1. Introduction
   1. An emergency management plan addresses all types of emergency functions at a Tennessee Board of Regents institution.
   2. A state of emergency may be declared at any time an emergency reaches such proportions that it cannot be handled by routine measures.Such emergencies may include, but not be limited to:
      1. tornados
      2. earthquakes
      3. winter storms
      4. fires
      5. infectious diseases
      6. hazardous chemical spills
      7. transportation accidents
      8. explosions
      9. utility outages
      10. civil disturbances
      11. bombs
      12. hostage situations
      13. terrorist activities
      14. active threats
      15. technological hazards
   3. Since emergencies normally occur without warning, plans and procedures should be designed to provide sufficient flexibility to accommodate contingencies of assorted types and magnitudes.
   4. The institutional emergency management plan must be reviewed and revised, as necessary, on at least an annual basis by senior administrators in conjunction with the institutional emergency response management team.
   5. Additionally, aspects of the plan must be tested in training exercises and drills consistent with Federal and State law.
   6. Units that are not responsible for maintaining an independent emergency management plan are still responsible for developing and maintaining local building emergency procedures to address the safety of occupants with the assistance of and oversight by campus safety officers.
   7. Campuses will have a system in place that assigns and trains people within campus units as necessary to develop department/building specific responses to general emergencies, helps communicate campus requirements, provides information during emergencies and coordinates department/building specific drills.
2. Minimum Procedures of an Institutional Emergency Response Plan
   1. Pursuant to this guideline, Policy 4:01:05:70, all TBR institutions are required to have a written institutional Emergency Management Plan that is developed and implemented consistent with the concepts and principles of the National Incident Management System, incorporating elements of the Incident Command System.
   2. In developing the plan, the institution should utilize the Guide for Developing High-Quality Emergency Operations Plans for Institutions of Higher Education found at http://rems.ed.gov/IHEGuideIntro.aspx 
   3. Institutions should undertake emergency operations planning within the context of local or regional, state and federal emergency planning. In order to promote coordination among these entities, the Institution should include a local or regional emergency planning representative to assist it in developing its emergency management plan.
   4. An institution’s Emergency Management Plan should be developed along the following outline:
      Basic Plan
      1. Introductory Material
      1.1. Cover Page
      1.2. Promulgation Document and Signatures Page
      1.3. Approval and Implementation
      1.4. Record of Changes
      1.5. Record of Distribution
      1.6. Table of Contents
      2. Purpose, Scope, Situation Overview, and Assumptions
      2.1. Purpose
      2.2. Situation Overview
      2.3. Planning Assumptions
      3. Concept of Operations
      4. Organization and Assignment of Responsibilities
      5. Direction, Control, and Coordination
      6. Information Collection, Analysis, and Dissemination
      7. Training and Exercises
      8. Administration, Finance, and Logistics
      9. Plan Development and Maintenance
      10. Authorities and References
      Functional Annexes
      NOTE: This is not a complete list, but it is recommended that all emergency management plans include at least the following functional annexes:
      1. Evacuation
      2. Deny Entry or Closing (Lockdown)
      3. Shelter-in-Place or Secure-In-Place
      4. Accounting for All Persons
      5. Communications and Notifications
      6. Continuity of Operations (COOP)
      7. Recovery
      8. Public Health, Medical and Mental Health
      9. Security
      10. Rapid Assessment
      Threat- or Hazard-Specific Annexes
      NOTE: This is not a complete list. Each institution’s annexes will vary based on its threats and hazard analysis.
      1. Hurricane or Severe Storm
      2. Earthquake
      3. Tornado
      4. Hazardous Materials Incident
      5. Mass Casualty Incident
      6. Active Shooter
      7. Pandemic or Disease Outbreak
      8. Bomb Threat or Explosion 
   5. The Exhibits are included as template or guidance documents only. Institutional administrators may elect to customize the attached documents for inclusion in its emergency management plan or they may draft new documents outlining their institutional plan to address the emergency situations presented in the appendices.
   6. Emergency Response Management Team - The institutional emergency management plan should designate appropriate administrators to an Institutional Emergency Response Management Team (ERMT).
      1. The institutional emergency management plan may designate that the Chancellor or President is the highest institutional authority in any emergency situation. The plan must establish a clear chain of command outlining institutional employees with authority to act in response to the emergency.
      2. The Emergency Response Management Team should serve in a support role to the President during an emergency.
      3. Institutions have the discretion to determine which administrators to appoint to the ERMT and it is advisable that institutions give serious consideration to the inclusion of the personnel listed in Exhibit 1.
      4. Exhibit 1: EMRT Administrators Specific Responsibilities outlines the potential responsibilities of each administrator during a crisis. 
             1. President
             2. Chief Academic Affairs Officer
             3. Chief Business/Finance and Administration Office
             4. Chief Student Affairs Officer
             5. Chief Public Relations Officer
             6. Chief of Institutional Police Department or Director of Security Department
             7. Director of the Institutional Health Clinic
             8. Chief Information Officer
             9. Physical Plant/Facilities Director
   7. Declaration of Emergency– The institutional emergency management plan shall designate an employee (or group of employees) authorized to Declare an Emergency.
      1. The plan may provide that the Chancellor, President, or designee with or without consultation from the ERMT, will make a determination of whether declaration of an emergency is appropriate.
      2. If an emergency is declared, the employee(s) authorizing the declaration will cause ERMT members (as well as others as directed by the Chancellor, President) to be contacted, advise them that an emergency has been declared, and direct them to respond to the Emergency Operations Center (EOC).
      3. A systematic calling plan must be established to ensure that all ERMT members receive timely notification of the official declaration of emergency.
   8. Emergency Operations Center - The institutional emergency management plan should designate a campus location that will serve as an Emergency Operations Center. An alternative location should be designated in the event that the primary location is not available.
      1. Members of the Emergency Response Management Team and others as designated by the President should be present in the EOC during emergencies, to the extent practicable.
      2. Institutions should consider having all activities, such as requests for personnel, equipment, and supplies monitored and coordinated from the EOC to ensure a coordinated effort and to ensure the best use of the resources needed to handle the emergency situation.
      3. A log should be maintained in the EOC which reflects all significant events and actions taken in the EOC.
      4. A communications log should also be maintained which reflects the time and date of every significant communication to/from the EOC, whom the communication was received from/sent by, to whom the communication was directed, the nature of the communication, and any EOC action resulting from the communication.
   9. Command Post - The institutional emergency management plan should authorize the establishment of a Command Post on campus that is near the scene of the emergency.
      1. The plan should designate an employee, such as the Chief of the Institutional Police Department, Director of Public Safety, or Facilities Director, depending on the type of emergency, to establish and manage a command post near the scene of the emergency.
      2. Upper level managers and directors from the institution whose personnel are directly involved in the emergency response will report to the command post, as will commanders from responding agencies external to the institution.
      3. Operational decisions relative to the emergency response will be coordinated from the command post.
      4. The command post will maintain contact with the EOC for purposes of instruction, status reports, and requests for support.
   10. Evacuations and Relocations - The institutional emergency management plan should authorize an appropriate administrator to determine that an evacuation is necessary and issue an evacuation order.
   11. Shelters - Institutions should designate appropriate locations as “Shelter Locations” at each campus/facility.
       1. Suggested Procedures for a “Shelter in Place” or “Lock Down” are in Exhibit 3: Shelter-in-Place/Lock-down Procedures.
   12. News Media - Institutions should have a procedure to manage media inquiries during an emergency situation.
       1. The Emergency Preparedness Plan must include a news media procedure to direct the management of media inquiries during emergencies. If none exists, the institution’s Public Relations/Media Office should be responsible for coordinating the institution’s response to news media inquiries at all times, including emergency situations.
       2. At the Tennessee Colleges of Applied Technology, the President, or a direct designee, is the only authorized administrator to respond to news media inquiries.
       3. No institutional employee, other than employees of institution’s Public Relations Office or the designated administrator, should release information to news media representatives, unless instructed to do so.
       4. All news media requests should be directed to Public Relations/Media Office, the designated administrator, or the EOC.
       5. The news media procedures must designate a location for press conferences during emergency incidents.
       6. The procedure must include provisions regarding a process through which the institution’s Public Relations/Media Office will notify the TBR Public Relations Office of published press releases related to the emergency situation.
       7. News media personnel should not be allowed into secure areas without an appropriate escort.
       8. Exhibit 4: Crisis Media Relations lists institutional / local media contacts and information regarding the release of student and employee records.
   13. Volunteer Management – Institutions should have a procedure to manage volunteers who respond to an emergency situation.
       1. Volunteers should be directed to the EOC or a central location for registration and assignment. During the registration process volunteers will be required to provide some form of reliable identification.
       2. A volunteer log should be maintained which will reflect the name, address, date of birth, driver’s license or social security number, any particular skill of each volunteer, the name of the supervisor to whom they are assigned, and the number of the identification card issued to the volunteer.
       3. If practical, each volunteer will sign a standard Volunteer Release Form and be issued an identification card that will be affixed to their outer clothing.
       4. Volunteers will be assigned to a supervisor involved in the emergency response.
       5. Exhibit 5: Volunteer Registration Form is a model Volunteer Statement/Understanding of Agreement (e.g., Volunteer Registration Form) that may be executed by institutions to register volunteers during an emergency response period.
   14. Purchasing Guidelines - Institutions should have a procedure to manage purchases during an emergency situation.
       1. All emergency purchases will be handled in the shortest possible time frames.
       2. To the greatest extent possible, institutional employees will make purchases using procurement cards.
       3. For those purchases which cannot be made by use of procurement cards, Business Affairs personnel will facilitate the timely acquisition of needed resources in a manner consistent with emergency situations.
       4. A record of all emergency related expenditures will be maintained by the work unit making those expenditures.
          1. A copy of those records will be forwarded to the EOC and the original purchase documents will be handled consistent with institutional purchasing guidelines.
   15. Transportation Services - Institutions should have a plan to transport persons and/or equipment during an emergency.
       1. An appropriate institutional department should be designated to be responsible for providing vehicles for evacuations and other emergency related activities.
       2. Distribution of vehicles should be made in such a manner as to maintain accountability while being responsive to the emergency needs of the institution.
       3. The Physical Plant or appropriate personnel should be prepared to experience an increase in emergency maintenance to institutional vehicles, to include minor off-site repairs related to such problems as flat tires, dead batteries, etc.
       4. Exhibit 6: Institutional Vehicles is a template to outline the type and number of institutional vehicles on campus.
   16. Lines of Communication – Institutions should establish a plan for alternate communication options for use during an emergency response period.
       1. Generally, the primary means of communications during an emergency are telephones, cell phones, satellite phones, and two-way radios.
       2. If the institutional phone system has been rendered inoperable or if the emergency incident is a bomb threat, then the EOC, EMRT, and other necessary personnel will use cell phones and radios.
       3. Radios will be the primary communications medium if landline phones, satellite phones, and cell phones are inoperable.
       4. In the event that phones, cell phones, and radios, become inoperable, consideration should be given to the use of “runners” to transmit messages.
       5. Exhibit 7: Log of Campus Radios/Communication Devices is a template to outline the type and location of one-way and two-way radios at the institution.
   17. Documentation of Activities – Institutions should have a procedure to document activities in response to an emergency.
       1. Each department/office should be instructed to maintain a record of all emergency-related activities performed by the personnel of that work unit. The record will reflect the personnel worker hours (for non-exempt staff), as well the assignments of personnel, and the work performed by each work unit, and other resources expended in response to the emergency.
   18. Campus Maps and Building Prints - Institutions should ensure that copies of campus maps, site maps and building prints / records are in a central location.
       1. To the extent that doing so does not compromise security of the institution, the institutional Emergency Preparedness Plan shall ensure that accurate copies of main and satellite campus maps/site plans, prints of buildings and record plans of buildings are attached to the plan.
       2. If the determination is made that security concerns outweigh the inclusion of such material in the Emergency Preparedness Plan, then the institution must ensure that accurate copies of campus maps and building prints are maintained in a secure location that is readily accessible by law enforcement personnel, the President and the ERMT.
   19. Student Assistance Coordinating Committee (Threat Assessment Team) – Institutions should have a Student Assistance Coordinating Committee/Threat Assessment Team that meets regularly to discuss the needs of distressed, disturbed, disruptive, or dangerous students.
       1. Institutions must establish a Student Assistance Coordinating Committee that will meet regularly to evaluate the needs and provide necessary assistance to students who are identified as distressed, disturbed, disruptive, and/or dangerous.
       2. Institutions have the sole discretion to determine which administrators to appoint to the Committee; however, it is advisable that institutions give serious consideration to the inclusion of personnel from the following institutional departments, if applicable:
          1. Judicial Affairs
          2. Disabled Student Services
          3. Student Health
          4. Counseling Services
          5. Academic Support Services
          6. Police Department.
       3. Exhibit 8: Model Student Behavior Information is a model document that addresses institutional management of student behavior matters, including release of student records via the Partners in Education Program; student misconduct reports/methods to report students of concern; and student civility codes.
   20. Faculty and Staff Training Regarding Student Behavior Management - Institutions should require all faculty and designated staff to complete training regarding the identification and management of distressed, disturbed, disruptive or dangerous students.
       1. Institutions must establish a method to maintain records certifying that all faculty, including adjunct faculty, and designated staff complete annual training regarding the identification and management of distressed students.
       2. Institutions have the sole discretion to determine which staff members must participate in the training; however, it is advisable for institutions to include all personnel who have direct contact with students (e.g., student affairs, financial aid, residence life, etc.)
   21. Maintenance of Emergency Management Plan - Institutions must properly maintain the Emergency Management Plan and review it at least on an annual basis.
       1. Electronic and hard copies of the Emergency Management Plan will be maintained by all members of the Emergency Response Management Team and department/office heads who will have significant roles in responding to emergencies.
       2. The plan should also be maintained in the Institutional Police Department or Department of Public Safety, if one exists.
       3. Institutions are advised to put a copy of the plan in the library and to post it on the internet.
       4. An electronic copy of the plan must be maintained in a manner that will permit access during an emergency (e.g., Acrobat Adobe copy on diskette or memory stick, internet posting, etc.).
       5. Department/office heads should establish appropriate procedures within their work units to facilitate plan implementation.
       6. On an annual basis the President or designee, in consultation with the ERMT will review the plan and update/modify the plan as necessary.
   22. Emergency Response Plan Training - Institutions shall conduct appropriate training for all personnel regarding the Emergency Preparedness Plan and the Plan shall be publicly posted.
       1. Members of the ERMT and department/office heads should ensure that they and members of their staff are knowledgeable concerning the contents of the Emergency Preparedness Plan.
       2. All employees must have knowledge of the contents and procedures of the institution’s plan. On a periodic basis different aspects of the plan should be tested, either through simulated exercises or in-service training, as appropriate.
       3. A Safety Committee/Risk Management Committee may be established to assist in these training exercises as necessary.
       4. The Emergency Response Management Team Members should receive training in the (NIMS) National Incident Management System method of handling emergency situations.
       5. The Safety Committee / Risk Management Committee or appropriate personnel may consult the Tennessee Emergency Management Association (TEMA) Training and Education Office to request information regarding special training seminars.
3. Exhibits to Guideline B-100
   1. Exhibit 1: EMRT Administrators Specific Responsibilities
   2. Exhibit 3: Shelter-in-Place/Lock-down Procedures
   3. Exhibit 4: Crisis Media Relations
   4. Exhibit 5: Volunteer Registration Form
   5. Exhibit 6: Institutional Vehicles
   6. Exhibit 7: Log of Campus Radios/Communication Devices
   7. Exhibit 8: Student Behavior Information
   8. Exhibit 9: Fire Drills
   9. Exhibit 10: Bomb Threats
   10. Exhibit 11: Tornado Procedures
   11. Exhibit 12: Earthquake Procedures
   12. Exhibit 13: Biological Hazards
   13. Exhibit 14: Hostile Intruder/Violent Person
   14. Exhibit 15: Terrorist Attack
   15. Exhibit 16: Flood, Snow, and Ice
   16. Exhibit 17: Hostage
   17. Exhibit 18: Protests/Demonstrations
   18. Exhibit 19: Explosion/Train or Aircraft Crash
   19. Exhibit 20: State and Local Emergency Telephone Numbers
   20. Exhibit 21: Building Contact Telephone Numbers
   21. Exhibit 22: Local Utility Company Telephone Numbers
   22. Exhibit 23: Emergency Response Campus Resources
4. Resources
   1. The following resources should be beneficial in developing and implementing the institutional emergency management plans:
      1. http://www.ready.gov/campus
      2. http://www.tnema.org 
      3. http://training.fema.gov/IS/
      4. http://www.fema.gov/response-recovery

1. References
   1. T.C.A. § 47-10-101, et.seq. – Tennessee Uniform Electronic Transactions Act
   2. T.C.A. § 10-7-101, et.seq. – Tennessee Public Records Act
   3. TBR Guideline G-070 – Disposal of Records-RDA 2161
   4. TBR Policy 1:08:00:00 – Information Technology Resources
2. Scope
   1. This guideline applies to the TBR Central Office and all TBR Institutions, and applies to all forms of electronic signatures and electronic records used to conduct the official business of the TBR and its institutions.
   2. Such business shall include, but not be limited to electronic communications, transactions, procurements, contracts, grant applications and other official purposes.
3. Use of Electronic Signature
   1. Mutual agreement by the parties
      1. This guideline applies only to transactions between parties each of which has agreed to conduct transactions by electronic means.
      2. Whether the parties agreed to conduct a transaction by electronic means is determined from the context and surrounding circumstances, including the parties’ conduct.
   2. Signature required by TBR or Institutional policy
      1. When a TBR or Institutional policy requires that a record have the signature of an authorized person, that requirement is met when the electronic record has associated with it an electronic signature using an approved electronic signature method.
      2. When a TBR or Institutional policy requires a written signature on a document, that requirement is met when an electronic document has associated with it an electronic signature using an approved electronic signature method.
   3. Signature required by law
      1. When there is a legal requirement, in addition to TBR or Institutional guideline, that a record have the signature of an authorized person, that signature requirement is met when the electronic record has associated with it an electronic signature using an approved electronic signature method which complies with applicable TBR/institutional policy, Tennessee law, and federal law.
      2. When a legal requirement, in addition to TBR or Institutional policy, requires a written signature on a document, that requirement is met when an electronic document has associated with it an electronic signature using an approved electronic signature method, which complies with applicable TBR/institutional policy, Tennessee law, and federal law.
   4. The signing of a record using an approved electronic signature method does not mean that the record has been signed by a person authorized to sign or approve that record. Appropriate procedures must be used to confirm that the person signing the record has the appropriate authority and intent to sign the record.
   5. If parties have agreed to conduct a transaction by electronic means and a law requires a person to provide, send, or deliver a signed document to another person, the requirement is satisfied if the information is provided, sent, or delivered, as the case may be, in an electronic record capable of retention by the recipient at the time of receipt.
      1. An electronic record is not capable of retention by the recipient if the sender or its information processing system inhibits the ability of the recipient to permanently retain the electronic record containing the signature.
4. Approval of Electronic Signature Methods by the Approval Authority
   1. The final approval of any electronic signature method will be by the approval authority.
      1. In determining whether to approve an electronic signature method, consideration will be given to the systems and procedures associated with using that electronic signature, and whether the use of the electronic signature is at least as reliable as the existing method being used.
      2. This determination will be made after a review of the electronic signature method by the appropriate authorities.
   2. If approved electronic signature methods require the use of encryption technology that uses public or private key infrastructure and/or certificates, the Information Technology Department at the Institution will be responsible for the administration of such public or private keys and certificates, and information will be provided to TBR’s Information Technology Department.
   3. An approved electronic signature method may limit the use of that method to particular electronic records, particular classes of electronic records, or particular TBR or institutional departments.
      1. An electronic signature used outside of its defined parameters will not be considered valid by TBR or the Institution.
   4. In the event that it is determined that a previously approved electronic signature method is no longer trustworthy, the approval authority must revoke the approval of that electronic signature method.
      1. If there is an on-going need for electronic signatures, which were made by the revoked method, the approval authority will take steps to see that appropriate electronic signatures are obtained by an approved electronic signature method.
   5. An inventory of all approved electronic signature methods shall be maintained by the TBR Office of Information Technology.
5. Rules and Procedures
   1. With respect to the use of electronic signatures or electronic transactions, the following requirements pertain to approved electronic signature methods:
      1. Specific transactions that may be conducted by electronic means must be identified;
      2. Specific transactions that may not be conducted by electronic means must be identified;
      3. The manner and format in which electronic records must be created, generated, sent, communicated, received, and stored, and the systems established for those purposes must be specified;
      4. The method must:
         1. Comply with any law or regulation that requires electronic records which must be signed by electronic means;
         2. Specify the type of electronic signature required, the manner and format in which the electronic signature must be affixed to the electronic record, and the identity of, or criteria that must be met, by any third party used by a person filing a document to facilitate the process;
      5. Control processes and procedures must be developed to ensure adequate preservation, disposition, integrity, security, confidentiality, and auditability of electronic records;
      6. Control processes and procedures must be developed for any other required attributes for electronic records that are specified for corresponding non-electronic records or that are reasonably necessary under the circumstances;
      7. An inventory of all approved electronic signature methods must be maintained; and
      8. Approval of an electronic signature method must be obtained as follows:
         1. An analysis of the nature of a transaction or process to determine the level of protection needed and the level of risk that can be tolerated. The analysis shall include:
            1. The full range of technological options and follow commercial trends where appropriate
            2. Identifying and documenting any potential costs, quantifiable and unquantifiable, direct and indirect, in performing a cost/benefit analysis;
            3.  Developing a comprehensive plan for converting a traditional process to an electronic one; and
            4. Identifying all information relevant to the process.
         2. Comply with G-070 for the records produced by electronic processes, including long-term retention where necessary. Consider retaining an electronic document in paper-based form for important or sensitive contexts;
         3. Request legal review to verify that the electronic signature method complies with applicable laws governing the creation and use of electronic signatures;
         4. Outline the steps of the electronic signature method so that you can demonstrate the reliability of your process;
         5. Submit to the approval authority;
         6. Implement upon approval; and
         7. Provide implemented method to the TBR System Office.
6. Sample Procedures
   1. Procedure to Authorize and Implement Electronic Signature Methods (Exhibit 1)
   2. Procedure for Email Transactions - Personal/Professional Service Contracts (Exhibit 2)
   3. Procedure for SciQuest Transactions (Exhibit 3)
   4. Procedure for Web Time Entry Transactions (Exhibit 4) 
7. Sanctions
   1. Any individual or party that makes inappropriate or illegal use of electronic signatures, transactions and/or records is subject to sanctions up to and including dismissal, suspension, and criminal prosecution as specified in published TBR and institutional policies, Tennessee and federal laws.

1. Introduction
   1. TBR institutions are covered by GLBA because they offer and process financial aid applications, provide loans to students, and receive customer information from students and others in connection with those activities.
   2. Each institution must develop, implement, and maintain a written, comprehensive Information Security Program. The Program must contain administrative, technical, and physical safeguards appropriate to the institution’s size and complexity, the nature and scope of its activities, and the sensitivity of the customer information at issue.  The Program must apply to any paper or electronic record maintained by an institution that contains customer information about an individual or a third party who has a relationship with the institution.
   3. Because the TBR System Office handles significant customer information for Tennessee Colleges of Applied Technology through Shared Services, the System Office and the TCATs are considered a single institution for purposes of this policy. Customer information shall be kept confidential and safeguarded by the institution, its affiliates and service providers pursuant to the provisions of the Program and this Guideline.
2. Requirements of an Information Security Program
   1. Program Coordinator
      1. Except for the TCATs, which will be served by the TBR System Office Program Coordinator, each institution must identify one qualified individual to serve as the Program Coordinator (“Coordinator”) who shall be responsible for overseeing and implementing the Program.  The Coordinator may obtain assistance from other sources, but ultimate responsibility for the Program remains with the Coordinator.
      2. The Coordinator’s development of the Program shall include, but not be limited to:
         1. Consulting with the appropriate offices to identify units and areas of the institution with access to customer information and maintaining a list of the same;
         2. Assisting the appropriate offices of the institution in identifying reasonably foreseeable internal and external risks to the security, confidentiality, and integrity of customer information and making certain that appropriate safeguards are designed and implemented in each office and throughout the institution to safeguard the protected data
         3. Working with the institution’s contract officer(s) to guarantee that all contracts with third party service providers that have access to and maintain customer information include a provision requiring that the service provider maintain appropriate safeguards for customer information; and
         4. Working with responsible institutional officers to develop and deliver adequate training and education for all employees with access to customer information.
   2. Security and Privacy Risk Assessments
      1. The Program shall identify reasonably foreseeable external and internal risks to the security, confidentiality, and integrity of customer information that could result in the unauthorized disclosure, misuse, alteration, destruction, or other compromise of such information, and assess the sufficiency of the safeguards in place to control those risks.
      2. Risk assessments should include consideration of risks in each office that has access to customer information.
      3. Risk assessments must be written and include, at a minimum, consideration of the risks in the following areas:
         1. Criteria for the evaluation and categorization of the identified security risks and threats;
         2. Criteria for the assessment of the confidentiality, integrity, and availability of information systems and customer information, including the adequacy of existing controls in the context of identified risks and threats; and
         3. Requirements describing how identified risks will be mitigated or accepted based on the risk assessment and how the Program will address the risks.
      4. The institution must periodically perform additional risk assessments that reexamine the reasonably foreseeable internal and external risks to the security, confidentiality, and integrity of customer information that could result in the unauthorized disclosure, misuse, alteration, destruction, or other compromise of such information.  Such assessments must reassess the sufficiency of safeguards in place to control the risks.
   3. Information Security Personnel and Employee Training.
      1. Institutions must utilize qualified information security personnel, whether employed by the institution or through vendors, sufficient to manage information security risks and to assist in oversight of the Program.  Security personnel must be provided with security updates and training sufficient to address relevant security risks. Institutions must verify that key information security personnel take steps to maintain current knowledge of changing information security threats and countermeasures.
      2. The Coordinator must provide institutional employees with security awareness training that is updated as necessary to reflect risks identified by the risk assessment. This training may be developed and implemented in conjunction with vendors, the human resources office, and the Office of General Counsel. The training shall occur on a regular basis, as deemed appropriate by the Coordinator, and it shall include education on relevant policies and procedures and other safeguards in place or developed to protect customer information.
   4. Design and Implementation of Safeguards
      1. The Program must include safeguards to control the risks identified through the risk assessments, including by:
         1. Implementing and periodically reviewing access controls, including technical, and as appropriate, physical controls to authenticate and permit access only to authorized users, and to limit authorized users’ access only to customer information that they need to perform their duties and functions (or in the case of customers, to access their own information);
         2. Identifying and managing the data, personnel, devices, systems, and facilities that enable the institution to achieve operational purposes in accordance with their relative importance to operational objectives and risk strategy;
         3. Protecting by encryption all customer information held or transmitted by the institution both in transit over external networks and at rest. To the extent the Coordinator determines that encryption of customer information, either in transit or at rest, is infeasible, the Coordinator may approve a method to secure such customer information using effective alternative compensating controls;
         4. Adopting secure development practices for in-house developed applications used to transmit, access, or store customer information and procedures to evaluate, assess, or test the security of externally developed applications used to transmit, access, or store customer information;
         5. Implementing multi-factor authentication for any individual accessing any information system, unless the Coordinator has approved in writing the use of reasonably equivalent or more secure access controls;
         6. Developing, implementing, and maintaining procedures for the secure disposal of customer information.  These procedures must be periodically reviewed to minimize the unnecessary retention of data. Disposal must occur no later than two years after the last date the information is used in connection with the provision of a product or service to the customer to which it relates unless:
            1. The information is required to be kept for a longer period in accordance with TBR Policy 1.12.01.00, Records Retention and Disposal of Records;
            2. The information is necessary for operational purposes; or
            3. Targeted disposal is not reasonably feasible due to the manner in which the information is maintained.
         7. Adopting procedures for change management; and
         8. Implementing policies, procedures, and controls designed to monitor and log the activity of authorized users and to detect unauthorized access or use of, or tampering with, customer information by such users.
      2. The Program must regularly test or otherwise monitor the effectiveness of the safeguards’ key controls, systems, and procedures, including those to detect actual and attempted attacks on, or intrusions into, information systems.
      3. For information systems, monitoring and testing must include continuous monitoring or periodic penetration testing and vulnerability assessments.  In the absence of effective continuous monitoring or other systems to detect, on an ongoing basis, changes in information systems that may create vulnerabilities, the institution must conduct:
         1. Annual penetration testing of information systems based on relevant risks identified through risk assessments; and
         2. Vulnerability assessments, including any systemic scans or reviews of information systems designed to identify publicly known security vulnerabilities.  Such vulnerability assessments must be conducted at least every six months and whenever there are material changes to an institution’s operations, and when circumstances or events may have a material impact on the Program.
   5. Oversight of Service Providers and Contracts
      1. The institution must take reasonable steps to select and retain third party service providers that are capable of maintaining appropriate safeguards for the customer information to which they have access.  Service providers must be periodically assessed based on the risk they present and the continued adequacy of their safeguards.
      2. The institution must require, by contract, that current and potential service providers with access to customer information maintain sufficient procedures to detect and respond to security events.
      3. The institution must require, by contract, that all applicable third party service providers implement and maintain appropriate safeguards for customer information.
   6. Incident Response Plan
      1. The Program must include a written incident response plan designed to promptly respond to, and recover from, any security event materially affecting the confidentiality, integrity, or availability of customer information in the institution’s control.
      2. To the extent the following requirements are not already required by the State of Tennessee’s incident response plan, the Coordinator shall ensure that the incident response plan addresses:
         1. The goals of the incident response plan;
         2. The internal processes for responding to a security event;
         3. The definition of clear roles, responsibilities, and levels of decision-making authority;
         4. External and internal communications and information sharing;
         5. Identification of requirements for the remediation of any identified weaknesses in information systems and associated controls;
         6. Documentation and reporting of security events and related incident response activities; and
         7. The evaluation and revision as necessary of the incident response plan following a security event.
   7. Evaluation and Revision of Program
      1. The Coordinator must evaluate and adjust the Program in light of the results of testing and monitoring, any material changes to the institution’s operations, the results of risk assessments, and any other circumstances that may have a material impact on the Program.
      2. The Program must include a plan by which it will be evaluated on a regular basis and a method to revise the Program, as necessary, for continued effectiveness.
3. Assessment of the Information Security Program
   1. The Coordinator, in conjunction with the appropriate administrators, shall assess the effectiveness of the Program annually.
   2. The Coordinator shall make certain that necessary revisions to the Program are made at the time of the annual review to address any changes in the institutional organization that may affect the implementation and effectiveness of the Program.
4. Publication of the Information Security Program
   1. To promote uniform compliance with the Program by all personnel employed by the institution and to achieve the institution’s duty to safeguard the confidentiality of customer information, the institution shall, at a minimum, display and disseminate the Program in accordance with the institution’s standard distribution methods.
   2. The institution’s current Program shall be available upon request for review and copy at all times.
5. Annual Reporting to the Board of Regents
   1. The System Office Coordinator shall provide a written report to the Board of Regents no less than annually. The report shall include the following information for the System Office and TCATs:
      1. The overall status of the Program and compliance with these guidelines; and
      2. Material matters related to the Program addressing issues such as risk assessment, risk management and control decisions, service provider arrangements, results of testing, security events or violations and responses thereto; and recommendations for changes to the Program.
   2. The System Office Coordinator’s report to the Board of Regents shall also include a report from Coordinator of each institution.  The System Office Coordinator shall prepare a form for institutional Coordinators to complete and return in time sufficient for inclusion in the report to the Board.

1. Introduction
   1. Administrators at all levels of management should be aware of the risks and exposures inherent in their areas of responsibility, and should establish and maintain proper internal controls to provide for the security and accountability of all assets and other resources entrusted to them.
   2. It is the responsibility of each institution to establish a process to identify, report and investigate losses of state or institutional funds, property or other resources, whether by malfeasance or misfeasance.
   3. Tennessee Board of Regents (TBR) Policy 4:01:05:50, Preventing and Reporting Fraud, Waste or Abuse, includes requirements for reporting suspected instances of fraud, waste or abuse to the system office where such matters are subsequently reported to the Comptroller of the Treasury (T.C.A. § 8-19-501(a)).
2. Reporting and Resolution Process
   1. Reporting Losses – For each reportable incident, the institution must complete a “Notification of Loss Report” (Exhibit 1) or “Property Loss Report” (Exhibit 2).
      1. The Notification of Loss Report should be used to report single incidents of shortages or losses of any asset, resource or data immediately upon occurrence or discovery. This report should be used to report the loss or shortage of any amount which is the result of acknowledged or suspected fraud, waste or abuse by either an employee or a non-employee (for example, a vendor, contractor, or student).
      2. The Property Loss Report may be used to report property losses in any quarter in which losses occur and may include more than one incident or loss of property. However, see item 1 above if the property loss is a result of fraud, waste or abuse.
      3. The institution must also report covered property losses to the State of Tennessee, Department of Treasury, Office of Risk Management.
   2. Reporting Resolution – The investigation unit identified on the notification report will file a “Case Resolution Report” (Exhibit 3) at the conclusion of the investigation. Depending upon the nature and extent of the investigation, an Internal Audit Report may be issued in lieu of a Case Resolution Report.
   3. Distribution of Reports – Each notification and resolution report should be submitted to the following officials or offices:
      1. President 
      2. Vice President for Business and Finance
      3. Internal Audit Director
      4. Office of Safety and Security/Campus Police (as appropriate)
      5. TBR Vice Chancellor for Business and Finance
      6. TBR System-wide Chief Audit Executive
3. Requirements Regarding Losses and Shortages
   1. Cash or Other Financial Resources – Institutions maintain cash, procurement cards, credit cards and other financial resources to facilitate its business needs. Institutions must report cash shortages or losses equal to or greater than $500 immediately to TBR.
      1. Some cash shortages result from human error and are the cost associated with doing business. However, objective reviews must be completed to eliminate misconduct and provide assurance that controls are effective.
      2. Regardless of amount, management should routinely perform objective reviews of shortages or other losses to identify any unusual items, recurring issues or a pattern of financial shortages.
   2. Property – Institutions maintain inventory records for capitalized property and sensitive minor equipment, as required by Tennessee Board of Regents Guideline B-110, Fixed Assets and Sensitive Minor Equipment. Institutions must report property losses to TBR at least quarterly.
      1. Losses of physical property due to inventory shrinkage, vandalism, unexplained events, natural disasters, or acts of God should be reported to TBR on a quarterly basis on the Property Loss Report (Exhibit 2). A Case Resolution Report is not required to be submitted for such losses.
      2. However, unexplained losses and those due to shrinkage or vandalism should be objectively reviewed by management to identify any unusual items, recurring issues or a pattern of losses.
      3. Occurrences that are potentially serious situations that would create public concern regardless of amount (e.g., the loss of certain chemicals) must be reported to the TBR and the Office of Risk Management immediately, followed by a written report.
4. Property Claims Process
   1. Property Claims – Individual occurrences exceeding $25,000 must be reported to the TBR Office of Facilities Management and the Office of Risk Management immediately, followed by a written report.
      1. The Office of Risk Management website at http://treasury.tn.gov/risk/ contains contact information under the “Contact Us” link and details of the insurance claim process under the “Claims Process” link.
      2. Each report of damage for a claim should include a detailed description of the loss and the estimated cost. In addition to the reporting requirements noted above, the department where the loss occurred should also receive a copy of this report.
5. Actions
   1. TBR will evaluate the information provided and make a determination concerning external reporting obligations, if any, and the feasibility of pursuing available legal remedies in cases of misconduct, including fraud, waste or abuse.

General Provisions

1. Each two-year institution is authorized to offer a deferred payment plan as provided in the Tennessee Board of Regents Policy on Payment of Student Fees and Enrollment of Students (No. 4:01:03:00). The deferred payment plan is available for regular academic terms, but not for summer or other short terms.
2. Eligibility
   1. All students in good financial standing and with no outstanding account balances from previous terms are eligible to participate in the deferred payment program.
   2. Students who have failed to make timely payments in previous terms may be denied the right to participate in the deferred payment program in additional enrollment periods.
   3. Institutions may set minimum balances due for students to be eligible for deferred payment.
3. Payment Terms
   1. All financial aid awarded by the institution, including student loans, must be applied toward payment of total fee balances before the deferred payment plan may be utilized. Two options are available for the remaining balance after financial aid and discounts are applied. Community colleges will determine as a system which of the following plans to offer.
      1. Option 1
         1. At least 50% of the remaining balance after financial aid and discounts are applied must be paid at the beginning of the term.
         2. The remaining balance may be paid in a minimum of two equal installments.
            1. Due dates for these payments will be set by the institution with approximately 30 days between due dates.
            2. All installments should be scheduled so that the entire balance due is paid by the end of the semester.
      2. Option 2
         1. The remaining balance after financial aid and discounts will be divided into four (4) equal payments with the first payment due before the first day of class and the remaining payments due on the 30th of each subsequent month. All installments should be scheduled so that the entire balance due is paid by the end of the semester.
4. Service Charges and Fines
   1. Institutions may charge a service fee of $10 to $50 to help defray administrative costs associated with the deferment program.
   2. An additional late payment charge not to exceed $25 will be assessed on each installment which is not paid on or before the due date and each 30 day period past the 2nd installment up to a maximum of $100.
   3. Withdrawals from classes will not alter any remaining balance due except to the extent that any refund may be applied in accordance with Guideline B-060.
5. Approval of Exceptions
   1. In accordance with these guidelines, the president of an institution or designee has the authority to determine the applicability of the provisions of the deferred payment program and to approve exceptions in instances of unusual circumstances for individuals.
   2. The Chancellor or designee has the authority to permit policy-related exceptions.
   3. All such actions must be properly documented for auditing purposes. 

1. Program Guidelines
   1. If a SCF is proposed by a campus for approval by the TBR Board, then the following Program Guidelines apply.
      1. The initial fee request should not exceed $10.00 per student per semester (Fall & Spring only).
      2. The fee shall be administered by a committee at each campus using the following criteria:
         1. Committee shall be appointed by the campus president that is comprised of an appropriate ratio of students, faculty and staff to approve and oversee the use of funds.
         2. Under the leadership of the campus administration, the committee shall develop a decision making structure to establish on an annual basis:
            1. The amount of fee to be allocated to the green power purchase (taking into consideration TVA’s ability to meet the green power purchase demand) and on-campus sustainability initiatives.
            2. Approval of on-campus sustainability initiatives.
         3. Funds for each category for on-campus sustainability initiatives should be allowed to be carried forward if needed for near-term future expenditures. Fund balances in each category should not exceed a two-year accrual without encumbrance or a carry forward justification plan.
         4. A status report shall be published by each campus at the end of each fiscal year for all program activities. Based on this report the campus committee shall evaluate each year the validity of the fee and the appropriateness of the fee amount and make a recommendation, if necessary, for an adjustment to the fee.
      3. The proceeds from the fee may be used for the following:
         1. TVA Green Power Switch or Other Certified Green Power Purchases.
            1. Recommended purchase amount 0 to 10% of the total KWH used by the campus.  Purchases over this amount should be evaluated carefully and justified by the campus committee prior to purchase. Campuses may consider buying the minimum amount to attain EPA Green Power Partnership status. (http://www.epa.gov/greenpower/join/purchase.htm)
            2. Green tag or other types of certified green power purchases should be evaluated carefully and justified by the campus committee prior to purchase.
         2. On-campus Sustainability Initiatives:
            1. Should be for direct demonstrable campus sustainability benefits.
            2. Proceeds should be allocated between sustainability initiatives with the primary focus on projects for energy efficiency and utility conservation.
            3. Should not be used for budgeted salaries, special events or operational expenditures not associated with the SCF Program.
            4. Shall comply with State law, State Building Commission/Tennessee Board of Regents Policy, Procedures and Guidelines where applicable, with regard to project approvals, use of designers and code compliance.
2. Categories
   1. Energy and Utilities (electric, gas, water, etc.)
   2. Local Generation (Renewables – solar, wind, etc.)
   3. Alternative Fuel (Hybrid vehicles, Bio-diesel projects, etc.)
   4. Other (Environmental, Recycling, etc.)
3. Types of Initiatives
   1. Projects
   2. Studies
   3. Research
      1. Projects should:
         1. Provide or demonstrate a specific energy or environmental benefit.
         2. Be technically and economically feasible.
         3. Be cost effective to operate and maintain.
         4. Be consistent with campus standards and master plan
      2. Studies should:
         1. Focus on implementing technologies or initiatives that are economically and technically feasible.
         2. Quantify energy or environmental benefit(s).
         3. Address feasibility, operability, and maintainability of the technology or initiative.
         4. Not duplicate prior, similar studies.
      3. Research should:
         1. Focus on identified sustainability categories.
         2. Have significant level of student participation/support.

1. B-062 - Support for Educational Assistance
   1. The Tennessee Board of Regents is committed to the need for the continued professional growth and development of employees. Support for educational assistance of personnel and their dependents is an important vehicle for addressing that need. The programs for TBR employees and dependents are available subject to funds being budgeted and available within the institution/System Office.
   2. The Office of Human Resources is responsible for the administration of the various programs with the exception of the program for dependents of veterans (B-062) and two programs offered to general state employees and the dependents of licensed teachers and State employees (B-061).
   3. Exceptions to the provisions of the programs for TBR employees can be made upon recommendation of the president and approval by the Chancellor.
2. Types of Support for Educational Assistance
   1. The guidelines for Educational Assistance (P-130, P-131, B-061, B-062) contain a total of eleven (11) programs.
   2. The programs are:
      1. P-130 – Educational Assistance for TBR Employees
         1. Faculty or Administrative/Professional Staff Grant-in-Aid Program
         2. Faculty or Administrative/Professional Staff Tuition or Maintenance Fee Reimbursement Program
         3. Employee Audit/Non-credit Program
         4. Clerical and Support Staff Maintenance Fee Payment Program
         5. Fee Waiver for TBR/UT System Employees Program (formerly PC-191)
      2. P-131 – Educational Assistance for Spouse and Dependents of TBR Employees
         1. Fee Discount for Spouse and/or Dependent Children Program
      3. B-061 – Educational Assistance for State Employees and Dependents of State Employees or Public School Teachers
         1. Fee Discount for Dependent Children of Licensed Public School Teachers or State Employees Program
         2. Public Higher Education Fee Waiver for State Employees Program
      4. B-062 – Other Educational Assistance Programs
         1. Veterans’ Dependents’ Post-Secondary Education Program
         2. Disabled and Elderly Persons
   3. Complete eligibility information is contained within each Guideline.
3. Taxation of Educational Assistance Programs
   1. Undergraduate and graduate course tuition, paid by the Tennessee Board of Regents institutions and the University of Tennessee System for their employees is eligible for exclusion from the employees' gross annual income, in accordance with Internal Revenue code (IRC) Section 127.
4. Veterans’ Dependents’ Post-Secondary Education Program
   1. Effective July 1, 2008, T.C.A. § 49-7-102 was amended to provide that: every dependent child in this state under the age of twenty-three (23) years, whose parent was killed, died as a direct result of injuries received, or has been officially reported as being either a prisoner of war or missing in action while serving honorably as a member of the United State armed forces during a qualifying period of armed conflict, or was formerly a prisoner of war or missing in action under such circumstances, or the spouse of such veteran, is entitled to a waiver of tuition, maintenance fees, student activity fees, required registration or matriculation fees, and shall be admitted without cost to any institutions of higher education owned, operated and maintained by the state.
      1. Therefore, this program is available to both TBR employees and persons outside of the Tennessee Board of Regents system.
      2. TBR employees qualifying as a spouse or dependent for benefits under this program shall use this program first and shall not be simultaneously eligible for benefits under other programs in this guideline.
      3. Exceptions: Grant-in-Aid and Desegregation Program recipients.
   2. Eligibility
      1. The office responsible for veteran’s affairs issues shall be responsible for determining eligibility and providing application forms to those wishing to obtain benefits under this program.
      2. To be eligible for educational assistance benefits under this program, a dependent child or spouse shall:
         1. Present official certification from the United States Department of Veterans Affairs that the parent or spouse veteran was killed or died as a direct result of injuries as stated above; or
         2. Present official certification from the U.S. Department of Defense that the parent or spouse service member has been officially reported as being a prisoner of war or missing in action while serving honorably during a qualifying period of armed conflict; or
         3. Present Certificate of Release of Discharge from Active Duty, Department of Defense Form 214, for the veteran or service member from whom the eligibility for the benefits derives.
      3. The deceased veteran, prisoner of war or missing in action service member shall have been a citizen of Tennessee at the time of the qualifying event.
      4. The dependent child or spouse, prior to receiving benefits under this program, shall have or possess the necessary qualifications required for admission. To maintain eligibility, the recipient shall be in active pursuit of a specific and declared degree or certificate program.
      5. No dependent child or spouse shall be entitled to receive benefits after the conclusion of any term during which the parent (father or mother) of the dependent child or spouse is officially removed from the status of being a prisoner of war or being a service member missing in action.
      6. Eligibility of a veteran’s spouse for benefits shall terminate ten (10) years after the death of the veteran; however, eligibility shall terminate immediately upon the spouse’s remarriage within this period.
         1. The spouse's eligibility shall extend to the end of the term in which the ten (10) year period expires.
         2. A spouse who has previously earned an undergraduate degree or certificate shall not be eligible for benefits.
         3. Otherwise, the spouse shall be eligible for benefits until one of the following occurs:
            1. Prior to the expiration of benefits, the spouse earns an undergraduate degree or certificate; or
            2. The spouse has accumulated one hundred thirty-five (135) semester hours excluding required remedial or developmental hours, or the equivalent; or
            3. The spouse has attempted one hundred fifty (150) semester hours, or the equivalent, inclusive of required remedial or developmental hours.
      7. A dependent child shall be matriculated as a full-time student at a state institution of higher education prior to attainment of age twenty-three (23). However, the age limitation of dependent children shall not be strictly applied. Once declared eligible, a dependent child shall remain eligible until one of the following has occurred:
         1. Prior to attaining age 23 the dependent earns an undergraduate degree or certificate; or
         2. The dependent has accumulated one hundred thirty-five (135) semester hours excluding required remedial or developmental hours, or the equivalent; or
         3. The dependent has attempted one hundred fifty (150) semester hours, or the equivalent, inclusive of required remedial or developmental hours.
      8. For purposes of this program, the following definitions are provided:
         1. “Dependent Child” means a natural or adopted child of a veteran or service member who is claimed as a dependent for income tax purposes.
         2. “Parent” means the parent of a natural or adopted child whom such parent claims as a dependent for federal income tax purposes.
         3. “Qualifying period of armed conflict” means any hostile military operation for which U.S. military campaign medals as listed in T.C.A. § 49-7-102 are authorized.
         4. “Service member” means a Tennessee resident who is engaged in active U.S. military service.
         5. “Served honorably” means the character of service condition as reported on Certificate of Release or Discharge from Active Duty (Department of Defense Form 214).
         6. “State institution(s) of higher education” means any post-secondary institution operated by the Board of Trustees of The University of Tennessee system or the Tennessee Board of Regents of the state university, community college and colleges of applied technology system that offers courses of instruction leading to a certificate or degree.
         7. “Veteran” means a Tennessee resident who has entered and served honorably in the U.S. armed forces.
   3. Fees Paid/Type Courses Paid/Number of Hours
      1. The participant is entitled to a waiver of tuition and/or maintenance fees, and/or student activity fees, and/or required registration or matriculation fees, and shall be admitted without cost to any TBR institution.
      2. A full-time student load (12 semester hours or equivalent) is required.
   4. Payback Provisions
      1. None
   5. When the Participant May Attend
      1. Students may apply for benefits during the next registration or enrollment period for the next complete term after July 1, 2000.
   6. Accounting/Budgeting 
      1. Any fees waived by statute that are calculated and credited to revenue for administration purposes should be written off against a contra revenue account.
      2. No expenditures should be charged to scholarships and fellowships.
   7. Where the Participant May Attend
      1. Any public institution of higher education in Tennessee
5. ​​Disabled and Elderly Persons Program
   1. In accordance with T.C.A. § 49-7-113 and TBR Guideline B-060, certain disabled and elderly students, as well as state service retirees, are able to enroll in courses free or at a reduced rate.
   2. Eligibility
      1. For audit courses, no fee is required for persons with a permanent, total disability; persons 60 years of age or older and domiciled in Tennessee; and persons who have retired from state service with 30 or more years of service, regardless of age.
      2. For credit courses, a reduced fee is charged to persons with a permanent, total disability, and persons who will become 65 years of age or older during the academic semester in which they begin classes and who are domiciled in Tennessee.
   3. Fees Paid/Type Courses Paid/Number of Hours
      1. A fee of $70 per semester or $60 per trimester may be assessed for credit courses. (This fee includes maintenance fees and all mandatory fees; it does not include any non-mandatory fees including, but not limited to, course-specific fees, materials fees, online course fees, application fees, parking fees, etc.)
      2. Disabled/elderly program students shall enroll in credit courses on a space-available basis.
      3. There is no limit on the number of courses that may be taken during a semester.
      4. The institution where the disabled/elderly program student is attending classes will provide forms for processing fees waived or assessed.
   4. Payback Provisions
      1. None
   5. When the Participant May Attend
      1. Employees participating in this program, in counsel with their immediate supervisors, should limit the number of courses so as to maintain an optimum level of job performance.
      2. Employees participating in this program should schedule courses at times other than during regularly scheduled work hours unless annual leave or flex time, based on the institution's needs, have been approved.
   6. Accounting/Budgeting
      1. Any fees set by statute are considered the fee rate for that group. The fees are not considered waived.
      2. No expenditures should be charged to scholarships and fellowships.
   7. Where the Participant May Attend
      1. Employees may enroll at any public Tennessee institution.

1. B-061 - Support for Educational Assistance
   1. The Tennessee Board of Regents is committed to the need for the continued professional growth and development of employees. Support for educational assistance of personnel and their dependents is an important vehicle for addressing that need. The programs for TBR employees and dependents are available subject to funds being budgeted and available within the institution/college of applied technology/System Office.
   2. The Office of Human Resources is responsible for the administration of the various programs with the exception of the program for dependents of veterans (B-062) and two programs offered to general state employees and the dependents of licensed teachers and State employees (B-061). These forms are available from the Tennessee Higher Education Commission at THEC Fee & Discount Waivers
   3. Exceptions to the provisions of the programs for TBR employees can be made upon recommendation of the president/director and approval by the Chancellor.
2. Types of Support for Educational Assistance
   1. The guidelines for Educational Assistance (P-130, P-131, B-061, B-062) contain a total of eleven (11) programs.
   2. The programs are:
      1. P-130 – Educational Assistance for TBR Employees
         1. Faculty or Administrative/Professional Staff Grant-in-Aid Program
         2. Faculty or Administrative/Professional Staff Tuition or Maintenance Fee Reimbursement Program
         3. Employee Audit/Non-credit Program
         4. Clerical and Support Staff Maintenance Fee Payment Program
         5. Fee Waiver for TBR/UT System Employees Program (formerly PC-191)
      2. P-131 – Educational Assistance for Spouse and Dependents of TBR Employees
         1. a. Fee Discount for Spouse and/or Dependent Children Program
      3. B-061 – Educational Assistance for State Employees and Dependents of State Employees or Public School Teachers
         1. Fee Discount for Dependent Children of Licensed Public School Teachers or State Employees Program
         2. Public Higher Education Fee Waiver for State Employees Program
      4. B-062 – Other Educational Assistance Programs
         1. Veterans’ Dependents’ Post-Secondary Education Program
         2. State Employees Age 65 or Above Program
   3. Complete eligibility information is contained within each Guideline.
3. Taxation of Educational Assistance Programs
   1. Undergraduate and graduate course tuition, up to $5250 per year, paid by the Tennessee Board of Regents institutions and the University of Tennessee System for their employees is eligible for exclusion from the employees' gross annual income, in accordance with Internal Revenue code (IRC) Section 127.
4. Public Higher Education Fee Waiver for State Employees Program - This fee waiver program is for general state employees exclusive of TBR and UT system employees.
   1. These rules implement the provisions of the T.C.A. § 8-50-114. The Code enables full-time employees of the State of Tennessee to be eligible for enrollment in one course consisting of no more than four (4) credit hours or one hundred twenty (120) clock hours per term at any State supported college or university or Tennessee College of Applied Technology without paying tuition charges, maintenance fees, mandatory fees, or RODP on-line course fees.
      1. Employees are responsible for all other fees, including, but not limited to special course fees, books and supplies, application fees, applied music fees, lab fees, off-campus facilities fees, parking fees and traffic fines.
   2. Pursuant to T.C.A. § 10-5-101 et seq., employees of the State’s regional library system became employees of the Department of State, effective July 1, 1999. As such, they became eligible to participate in the State’s educational assistance programs.
      1. In addition, effective September 8, 1999, the Tennessee Higher Education Commission determined that Human Resource Agency employees are not State employees as that term is defined in the Commission’s rules governing these programs and thus are not eligible for fee waivers.
   3. Course enrollment will be permitted on a "space available" first-come-first served basis.
      1. State employees may register no earlier than four (4) weeks prior to the first day of classes.
      2. No tuition paying student shall be denied enrollment in a course because of state employee enrollments pursuant to this section.
   4. State employees must receive credit for the course in which they are enrolled.
      1. In addition, changes may not be made from credit to audit during the course of the term.
      2. Other guidelines and procedures for administration of this program are available from the Tennessee Higher Education Commission at Fee Waiver & Discount Programs
5. Fee Discount for Dependents of Licensed Public School Teachers, Retired Teachers, or State Employees Program
   1. These rules implement the provisions of T.C.A. § 49-7-101 et seq. and § 8-50-101 et seq.
      1. The Codes enable children under the age of twenty-four (24) to receive a twenty-five percent (25%) discount on tuition at any state operated institution of higher learning if their parent:
         1. Is employed as a full-time licensed teacher in any public school in Tennessee or as a full-time employee of the state of Tennessee;
         2. Is a retired teacher - THEC Rule 1540-01-05-.01 defines a retired teacher as a certified teacher who retires after a minimum of thirty (30) years of full-time creditable service in Tennessee public schools or who receives disability retirement after a minimum of twenty-five (25) years of full-time creditable service in Tennessee public schools.
         3. Is a retired employee of the state of Tennessee who retired after a minimum of twenty-five (25) years of full-time creditable service;
         4. Was killed in the line of duty while a full-time employee of the state of Tennessee; or
         5. Died while a full-time employee, though not "in the line of duty"; or
         6. Died while employed as a public school teacher and the child is using the benefit at the time of the parent/teacher's death.
   2. Tuition includes undergraduate maintenance fees and college of applied technology program fees; it does not include any other fees, including, but not limited to, application for admission fees, student activity fees, debt service fees, lab fees, applied music fees, books and supplies, dormitory charges or meal plans.
   3. Other guidelines and procedures for administration of this program are available from the Tennessee Higher Education Commission at THEC Fee Waiver & Discount Programs   

1. Approvals Required
   1. Institution as Lessee and Lessor.
      1. All agreements involving or related to the lease of real property for a term of more than five (5) years or a consideration of more than $150,000 per year shall be approved by the Chancellor, including any amendment or cancelation (TBR Policy No. 1:03:02:10).
      2. Documents for all leases and lease amendments with consideration of more than $150,000 per year or a term longer than five (5) years shall be approved by the State Building Commission in accordance with T.C.A. § 12-2-115 and the Tennessee Higher Education Commission.
      3. Signatures required include:
         1. The Lessor (signature shall be acknowledged by a notary public).
         2. President of the Institution (signature shall be acknowledged by a notary public).
         3. Chancellor or designee.
            1. State Attorney General and Reporter in compliance with T.C.A. § 12-2-115.
            2. Commissioner of General Services if procured by STREAM.
            3. Governor (this signature is required for lease-outs). 
   2. Leases for more than $150,000 per year or for more than five (5) years.
      1. All proposed leasing actions for real property with consideration more than $150,000 per year or for a term of more than five (5) years shall be submitted to the State Building Commission and the Tennessee Higher Education Commission by the Office of Facilities Development, Tennessee Board of Regents for review and analysis prior to taking action by the institution.
      2. ​Leases approved during the annual budget review process will not require prior approval of the State Building Commission Executive Sub-Committee. (SBC Policy)
      3. ​After review and analysis, the State Building Commission and the Tennessee Higher Education Commission shall provide comments to the Tennessee Board of Regents. (SBC Policy)
   3. Leases for $150,000 or less per year and for five (5) years or less where the institution is the Lessee or Lessor, using one of the following approved forms: the Tennessee Board of Regents Standard Lease Agreement, Mutual Use Agreement, Transient Use Agreement, or Tenant Use Agreement, shall be approved by:
      1. President of the institution
      2. The Chancellor 
   4. Leases for which operating funds will be requested or for more than five (5) years.
      1. Any lease which is for a term longer than five (5) years or in which the total of the consideration, maintenance costs, utility costs and/or custodial costs are estimated to exceed $150,000 per year, and funding for same is requested through state appropriations, shall be approved by the Tennessee Higher Education Commission (THEC Policy).
2. Non-Discrimination
   1. Institutions engaging in a real estate transaction, including sale, rental or lease, shall not discriminate on the basis of race, color, creed, religion, sex or national origin. See T.C.A. § 4-21-601.
   2. No state employee or agent shall enter into a commercial agreement on behalf of the state with a club which denies to a person entry, use of facilities or membership or unreasonably prevents the full enjoyment of such club on the basis of sex, race, creed, color, religion, ancestry, national origin or disability. See T.C.A. § 4-21-803.
3. Recording of Leases
   1. Leases in which the institution is the Lessee which require State Building Commission approval shall be recorded by the Commissioner of General Services in the county or counties where the property is located (per T.C.A. § 12-2-105).
4. Advertising for Leased Space
   1. Where the institution is the lessee, advertising shall be required in all transactions involving new, succeeding, superseding leases or lease renewals except:
      1. Where the annual rent does not exceed $50,000 or where the term of the lease is one (1) year or less.
      2. Where property is owned by a governmental agency and leased to another governmental agency.
      3. Where a supplemental agreement is made to an existing lease for additional space at a negotiated price without modifying the original lease term (Reference T.C.A. § 12-2-114).
      4. Where the space required by the entity has special and unique requirements as determined by the Commission.
5. Special and Unique Space
   1. The space to be leased has characteristics, such as location, size, or quality which can only be satisfied by one landowner, as determined by a reasonable survey, and will have an annual rent of less than $50,000.
   2. The space to be leased will be let for less than 30 days; will have a total cost of $50,000 or less; and is for an auditorium, hearing room, conference or related space.
6. Forms and Documentation Required
   1. Submit to the Chancellor one (1) copy each of the following forms at the appropriate times described above. Copies of all forms are available from the Office of Facilities Development upon request.
      1. Space Action Request Form 
         1. One (1) copy required with initial submittal of request for leased space.
      2. State University and Community College System of Tennessee (Tennessee Board of Regents) standard Lease Agreement Form
         1. Minimum of three (3) copies required after approval has been given to enter into a lease agreement.
         2. Use the Tennessee Board of Regents standard Lease Agreement Form unless prior approval has been obtained to use any other form.
         3. There should be no changes or additions to the standard Lease Agreement Form without prior approval.
      3. Statement of Financial Interest for Leased Property
         1. For all leases subject to the State Building Commission approval, when the institution is the Lessee, the Lessor shall identify persons with a financial interest in the leased property on the Statement of Financial Interest for Leased Property when submitting the lease agreement.
      4. Conflict of Interest
         1. No individual, company, or other entity involved in the evaluation or negotiation of proposals should have a financial interest or have the appearance of a conflict of interest unless disclosed and addressed in accordance with SBC Policy, Item 12.
         2. A written conflict of interest disclosure documenting the independence of each person involved must be completed and retained as part of the procurement file. 
      5. Space Action Request, Office Space Requirements Analysis, Finance and Administration Form RSM-1A
         1. Document space needs on this form, adapting as necessary to include classroom and class laboratory space needs and submit with initial submittal of request for leased space.
      6. Supplemental Data Questionnaire, Finance and Administration Form RSM-1B
         1. Document space needs on this form and submit with initial submittal of request for leased space.
      7. Certification of Funds Available
         1. For all leases subject to State Building Commission approval, a letter signed by the President of the institution or the Chancellor certifying that funds are available must accompany the lease proposal.
         2. Institution Certification of Funds shall be acknowledged and certified by Vice Chancellor for Business and Finance.
      8. Summary of Analysis of Lease Proposals Received
         1. If advertising and receipt of lease proposals is performed by the institution, a summary of analysis of lease proposals must accompany the lease proposals including cost analysis.
      9. Enrollment Projections and Program Documentation
         1. Provide historical enrollments and enrollment projections and documentation of programs to be offered at the site of the proposed leased facility shall accompany the lease proposal as justification for the need to lease space.
7. State Statutes on State Leases & Disposals of Real Property
   1. The following State Statutes on State leases and disposals of real property are referenced for your information. Copies are available from the Office of Facilities upon request.
      1. T.C.A. § 4-15-102 - State Building Commission - Powers and Duties
      2. T.C.A. § 12-2-112 - Disposal of Surplus Interests in Real Property and Energy Resources
      3. T.C.A. § 12-2-114 - State Leases - Procedure
      4. T.C.A. § 12-2-115 - Approval of Lease Instrument where State is Lessee or Lessor
      5. T.C.A. § 49-8-111 - Powers Regarding Property
8. Lease Policies of the State Building Commission
   1. Item 7, Leases of Real Property as published in By-Laws, Policy and Procedure of the State Building Commission of Tennessee, compiled February 2014 is referenced for your information. Copies are available from the Office of Facilities upon request. 

1. Introduction
   1. This guideline establishes procedures for the acquisition and disposal of real property in fee interest.
      1. Authorization
         1. Only the Chancellor and Board have the authority, whether by gift or purchase, to acquire and dispose of real property.
      2. Title of Property Acquired
         1. Property that is acquired shall be titled in the name of the Tennessee Board of Regents and for the State University and Community College System of Tennessee for the use and benefit of the institution.
      3. Master Plan
         1. Property that is proposed for acquisition or disposal must be identified in an approved Facilities Master Plan for subject institution prior to taking any action.
         2. The acquisition of gift property does not apply to this condition.
      4. State Building Commission
         1. With the exception in 4c below of gifts of real property, the acquisition and disposal of any interest in real property in fee interest shall be subject to the approval of the State Building Commission Executive Sub-Committee and shall be done in accordance with procedures established by the State Building Commission (Reference T.C.A. §§ 4-15-102, 12-2-112 and 49-8-111).
         2. The following completed documents (five copies each) shall be submitted to the Chancellor to obtain approval to acquire or dispose of real property:
            1. Form RPM 1 Recorded Deed to Property Land Acquisition Questionnaire; or
            2. Land Disposal Questionnaire;
            3. As applicable Survey of property;
            4. If needed, Tax Assessors Map Facilities Evaluation Survey; and, if applicable,
            5. Environmental Identification
         3. Only the Chancellor and Board may accept gifts of real property and may dispose of real property acquired by gift or devise; however, acquisition of any interest in real property by gift or devise that obligates the institution, Tennessee Board of Regents or state of Tennessee to expend state of Tennessee funds for capital improvements or continuing operating expenditures shall be approved by the State Building Commission Executive Sub-committee in accordance with T.C.A. § 4-15- 102(d)(2) prior to acceptance by the Chancellor and Board (see TBR Policy No. 4:01:04:00).
         4. No deed transferring title of property to the Tennessee Board of Regents shall be recorded without the written approval of the Chancellor and in the instance of 4.c. above, State Building Commission approval shall be confirmed by the Chancellor prior to recording the Deed.]
      5. Inspection
         1. Facilities Evaluation
            1. If property to be acquired includes any structures, a facilities evaluation survey shall be conducted of each building.
            2. All required renovations and/or alterations to make the facility(ies) functionally usable in accordance with all applicable codes and current standards of use shall be evaluated with estimated cost to complete and source of funds identified prior to any action to acquire.
         2. Environmental Identification
            1. Prior to any action to acquire real property, the property and all structures, if any, shall be inspected and tested for the identification of any contaminants, including asbestos, PCBs, underground storage tanks, hazardous wastes and other environmental concerns.
            2. If any contaminants are identified, a plan for their disposal or neutralization shall be included with the request to acquire subject property, including estimated costs and identification of responsibility for abatement.
      6. Relocation Assistance
         1. Persons, businesses, farms and non-profit organizations relocated by State real property acquisition projects are eligible for relocation assistance in accordance with the provisions of T.C.A. § 13-11-101 et seq., and the Federal Uniform Relocation Assistance and Land Acquisition Policies Act of 1970, as administered by the Department of Finance and Administration.
      7. Proceeds from Sale of Real Property
         1. The receipts from the sale or conveyance of real property shall be deposited in the capital outlay fund of the selling institution in accordance with TCA 49-8-111.
         2. However, if the receipts are the result of a devise or gift which designated the purpose of the gift for a particular use, any funds from a sale or conveyance of the property may be transferred from the capital outlay fund of the selling institution to the appropriate account in order to effectuate the donor's intent.