffic; conditions compatible with instruction, research, study, rehearsal, and practice; and health, sanitation, and safety of the University students, staff, and invitees. In addition, no such person shall in the course of such occupation purvey any material which contains, or publish about such material, statements which are willfully scurrilous or profane, demonstrably without factual foundation, malicious in law, or intentionally misleading or fraudulent, unless such statements are within the constitutional protection of the First Amendment or other legal privilege, nor shall any such person engage in any unlawful act in the course of such occupation.
      3. Campus procedures for implementation of this policy shall be developed by the Chancellors and approved by the President.
      4. The following guidelines shall serve as standards for classification as an acceptable educational, cultural, or service activity as expressed in paragraph a above in any such regulations and procedures.
         
         
         1. An educational or cultural activity may warrant such classification when it is an activity of or sponsored by a college, school, unit or department of the University including recognized student organizations and when the major aspect of the activity is the display or exhibition of goods, products, or materials for the educational or cultural benefit of persons enrolled, registered, invited, or otherwise formally involved in the activity.
         2. A service activity performed by an accredited representative of a bona fide organization which is of benefit to the education and welfare of members of the University community or its service areas, or both, may also warrant such classification. All charitable solicitations must conform to law and comply with the highest standards of disclosure of and accountability for funds received.
      5. The credentials of such persons may be revoked for cause on the following grounds:
         
         
         1. misrepresentation at the time of application;
         2. material alteration or loss of an organization characteristic essential to its continued compliance with a standard of classification under paragraph d above.
3. Alcoholic Beverages Policy. Preamble. Southern Illinois University and its students, faculty, and staff are committed to promoting a safe, healthy learning community for all its members. Southern Illinois University strives to encourage legal, health enhancing behaviors, norms and practices regarding the use of alcohol. The responsibility for reaching these goals lies with each member of this academic community. This policy is intended to articulate and affirm community wide norms consistent with legal requirements for use of alcoholic beverages that minimize situations where alcohol use compromises positive living, learning and working experiences for each member of our community. The rationale for this policy includes a recognition that a significant portion of undergraduate students are under the legal age for use of alcohol and that serious health and safety risks are associated with the use of alcohol in the collegiate environment. The abuse of alcohol, regardless of the user's age, may pose a threat to health and interfere with one's ability to participate fully in academic activities. Alcohol abuse is associated with violent behavior towards others, short and long range medical, behavioral or social problems as well as negative effects on academic or work performance. It may lead to inappropriate risk taking which can result in injury or death. The abuse of alcohol interferes significantly with the mission of the University. In addition to affecting the health and safety of students, faculty and staff, it exacts tremendous costs in its interference with the goals of learning, and through crime, property damage, and personal injury and impairment. The abuse of alcohol can create serious problems for non-abusing members of the community through incidents of criminal victimization, harassment, impaired study time, and other secondhand effects. Students, faculty, and staff make up a community in which each individual should respect the rights, health, property, and participation of others within the community. A university- wide commitment to alcohol education is a necessary part of the effort to minimize such risks.
   
   
   1. General Policies
      
      
      1. The University shall develop policies and procedures designed to prevent alcohol abuse and its deleterious effects to the people of the University community, the University's reputation, and to the communities in which students live by:
         
         
         1. Educating members of the community about alcohol, health effects, safety hazards, and policies and sanctions used to implement these policies;
         2. Promoting and supporting institutional programs that foster health and wellness in academic and nonacademic settings. These programs will include a variety of health-related topics and risk reduction strategies.
         3. Intervening and providing assistance to those with problems while creating an atmosphere in which those problems are encouraged to seek help.
         4. Applying disciplinary sanctions that support prevention programs and emphasize the consequences of alcohol abuse.
      2. The use, including sale, delivery, possession, and consumption of alcoholic beverages in or on any property owned or controlled by Southern Illinois University is strictly prohibited, except as permitted by campus policy.
      3. Where permitted under this policy, the use of alcoholic beverages on University premises shall be considered a privilege and may be permitted only if consistent with applicable laws and regulations, and only when such use will not interfere with the decorum and academic environment of the University.
      4. All members of the University community and their guests are responsible for conducting themselves in accordance with applicable laws and the policies and regulations of the University governing the use of alcoholic beverages. All student and other groups or organizations using University facilities or premises shall be required to adhere to such laws and regulations.
      5. The University assumes no responsibility for any liability incurred as a result of an organization's or individual's violation of the policy or any applicable laws governing the use and consumption of alcoholic beverages. All student and other organizations while using University facilities or premises shall be required to abide by State laws and University policies governing alcoholic beverages; members of the organization are responsible for conducting themselves in accordance with the State laws and University policies.
      6. The Chancellors shall, subject to the approval of the President, develop, to the maximum extent possible, common procedures to implement this policy.
      (5/10/01)
4. Policy on Demonstrations
   
   
   1. General: The University is a community dedicated to intellectual development by the process of rational thought and to the freedom of expression of ideas and opinions. It is a community that not only tolerates dissent, it welcomes responsible dissent and discourse on the issues of our time. Southern Illinois University has historically stood in this tradition. Freedom is indivisible and recognition of this fact is paramount to the maintenance of the open University community. Freedom to protest by lawful means must and will be protected by all the authority available to the University. However, when actions of individuals or groups interfere with the legitimate rights of others and are directed at the disruption of the normal processes of University life they must and will be resisted. The democratic process is based on the principles of acceptance by both the majority and the minority of the rights of both -- freedom to dissent and freedom to pursue one's own purposes so long as they do not interfere with the rights of others. We are committed as a University to maintain these freedoms and will use all the means at the disposal of the University to do so. Acts which interfere with the rights of students, faculty, and staff to conduct their normal duties will be appropriately dealt with. Interference with the normal function and proper conduct of the University or with the legitimate rights of individuals forces the University to take appropriate disciplinary action including suspension and expulsion when University regulations are disregarded and to invoke legal action by civil authority when the laws of the state of Illinois are broken. The preservation of freedom of speech and the recognition of the right to peaceful demonstration as part of that freedom is possible only in an orderly environment in which individuals and the University are free from coercion and interference in the exercise of their rights or in carrying out their legitimate activities. The fundamental standards governing group and individual behavior to be enforced by the University prohibit activities that:
      
      
      1. disrupt the regular and orderly performance of authorized University functions;
      2. interfere with the safety, welfare, and the rights of members of the University community, University guests, and local citizens;
      3. are destructive of public or private property.
      In keeping with these basic provisions, the following specific authorizations are adopted:
   2. Southern Illinois University at Carbondale and Southern Illinois University at Edwardsville
      
      
      1. Each Chancellor shall develop regulations and procedures governing University involvement in protecting the basic freedoms of individuals and the basic responsibilities of the institution and in acting when those freedoms and responsibilities are threatened by the behavior of individuals or groups.
      2. Such regulations and procedures and amendments shall become effective when approved by the President. (3/13/03)
      3. Such regulations and procedures shall identify conduct which is specifically prohibited in the interest of protecting the rights or safety of individuals, the performance of the University mission, and the safety of property; shall specify the University authority who shall determine that disruptive behavior is occurring and who shall provide appropriate warning to the participants in such behavior; shall specify sanctions to be imposed for disruptive activities; shall specify an appropriate hearing process for determination of facts or appeals of alleged disruptive behavior; shall establish facilities for the gathering of groups who wish to exercise their rights in a visible manner, and shall provide procedures for the orderly use of such facilities; shall provide for maintaining the mission of the University in as full a manner as is possible in the face of any disruptive activities; and shall set forth the basic responsibilities of all University personnel -- students, faculty, and staff -- when disruptive behavior occurs.
5. Motor Vehicle and Bicycle Regulatory Policies
   
   
   1. Motor Vehicle Regulatory Policies
      
      
      1. SIUC and SIUE Chancellors are hereby authorized to develop regulations for their campus dealing with the registration and use of motor vehicles on University property.
      2. Such regulations shall prescribe adherence to all applicable Federal, State, and local laws and regulations; shall provide authority for duly authorized security officers to enforce such regulations or to direct actions differing from such regulations; shall establish conditions and stipulations governing the use and operation of motor vehicles on University property which preserve the safety and protect the property of both individuals and the University; shall establish sanctions, including monetary use charges, to be imposed for violations of such regulations; shall provide a just and equitable process for those who wish to challenge any allegations of violation of the regulations; shall support the effective use of University facilities by establishing conditions and fees for registration of vehicles and for parking, and shall stipulate that such fees will be devoted to defraying the costs of vehicle registration, enforcement of regulations, and parking facilities; and in the same spirit shall authorize the establishment of short-term parking areas and assessment and collection of fees for use of such areas.
      (3/13/03)
   2. Bicycle Regulatory Policies
       
      1. SIUC and SIUE Chancellors are hereby authorized to develop regulations for the institution dealing with the registration and use of bicycles on University property.
      2. Such regulations shall prescribe scrupulous adherence to all applicable Federal, State, and local regulations; shall provide authority for duly authorized security officers to enforce such regulations or to direct actions differing from such regulations; shall establish conditions and stipulations governing the use and operation of motor vehicles on University property which preserve the safety and protect the property of both individuals and the University; shall establish sanctions, including monetary use charges, to be imposed for violations of such regulations; shall provide a just and equitable process for those who wish to challenge any allegations of violation of the regulations; shall support the effective use of University facilities by establishing conditions and fees for registration of vehicles and for parking, and shall stipulate that such fees will be devoted to defraying the costs of vehicle registration, enforcement of regulations, and parking facilities; and in the same spirit shall authorize the establishment of short-term parking areas and assessment and collection of fees for use of such areas.(3/13/03)
6. Use of University Personal Property
   
   
   1. The Law: The Illinois Constitution provides that public funds, property or credit shall be used only for public purposes. Both the Illinois and U.S. Constitutions prohibit deprivation of property without due process of law. Application of tax money for other than public purposes has been held to deprive the taxpayer of property without due process of law. The University is a trustee under a duty to see that public property is applied only to public purposes and each employee is an agent of that trustee charged with the same duty as to all property within his or her control. In addition, the procedures for administering property are prescribed by the State Property Control Act. (3/13/03)
   2. Scope of these Guidelines: Use of public funds and credit and use of University land and buildings are separately regulated. These guidelines cover all other assets or items with an exchangeable value, whether tangible or intangible (such as a copyright). The short description of such assets or items is "personal property."
   3. Public Purposes: The public purposes to which Southern Illinois University can devote its funds or property are defined by its mission as set forth by the General Assembly plus activities necessarily implied or incidental to the performance of those objects. (3/13/03)
   4. Misuse of Personal Property: Misuse of University personal property consists of giving it to, permitting its use or consumption by, or using or consuming it for the benefit of any person, group or organization within or outside the University, except in pursuit of the public purposes of the University as defined above. It is also misuse to waste, abuse or neglect personal property to its damage, destruction, or impairment of function or useful life. It is not misuse of personal property to give or lend it to, or use or consume it for the benefit of a third party pursuant to a contractual agreement, executed by proper authority, wherein a full and fair consideration is to be received in exchange for its use and where the consideration is or may be used to advance the public purposes of the University.
   5. Regulations: Since the detailed application of these guidelines will vary with the internal organization within which they are applied, the Chancellors are hereby authorized to issue and enforce regulations for all units and personnel under their respective jurisdiction. Such Regulations shall become effective upon approval of the President. (3/13/03)

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)

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.
   
   All trustees 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. Each trustee shall complete and sign a conflict of interest disclosure form, which shall indicate that the trustee has acknowledged the conflict or potential conflict and has recused himself pursuant to the procedures adopted by the Board. This form shall routinely and regularly be updated as appropriate by the Board.
   
   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

   Any member may disclose that a potential conflict of interest exists and advise the Chair or 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. The Interested Trustee shall disclose to the Chair or the General Counsel the basis of their belief that there may be an actual or perceived conflict of interest. Thereafter, 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.
   The Chair of the Board 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.

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, University of Michigan, University of Minnesota, University of Tennessee, Vanderbilt University, Montclair State University, and University of Northern Colorado.

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.

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.

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.

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.

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)

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.

Applicability

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:

1. Publicly post or publicly display in any manner an individual’s SSN. "Publicly post" or "publicly display" means to intentionally communicate or otherwise intentionally make available to the general public.
2. Print an individual’s SSN on any card required for the individual to access products or services provided by the University.
3. Require an individual to transmit a SSN over the Internet, unless the connection is secure or the SSN is encrypted.
4. Print an individual’s SSN on any materials that are mailed to the individual, through the U.S. Postal Service, any private mail service, electronic mail, or any similar method of delivery, unless State or federal law requires the SSN to be on the document to be mailed. SSNs may be included in applications and forms sent by mail, including, but not limited to, any material mailed in connection with the administration of the Unemployment Insurance Act, any material mailed in connection with any tax administered by the Department of Revenue, and documents sent as part of an application or enrollment process or to establish, amend, or terminate an account, contract, or policy or to confirm the accuracy of the SSN. A SSN that is permissibly mailed will not be printed, in whole or in part, on a postcard or other mailer that does not require an envelope or be visible on an envelope without the envelope having been opened.

In addition, the University shall not¹:

1. Collect, use, or disclose a SSN from an individual, unless:
   1. required to do so under State or federal law, rules, or regulations, or the collection, use, or disclosure of the SSN is otherwise necessary for the performance of the University's duties and responsibilities;
   2. the need and purpose for the SSN is documented before collection of the SSN; and
   3. the SSN collected is relevant to the documented need and purpose.
2. Require an individual to use his or her SSN to access an Internet website.
3. Use the SSN for any purpose other than the purpose for which it was collected.

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.

Attribution

This policy was developed using a template provided by the State of Illinois Attorney General's Office.

(5/12/11)