California Institute of Technology (Caltech)

The responding student will be given 7 calendar days to decide which process to follow. As with the full Board of Control process, responding students may seek the advice and support of another member of the Caltech community in navigating the Early Resolution process.

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Any student with a disability involved in any process outlined in the Honor Code

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Handbook has the right to request reasonable accommodation in order to ensure their

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full and equal participation in the process. Students wishing to request reasonable

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accommodations should make those requests directly to Caltech Accessibility

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Services for Students (CASS). Students do not have to disclose information about the

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complaint or charge to CASS to request reasonable accommodation except to the

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extent that it may assist in the determination of reasonable accommodations.

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Accommodations are determined on an individual basis by CASS staff and

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implemented in consultation with the Dean’s office. Examples of reasonable

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accommodation include but are not limited to sign language interpretation, real-time

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1

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communication access during hearings, large print documents, extended time to

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review documents, or assistance with transcribing questions during interviews or

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hearings. Students are responsible for requesting accommodations in a timely manner;

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failure to do so may result in a delay in the process.

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To an advisor who must be a member of the Caltech community (but who may not be an attorney). Student Affairs staff, Board of Control representatives, and Conduct Review Committee members are all trained to serve as advisors to respondents going through conduct processes.

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Incidents that are not handled by the Dean of Graduate Studies include accusations of research misconduct, which are handled by the Office of Research Compliance; grade disputes, which are handled by the office of the provost.

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At present, students submitting work for HSS courses may use generative AI tools only in ways that are explicitly allowed by the course instructor in the course materials. Any usage that is not specifically allowed should be assumed to be disallowed.

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This policy applies to all assignments, including major papers and exams as well as smaller assignments like discussion board posts, reflections, and problem sets.

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Students will also be expected to follow specific course guidance for documenting any permitted use of these tools.

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Caltech students, faculty, and staff are guided by the Honor Code and policies of AI use as an academic tool by students will be determined by individual departments and/or individual faculty.

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3.1 Approved Platforms & Connectivity 1. Primary LLM inference for Caltech data must use Amazon Bedrock or other IMSS-approved platforms with no provider training on Caltech prompts/data. 2. Custom training/fine-tuning must be performed on Amazon SageMaker or IMSS-approved secured environments.

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In our teaching, HSS instructors prioritize student learning, and this commitment drives our policies on the use of generative AI in the classroom. Generative AI may promote learning in some contexts and impede it in others.

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At this time, Caltech's Undergraduate and Graduate Deans, the Center for Teaching, Learning, and Outreach, and the Hixon Writing Center strongly discourage the use of GenAI tools designed to detect GenAI use in student writing. First and foremost, these tools are not reliable. They produce false positives and false negatives, and they are not an aid to investigations into academic dishonesty cases.

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You may not use generative AI tools (e.g. ChatGPT, Copilot, Colab’s built-in AI) in this course. This is not to deny the increasingly important role that LLMs play in the modern practice of programming and research; we merely note that, in an instructional capacity in an introductory course, we generally find them counterproductive. The lone exception is that, on rare occasions, we may explicitly ask you to engage with AI tools on a per-problem basis. These cases will be clearly marked on the respective homework sets.

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Do not enter any restricted or confidential Caltech information into consumer AI tools (ChatGPT Free/Plus, Gemini, Claude, Perplexity, etc.) Examples of restricted or confidential data are: Data covered by FERPA and HIPAA Student data Intellectual property and unpublished research Export‑controlled data Sensitive data from human resources, business and finance Information created, received, stored, or processed as part of academic, research, or administrative activities.

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4. Public, consumer, or unsanctioned GenAI tools are prohibited for Restricted/Confidential data unless IMSS issues a specific exception with compensating controls.

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Exceptions require the Research Compliance Officer, CIO and CISO (or

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delegate) approval with compensating controls and an agreed sunset date.

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Do not use Generative AI (GenAI) tools as a system of record. GenAI platforms are not approved for long-term storage, official records management, or institutional data retention. Users must ensure that all records requiring retention are stored in approved Caltech systems in accordance with established policies and regulatory requirements.

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Caltech approval of a GenAI service does not automatically constitute approval of every MCP server, agent, connector, plug-in, tool, or data source available through that service. Only Caltech-approved integrations should be used to connect GenAI services to Caltech information, applications, or systems. Do not enable a connection involving sensitive or restricted information unless the integration and intended use have been appropriately reviewed and authorized by the IRB/Research Compliance Office and Caltech Information Security.

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Important: Availability or approval of a GenAI service does not mean that every type of data, integration, or use case is approved for that service.

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3.1 Approved Platforms & Connectivity 1. Primary LLM inference for Caltech data must use Amazon Bedrock or other IMSS-approved platforms with no provider training on Caltech prompts/data. 2. Custom training/fine-tuning must be performed on Amazon SageMaker or IMSS-approved secured environments.

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4. Public, consumer, or unsanctioned GenAI tools are prohibited for Restricted/Confidential data unless IMSS issues a specific exception with compensating controls.

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3. All AI traffic with Caltech data must use private networking (e.g., VPC Endpoints/PrivateLink, Direct Connect) and encryption in transit and at rest (TLS 1.2+; KMS CMKs).

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Exceptions require the Research Compliance Officer, CIO and CISO (or

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delegate) approval with compensating controls and an agreed sunset date.

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3. Agent Controls: Agents must only invoke approved tools with explicit scopes and least-privilege credentials; no arbitrary code execution in production without sandboxing.

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Violations may result in access revocation, removal of workloads, and disciplinary actions per Caltech IMSS. Persistent violations are escalated to the CIO, CISO, OGC and appropriate governance bodies.

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3. Human subjects / sensitive research: Requires IRB approvals and IMSS data-use review before any LLM processing.

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Anthropic Claude Premium Available $600/user/year PTA via access.caltech**

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Anthropic Claude Standard Available $240/user/year PTA via access.caltech**

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Microsoft Copilot Web Available Free

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Microsoft 365 Copilot for Windows 11 Available Free

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Zoom AI Companion Available Free

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Microsoft 365 Copilot for Education Coming Soon $216/user/year PTA via access.caltech**

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1. Security & Data Processing Addendum required for any non-AWS LLM vendor; no training on Caltech data clauses is a mandatory requirement.

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Caltech's guiding principles for responsible GenAI use are: 1. Disclosure: When using GenAI, disclose or acknowledge its use when appropriate and follow requirements established by instructors, publishers, journals, sponsors, or other applicable authorities.

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2. Data and Information Protection: Protect Caltech information and follow applicable laws, regulations, contracts, and Institute requirements. Do not enter sensitive, confidential, or restricted information into open or consumer GenAI tools.

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3. Content Responsibility: GenAI systems can produce inaccurate, misleading, incomplete, or fabricated information. Review and assess GenAI output before relying on it, sharing it, or distributing it publicly. 4. Caltech Honor Code: Use of GenAI remains subject to Caltech's Honor Code: "No member of the Caltech community shall take unfair advantage of any other member of the Caltech community."

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What are some examples of unethical uses of AI for Caltech admissions essays? Copying and pasting directly from an AI generator Relying on AI generated content to outline or draft an essay Replacing your unique voice and tone with AI generated content Translating an essay written in another language

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What are some examples of ethical uses of AI for Caltech admissions essays? Using AI tools, like Grammarly or Microsoft Editor, to review grammar and spelling of your completed essays Generating questions or exercises to help kick start the brainstorming process Using AI to research the college application process

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If you are still wondering whether your use of AI in crafting your application is ethical, ask yourself whether it would be ethical to have a trusted adult perform the same task you are asking of ChatGPT. Would a teacher be able to review your essay for grammatical and spelling errors? Of course! Would that same teacher write a draft of an essay for you to tweak and then submit? Definitely not.

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All Fall 2027 applicants must review Caltech's guidelines on the ethical use of AI before submitting their supplemental essays. Failure to comply with the Ethical Use of AI guidelines may result in the rescission of your admission to Caltech.

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