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Office of General Counsel Policies & Guidelines

Policy Number: 
5:02:01:10
Topics Outline: 
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The purpose of this policy is to establish the criteria and process regarding faculty emeritus at institutions governed by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Faculty Emeritus
    1. Faculty having served an institution governed by the Tennessee Board of Regents for a sufficient length of time to be eligible for state retirement benefits shall be eligible for emeritus faculty status upon retirement from the institution.
      1. Emeritus faculty status is an honor bestowed for distinguished institutional services.
      2. Designation as emeritus faculty shall be at presidential discretion.
    2. Emeritus faculty shall be entitled to such privileges and benefits, other than monetary compensation, as their institution designates insofar as such privileges and benefits are within the limits of the institution's discretionary authority.
      1. Such privileges and benefits may include an identification card designating the holder as emeritus faculty and entitling the holder access to certain institution facilities and services commonly available to faculty.
      2. The privileges and benefits carry with them the same responsibilities as for regular faculty.
Sources: 

TBR Meeting, March 4, 1977

Contact: 
Policy Number: 
5:02:01:08
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs
Purpose: 

The Tennessee Board of Regents recognizes the need for the continued growth and development of all faculty at colleges of applied technology. The primary objectives toward which that growth and development should be directed are (1) enhancement of skill development, (2) providing technical information, and (3) increasing instructional or teaching ability. While all faculty are responsible for their own continued professional development, it is essential that the System and the colleges provide planned, organized faculty development programs which assist the colleges in fulfilling their mission and the individual faculty in achieving professional advancement (as specified in Board Policy 5:02:02:10, "Faculty Rank and Promotion at Tennessee Colleges of Applied Technology").

Pursuant to the foregoing considerations, the Board hereby sets forth the following minimum guidelines concerning faculty development.

Policy/Guideline: 
  1. Faculty Development at Colleges of Applied Technology
    1. Each college shall plan and implement on an annual basis a structured, coordinated program for faculty development. The program shall address in a balanced approach each of the three primary objectives, and the program plan shall be presented by the director in the annual budget submission. The program should encompass an appropriate variety of activities which may include the following:
      1. Systematic evaluation of instruction by students, faculty, and appropriate administrators to provide bases for planning means of increasing the effectiveness of instructional programs.
      2. Financial support for faculty participation in workshops, demonstrations, short courses, and seminars designed to enhance skill development and provide technical information.
      3. Financial support for maintenance fees to support course work, on an audit basis, in appropriate programs at universities, community colleges, or technical institutes.
      4. Financial support for a partial grant-in-aid which may provide reimbursement for credit course fees when the faculty member demonstrates, and the director concurs, that the coursework is directly supportive of the three primary objectives for faculty development.
      5. Development of effective faculty exchange programs between the college and industry, or the occupation being taught.
      6. Encouragement of innovation and improvement of instruction by recognition system (e.g., outstanding teacher awards).
      7. Sponsorship of appropriate workshops or related activities that enhance instructional effectiveness.
    2. The budget for each college of applied technology will reflect the amount of funds allocated for faculty development.
    3. The office of the Chancellor will also maintain a System-level program for faculty development to supplement and enhance programs of the individual colleges. The senior vocational-technical administrator on the Board staff will plan this program in cooperation with the College of Applied Technology Sub-Council.
Sources: 

TBR Meeting, September 30, 1983

Contact: 
Policy Number: 
5:02:01:05
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
Community Colleges, Universities
Purpose: 

The Tennessee Board of Regents recognizes the need for the continued professional growth and development of all faculty at institutions in the Tennessee Board of Regents System. The continued professional growth and development of faculty is necessary for institutions of higher education to continue to provide educational programs which: (a) include new developments and knowledge in academic disciplines; (b) reflect new instructional, research, and public service techniques and strategies; and (c) meet changing needs and expectations of students. While all faculty are responsible for their own continued professional development, it is essential that the System and its institutions provide planned, organized faculty development programs to encourage professional growth in accordance with their missions and goals. Pursuant to the foregoing considerations, the Board hereby sets forth the following minimum guidelines concerning faculty development.

Policy/Guideline: 
  1. Faculty Development
    1. Each institution shall plan and implement on an annual basis a structured, coordinated program for faculty development. The program will be designed to achieve predetermined institutional objectives, and will utilize an appropriate variety of activities which may include the following:
      1. Systematic evaluation of instruction by students, faculty and appropriate administrators to provide bases for planning means of increasing the effectiveness of the instructional program.
      2. Encouragement of innovation and improvement of instruction by a recognition system, i.e., outstanding professor awards.
      3. Effective use of grants-in-aid and scholarships pursuant to Board Guideline P-130.
      4. Provision of financial support through grant awards and other means for research or the improvement of instruction, for faculty participation in workshops, short courses and seminars designed to develop new skills in instruction, research and public service, and for faculty participation in major activities of their respective professional associations.
      5. Sponsorships of local forums, lectures, and workshops on scholarly developments and activities.
    2. Institutional budgets will reflect the amount of funds allocated for faculty development at the institution.
    3. The office of the Chancellor will also maintain a System level program for faculty development to supplement and enhance the faculty development programs of the individual institutions.
    4. The calendars and activities of System level programs will be planned in cooperation with the President's Council and appropriate Sub-Councils.
Sources: 

TBR Meetings, June 24, 1977; December 11, 1981

Contact: 
Policy Number: 
5:02:01:03
Topics Outline: 
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The Tennessee Board of Regents recognizes that the ability to communicate effectively is an essential skill necessary for all academic personnel to perform successfully in Board of Regents Institutions. Therefore, pursuant to Senate Joint Resolution 211 adopted by the 1984 General Assembly and to the accreditation standards of the Southern Association of Colleges and Schools (4.4.1), all TBR institutions shall ensure that all faculty at Board of Regents institutions are proficient in oral and written English. The Board hereby sets forth the following minimum guidelines for evaluating candidates.

Policy/Guideline: 
  1. English Competency
    1. By January 1, 1985, each institution shall develop written procedures for review and evaluation of English language competency of candidates for appointment to or tenure in a teaching position.
    2. The Board hereby sets forth the following minimum guidelines for evaluating faculty. At a minimum candidates shall demonstrate:
      1. An ability to speak and write English clearly;
      2. An ability to understand written and spoken English; and
      3. An ability to communicate effectively in an academic environment (for example, previous successful employment in an academic institution).
    3. No individual shall be appointed to a teaching position or recommended for tenure in such a position on any campus or other institutional unit of an institution unless the chief academic officer or college of applied technology director certifies in writing to the president or other chief administrator that such individual can communicate effectively with students in the English language.
    4. The foregoing criteria are to be used strictly as a measure of a candidate's ability to communicate effectively as an instructor and shall not be utilized to arbitrarily disqualify applicants of certain nationalities.
    5. Each institution shall establish procedures for providing assistance and improving the written and spoken English competency of currently employed teaching personnel who are identified as needing such assistance.
Sources: 

TBR Meeting, December 14, 1984; September 23, 1994

Contact: 
Policy Number: 
5:02:01:00
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The purpose of this statement is to provide a definition of the term "faculty" for Tennessee Board of Regents policies which do not otherwise define that term, and to relate faculty status and academic rank. Campuses may further develop this definition as needed for decisions on matters not covered by nor in conflict with Board policies, such as faculty meeting attendance, voting on recommendations of campus policies and procedures, and representation on campus committees.

Definitions: 

Definitions are contained in the body of the policy.

Policy/Guideline: 
  1. Faculty Definitions
    1. The term "faculty" shall be limited to regular, full-time personnel at institutions whose regular assignments include instruction, research, and/or public service as a principle activity, and who hold academic rank as professor, associate professor, assistant professor or instructor, senior instructor, or master instructor, and as senior vocational teacher, intermediate vocational teacher, vocational teacher. Institutions may limit, but may not expand the scope of the definition of faculty for the purposes of this policy.
      1. The term "regular, full-time personnel" as used in the definition of "faculty" is limited to those persons whose appointments are for a complete academic or fiscal year.
      2. The term "principal activity" as used in the above definition shall mean that the person's regular assignment in the areas of instruction, research and/or public service must be at least fifty percent (50%) of the total assigned duties.
      3. The terms "instruction," "research," and "public service" shall be limited to those academic activities properly assignable to the institution's current funds expenditures accounts designated as "Instruction," "Research," "Public Service," and "Academic Support." The terms exclude those activities properly assigned to accounts for "Student Services" (with the exception of remedial instruction which, at the discretion of the institution, may be treated as regular "instruction"), "Institutional Support," "Operation and Maintenance of Plan," etc.*
      4. The term "faculty" shall not, for the purposes of this statement include members of an institution's instructional personnel defined as "adjunct faculty," part-time teachers, post-doctoral fellows, visiting lecturers, and graduate assistants. "Adjunct faculty" is defined as professional staff members of businesses, industries and other agencies and organizations who are appointed by institutions on a part-time basis to carry out instructional, research or public service functions.
    2. If not otherwise included within the above definition of "faculty," the term "faculty" may include, provided they hold academic rank, academic department or division chairpersons or directors, academic deans, academic vice presidents, presidents, and directors, who have direct line authority over faculty as herein above described, and associates or assistants for the above positions. In addition, the term "faculty" may include persons previously designated as members of the faculty who are assigned to other positions at the institution.
    3. Academic rank is an element of faculty status, and shall be limited to "faculty within the above definition. Academic rank may only be assigned to faculty who meet the minimum rank criteria under Board Policy No. 5:02:02:20, 5:02:02:30, and 5:02:02:10, and those policies shall control any promotion in rank.
    4. Exceptions to this policy can be made upon recommendation by a president or director of an institution and approval by the Chancellor.

*Reference: College and University Business Administration, Chapters 5:2 and 5:6 (NACUBO, 1974) 

Sources: 

TBR Meetings, March 3, 1978; September 30, 1983; Board Meeting June 20, 2014.

Contact: 
Policy Number: 
5:01:07:00
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The purpose of this policy is to set forth the following general provisions to cover the circumstances and processes for the employment of law enforcement and security personnel by institutions governed by the Tennessee Board of Regents.

Definitions: 

As used in this policy the following terms shall mean:

  • Campus police officer - means a person commissioned by an employing institution and rendered an oath to provide police services, enforce law, exercise arrest authority, and carry firearms; and thus is subject to the provisions of the Tennessee peace officer standards and training commission.
  • Public safety officer - means a person who, in addition to being a commissioned, campus police officer under the provisions of Paragraph I.A., performs other significant duties such as a certified firefighter, a medical first responder, and/or other tasks associated with homeland security, based on the needs of a particular institution.
  • Campus security officer - means a person employed by an institution to provide non-police, security-related services and as such is not commissioned to exercise arrest authority nor carry firearms without additional provision of law, nor is subject to the provisions of the Tennessee peace officer standards and training commission.
  • Law enforcement agency - means an institution employing one (1) or more campus police officers and/or public safety officers.
Policy/Guideline: 
  1. Employment and Commissioning of Campus Law Enforcement Personnel (Campus Police Officers and Public Safety Officers)
    1. The presidents and directors of TBR institutions are authorized to employ and commission campus police officers and public safety officers who shall have all the police powers necessary to enforce all state laws as well as rules and regulations of the Board of Regents and the employing institution.
      1. Campus police officers and public safety officers being so commissioned may exercise their authority on all property or facilities owned, leased or operated by the Board or the employing institution, as prescribed by Tennessee law, including any public roads or rights of way which are contiguous to or within the perimeter of the facilities or property of a particular institution.
    2. All campus police officers and public safety officers employed under this policy shall meet the minimum certification requirements set by the Tennessee Peace Officers Standards and Training Commission (T.C.A. § 38-8-101 et seq.).
      1. The Chancellor is authorized to establish other minimum qualifications that are not in conflict with those established by the Commission or by Tennessee law.
      2. It shall be the duty of each president or director to ensure that the commissioned officers meet the necessary standards.
  2. Employment of Campus Security Personnel (Campus Security Officers)
    1. The presidents and directors of TBR institutions are authorized to employ campus security officers who shall provide non-police, security-related services and as such are not commissioned to exercise arrest authority nor carry firearms.
    2. Campus security officers shall not be subject to the Tennessee Peace Officer Standards and Training Commission.
    3. Campus security officers may execute their security related duties on all property or facilities owned, leased or operated by the Board or the employing institution.
  3. Mutual Assistance Agreements - Authority of Campus Law Enforcement Personnel
    1. The campus police officers and public safety officers employed by the law enforcement agency of one Tennessee Board of Regents institutions may exercise their authority on property or facilities owned, leased, or operated by another Tennessee Board of Regents institution only in accordance with Tennessee Board of Regents policies where there is an agreement between the presidents or directors of the institutions involved.
    2. A law enforcement agency may enter into written mutual assistance agreements with other law enforcement agencies, including a county sheriff's department, municipal police department, judicial district drug task force, Tennessee Bureau of Investigation or Tennessee Highway Patrol, as are necessary to preserve and protect the property, students and employees of the institution employing the officers and to otherwise perform their duties.
      1. Such agreements may provide for the exchange of law enforcement officers when required for a particular purpose or for mutual assistance to effectuate arrests, execute search warrants and perform other law enforcement functions when the law enforcement agency finds it necessary to act outside of their statutory jurisdiction.
      2. Notwithstanding any mutual assistance agreement or an absence thereof, a campus law enforcement agency must comply with any state or federal law providing that a particular law enforcement agency must lead the investigation of specified criminal acts. 
Sources: 

TBR Meeting, June 26, 1987; December 3, 2004

Contact: 
Policy Number: 
5:01:06:00
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

It is the policy of the Tennessee Board of Regents to: (1) encourage inventions and the production of copyrightable works by members of the TBR component Institutional communities; (2) facilitate the utilization of such inventions and works to the benefit of the public, the Institution, and the members of the Institutional community; and (3) provide for the equitable sharing of any proceeds derived from the commercial exploitation of inventions and copyrightable works in which, pursuant to this policy, the Institution is determined to have an interest.

This policy is intended to protect the interests of all concerned parties: the TBR and its constituent Institutions, members of the Institutional community, external sponsors of research, and the public.

Definitions: 
  • Author - means the person or persons responsible for creation of a copyrightable work.
  • Gross Income - means proceeds from the sale, lease, or licensing of intellectual property by a TBR Institution; dividends derived from equity received in consideration for the sale, lease, or licensing of intellectual property by a TBR Institution; or proceeds from the sale of equity received in consideration for the sale, lease, or licensing of intellectual property by a TBR Institution.
  • Intellectual Property - means inventions and works.
  • Invention - means any discovery, invention, new use or application, process, composition of matter, article of manufacture, know-how, design, model, technological development, or biological material.
  • Inventor - means the person or persons responsible for conception of an idea or ideas leading to an invention.
  • Net Income - is gross income minus the direct costs associated with patent prosecution, copyright registration, commercialization, defense, maintenance, and administration of intellectual property.
  • Scholarly works - include, but are not limited to, articles written for publication in academic journals, textbooks, works of art, musical compositions, and literary works. Theses and dissertations are not, for the purposes of this policy, scholarly works. Works by non-faculty employees shall not, for the purposes of this policy, be considered scholarly works.
  • Scope of employment - refers to activities which have been assigned to an employee by his or her supervisor or which are performed during normal working hours or which fall within the employee’s job description.
  • Significant use - means utilization of Institution funds, personnel, facilities, equipment, materials or other resources resulting in a cost to the Institution (direct, indirect, or depreciative) of more than $2,500 (in constant 2001 dollars).
  • Work - means any copyrightable material, such as literary works; musical works, including any accompanying words; dramatic works, including any accompanying music; pantomimes and choreographic works; pictorial, graphic, and sculptural works; motion pictures and other audiovisual works; sound recordings; architectural works; computer software or databases; circuit diagrams; architectural and engineering drawings; and lectures.
Policy/Guideline: 
  1. Authorization
    1. Institutions of the Tennessee Board of Regents are authorized to seek and hold patents and copyrights, to assign their rights in intellectual property, and to execute agreements concerning royalty distribution.
    2. TBR Universities shall develop additional Institution-specific policies and rules relating to intellectual property not inconsistent with this or other policies of the Tennessee Board of Regents.
  2. Applicability
    1. This policy shall apply to all persons employed (either as full-time, part-time or temporary employees) by the Tennessee Board of Regents and its constituent Institutions, to students enrolled at TBR Institutions, and to other persons using Institution facilities and resources.
    2. Contracts for works for hire between TBR Institutions and independent contractors should define the respective rights and responsibilities of the parties with respect to ownership of any intellectual property developed as a result of the contract.
  3. Ownership of Intellectual Property
    1. Intellectual property developed by persons to whom this policy applies shall be the sole and exclusive property of the TBR Institution with which the person is associated if the subject intellectual property is;
      1. Developed within the person’s scope of employment with the Institution;
      2. Developed in the course of a project sponsored by the Institution;
      3. Developed with the significant use of the Institution's facilities, services, or equipment (personal office space, libraries and the inventor or author’s personal computer provided by the Institution excluded); or
      4. Developed in the course of a project arranged, administered or controlled by the Institution and sponsored by persons, agencies or organizations external to the Institution, absent prior written agreement to the contrary.
        1. With respect to students, use of resources or facilities typically available to students in their educational activities shall not be considered "significant".
    2. Prior to an Institution providing support (for example, release time or Institutional funding) to a person to whom this policy applies, where that support could reasonably be expected to result in an invention or creation of a copyrightable work with commercial value, the Institution and the person or persons receiving that support shall agree in writing whether any intellectual property potentially arising from the supported activities would qualify as a scholarly work.
    3. Intellectual property developed outside an employee’s scope of employment, on the employee’s own time and without the use of significant Institutional resources shall be the sole and exclusive property of the Inventor or Author.
      1. In consideration of Institutional support in evaluating the intellectual property, seeking patent protection and / or pursuing commercialization activities, the Institution and the Inventor or Author may agree to assign all or a portion of the ownership rights to his or her invention or work to the Institution.
    4. The Institution shall not assert ownership of "scholarly" works, regardless of whether the circumstances surrounding creation of the work satisfy one or more of the four tests outlined in this section for determining Institutional ownership.
      1. Disclosure of "scholarly" works is nonetheless required, subject to the condition that only those copyrightable works which could reasonably be expected to have commercial value must be disclosed.
    5. Nothing in this policy shall preclude a mutually agreed upon contract between the Institution and persons to whom this policy applies wherein either party may agree to waive their rights under this policy.
  4. Administrative Responsibilities
    1. Inventors and Authors
      1. Persons to whom this policy applies are responsible for disclosing to the TBR Institution his or her invention or production of a copyrightable work which could reasonably be expected to have commercial value.
      2. Disclosure shall be made to the President of the Institution, or to such person as the President may designate, using an Invention Disclosure Form (see Exhibit 1) or Copyrightable Work Disclosure Form (see Exhibit 2).
      3. The Inventor or Author shall fully cooperate with other TBR personnel in the disclosure process and in other subsequent activities associated with patenting and/or commercialization of the invention or work.
      4. In the event that two or more persons are entitled to claim ownership of the intellectual property, the Inventors or Authors shall reach agreement between or among themselves regarding relative contributions for the purposes of distribution of net income from the Invention or Work.
        1. That agreement should be in writing and be notarized.
        2. The agreement will be required prior to the President’s initial decision regarding whether to pursue patent protection or commercialization of the intellectual property.
      5. Inventors should particularly note that certain acts (for example, enabling disclosure of the Invention in an academic journal) can constitute a statutory bar to patent protection. An Inventor contemplating public disclosure activities prior to filing an Invention Disclosure Form should contact the TBR Office of the General Counsel prior to engaging in those disclosure activities.
    2. Intellectual Property Advisory Committee
      1. Each TBR University shall form an Intellectual Property Advisory Committee of faculty, staff, and other persons experienced in intellectual property matters.
      2. TBR Community Colleges may form such a Committee, at the discretion of the Community College President.
      3. The Disclosure Form shall be forwarded to the Committee for an evaluation of the ownership, patentability and/or commercial potential of the invention or work.
        1. The Committee shall conduct an interview with the Inventor or Author and other persons as needed to make this evaluation.
        2. A patentability evaluation shall in particular include a thorough evaluation of acts by the Inventor or items of prior art which would bar patent protection.
      4. The Committee shall provide the President of the University or Community College with its recommendations as to ownership of the intellectual property, whether patent protection should be sought, and whether to seek commercialization opportunities.
      5. The Committee shall conduct investigations as it deems necessary in the preparation of its recommendations to the President.
      6. The Committee is authorized to seek outside assistance in preparing its recommendations. Any compensated assistance obtained from private legal counsel must be approved in advance by the Attorney General of the State of Tennessee.
      7. The Committee shall also generally advise the President in all matters relating to this Policy.
      8. For those inventions or works in which the TBR Institution is deemed to have an ownership interest, following a decision by the Institution President (or the President’s designee) to seek patent protection, copyright registration, and/or commercialization of the intellectual property, the Committee will arrange to have those activities undertaken.
      9. All direct costs associated with those activities shall be borne by the Institution involved.
    3. TBR Office of the General Counsel
      1. The TBR Office of the General Counsel is available to support the TBR Institutions, and specifically the Intellectual Property Advisory Committees, in evaluating the inventor-ship, ownership, and patentability of inventions disclosed to the Institution.
      2. To the extent that appropriate resources exist, the OGC shall be available to support prosecution of patent applications.
      3. The Office of the General Counsel is further available to the Institutions to support the drafting of licensing agreements.
      4. The Office of the General Counsel shall receive and evaluate disclosures originating at TBR Institutions without Advisory Committees.
    4. Institution President
      1. The Institution President is responsible for decisions regarding ownership of the intellectual property and for the decision of whether to pursue patent protection or commercialization of the Invention or Work.
      2. These decisions are to be based on the recommendations of the Intellectual Property Advisory Committee, as well as additional counsel the President may choose to seek from other sources.
      3. The President will inform the Inventor or Author of his or her decisions through the Advisory Committee.
      4. The President is authorized to make decisions regarding royalty distribution which deviate from the royalty distribution rules adopted by the University, subject to the provisions of Section 8 of this Policy.
      5. If the Institution decides neither to seek patent protection for nor to pursue commercialization of the intellectual property, and the Institution has an ownership interest in the intellectual property, the President may decide to assign the Institution’s ownership interest to the Inventor or Author.
      6. For inventions made in the course of a project funded in whole or in part by the Federal Government, the Bayh-Dole Act (37 CFR 401) imposes certain reporting requirements associated with the technology transfer process.
        1. The President shall designate the party responsible for ensuring that those reporting requirements are satisfied.
      7. Subject to other TBR Policies, the President shall have the responsibility for approving any and all agreements associated with commercialization of the intellectual property.
      8. The President is authorized to delegate any or all of these responsibilities, subject to the approval of the Chancellor of the Tennessee Board of Regents.
  5. Appeals
    1. The Inventor or Author may appeal decisions of the President or those of his or her designee.
    2. If the Inventor or Author disagrees with an initial decision, he or she may request a re-evaluation by the President.
    3. The President is not authorized to delegate responsibilities relative to appeals. The request must be received within thirty calendar days of notification to the Inventor or Author of the initial decision.
    4. The Inventor or Author may submit documents or other evidence in support of his or her position.
    5. A second and final decision by the President relating to ownership or royalty distribution may be appealed to the Chancellor of the Tennessee Board of Regents.
    6. Decisions of the TBR Chancellor shall be binding.
  6. Income from Intellectual Property
    1. Income derived from the commercialization of intellectual property in which the University has an interest shall be first applied toward any direct expenses incurred by the Institution in seeking patent protection or copyright registration or in pursuing commercialization of the intellectual property.
    2. The portion of the net income the Institution retains from royalties and any other intellectual property-related income shall be deposited in a restricted account, and used by the Institution where the income-producing creation originated for the enhancement of research and instructional programs.
      1. The funds may be used for other purposes if specifically approved by the Chancellor of the Tennessee Board of Regents System.
    3. Each TBR University shall adopt rules regarding income distribution between the University and Inventors or Authors. In no case shall the Inventor’s or Author’s share be less than 40 percent of the annual net income from the intellectual property.
    4. TBR Institutions are authorized, subject to the approval of the Chancellor of the Tennessee Board of Regents System, to accept equity in lieu of cash in total or partial consideration for use of the Institution’s intellectual property rights.
      1. Dividend income and income received from the sale of equity shall be divided in accordance with the distribution rules adopted by the University.
Sources: 

TBR Meeting, September 24, 1982; TBR Meeting, September 21, 1990, TBR Meeting, June 21, 2001.

Contact: 
Policy Number: 
5:01:05:00
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this policy is to set forth the following general provisions to cover the circumstances and limitations under which outside employment and/or extra compensation may be appropriate.

Policy/Guideline: 
  1. Introduction
    1. Full-time employment with the Tennessee Board of Regents demands an individual’s full-time professional expertise, commitment, and energies, and the assigned teaching load of a TBR faculty member constitutes a full-time assignment.
    2. However, the Tennessee Board of Regents recognized the value to its students, its personnel, its 46 member institutions, and to the citizens of Tennessee arising from outside consulting and other professional experiences in which members of the faculty and staff may engage. Such activities contribute to the economic development of the state, and bring credit to the institution. These activities also create valuable links between the institutions and their communities.
    3. The Board also recognizes that, under certain conditions, employees may be requested to perform additional assignments for which extra compensation may be warranted.
    4. As defined herein, this policy does not apply:
      1. To personnel classified as nonexempt wage and hour employees;
      2. To normal, short term professional activities such as participation in symposia, accreditation visits, speaking engagements, exhibitions, or recitals, even though honoraria may be received for such participation;
      3. When the individual is not within the term of his or her contract period, or is on leave;
      4. To salaries paid to academic-year for teaching in inter-session and summer session, which are not considered extra compensation and are addressed in Policy 5:02:04:10.
  2. Provisions
    1. Prior to engaging in outside employment, the faculty or staff member shall notify appropriate supervisors and the president or director, or his or her designee, of the nature of the employment and the expected commitment of time.
    2. Prior to accepting an extra assignment, the faculty or staff member shall have the approval of the institution’s president/director or designee.
    3. The President/Director or designee may approve outside service and extra service only for efforts that:
      1. Are performed entirely outside of, and in addition to, normal working assignments and responsibilities;
      2. Do not interfere with assigned duties and responsibilities or with regular institutional operations;
      3. Are consistent with Tennessee Board of Regents policies and guidelines and with state law.
        1. T.C.A. § 49-5-410 limits full-time faculty members to teaching no more than two credit courses per semester for extra pay in an institution of higher education.
        2. T.C.A. § 49-5-410 also limits faculty to 15 clock hours per week, or 400 clock hours per nine-month period, for extra pay.
      4. Do not constitute a conflict of interest or compete with the institution’s education, research, or public service programs;
      5. Require only a reasonable time commitment from the employee; and
      6. Are not undertaken with an inappropriate claim that the individual is officially representing the institution in connection with the employment.
    4. If the employment involves other agencies, departments, or institutions of State government, it is subject to prior approval of the President, Director, or appropriate representative of the other agency, department, or institution. Services rendered by a TBR employee to another state agency or institution of higher education will be paid by the contracting agency to the institution pursuant to TBR Guideline G-030.
    5. Each institution shall develop policies and procedures relating to outside service and extra service that are consistent with Tennessee Board of Regents policy. Institutions may develop policies that are more restrictive than the TBR policies, but must be applied consistently for all fulltime faculty members within that institution. All policies regarding outside employment, overloads, and extra compensation must be approved by the Tennessee Board of Regents.
    6. Faculty acceptance of overload assignments, for instruction or other purposes, is strictly voluntary.
      1. Overload assignments should be employed only when situations arise which warrant such action.
      2. Overload assignments should not be employed on a regular basis or in lieu of hiring qualified faculty or instructors.
      3. Supervisors must be careful to protect untenured faculty when making overload assignments and should make every effort to distribute overloads fairly as staffing needs allow.
  3.  Rates
    1. The minimum rates per credit hour of instruction, as articulated in TBR Guideline P-055 must be applied when calculating compensation for extra service for full-time faculty or staff teaching credit courses at community colleges or universities.
      1. Compensation for extra service must be commensurate with the instructor’s highest degree, rank, and experience, within their academic unit at their institution.
      2. With the approval of the Chancellor, Presidents or their designees may approve exceptions to these minimum rates when circumstances warrant.
      3. Presidents or their designees may approve rates that are greater than those stated in TBR Guideline P-055 as long as the rates are applied consistently for similar faculty (degree, rank and experience) within the same academic unit.
    2. The minimum rates per clock hour of instruction, as articulated in TBR Guideline P-050 must be applied when calculating compensation for extra service for full-time faculty or staff teaching at colleges of applied technology.
      1. Compensation for extra service must be commensurate with the individual’s highest degree, rank, and experience, within their academic unit at their institution.
      2. With the approval of the Chancellor, Directors or their designees may approve exceptions to these minimum rates when circumstances warrant.
      3. Directors or their designees may approve rates that are greater than those stated in TBR Guideline P-050 as long as the rates are applied consistently for similar faculty (degree, rank and experience) within the same academic unit. 
Sources: 

TBR Meetings, March 10, 1979; September 30, 1983; TBR Meeting September 21, 1990; TBR meeting March 15, 2002, TBR Meeting December 2, 2005

Contact: 
Policy Number: 
5:01:04:10
Topics Outline: 
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The following policies shall be applicable to all regular full-time employees, their spouses and children, and graduate assistants at institutions governed by the Tennessee Board of Regents for classification for purposes of fees and tuition.

Policy/Guideline: 
  1. Classifications
    1. All regular full-time employees, their spouses and children, shall be classified as in-state students for purposes of fees and tuition when enrolled in courses at any institution governed by the Board. See Policy 3:05:01:00 to determine status of spouses and children of individuals who are employed at Fort Campbell.
    2. Graduate assistants shall be classified as in-state students for purposes of fees and tuition at the institutions where they are pursuing graduate studies as graduate assistants. 
Sources: 

TBR Meetings, June 24, 1977; September 30, 1983

Note: This policy became effective as of the beginning of the 1977-78 academic year.

Contact: 
Policy Number: 
5:01:03:03
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
Community Colleges, Universities, System Office
Purpose: 

The purpose of this policy is to communicate the state-supported retirement programs available to employees of the Tennessee Board of Regents.

Policy/Guideline: 
  1. Introduction
    1. The Tennessee Board of Regents offers two state-supported retirement programs. The primary program, the Tennessee Consolidated Retirement System (TCRS), is open to all employees of the State of Tennessee and regular non-exempt Tennessee Board of Regents employees are provided benefits under this program. The secondary program, the Optional Retirement Program (ORP), is open to regular faculty and exempt staff employees. In addition, visiting lecturers are eligible to participate in the ORP. Regular faculty and exempt staff employees may choose to enroll in either the TCRS or the ORP.
    2. Both retirement programs, the TCRS and the ORP, have a Legacy Plan and a Hybrid Plan and eligibility is based on date of hire. Employees hired on or before June 30, 2014 are eligible to participate in the Legacy Plan, which is a non-contributory plan. Employees hired on July 1, 2014 or later are eligible to participate in the Hybrid Plan, which is a contributory plan.
    3. All rights to retirement plan benefits for employees of the Tennessee Board of Regents are governed by the laws and regulations established by the State of Tennessee and/or the federal government. For employees participating in the ORP, employee rights to plan benefits also are governed by the ORP vendors' regulations and the contract between the employee and the ORP vendor(s).
  2. Eligibility
    1. All regular full-time employees of the Tennessee Board of Regents and of institutions governed by the Tennessee Board of Regents shall be members of a state-supported retirement plan as a condition of employment, subject to eligibility provisions.
    2. For regular part-time employees, membership in a state-supported retirement plan is optional.
    3. Employees must continue to participate in a retirement plan as long as they remain in a regular status (breaks in service, other than terminations, do not affect eligibility for participation).
    4. The following is a non-inclusive list of employees not eligible to participate in a state-supported retirement plan:
      1. Students
      2. Temporary employees
      3. Medical residents
      4. Interns and externs
      5. Non-U.S. citizens who do not pay Social Security or Medicare taxes
  3. Electing a Retirement Plan
    1.  An eligible employee who is not a member of the TCRS and has not accumulated creditable service thereunder as a member of a local retirement fund having rights under the TCRS, may elect membership in either the TCRS or ORP.
    2. An eligible employee who is a member of the TCRS or of a local retirement fund having rights under the TCRS, and who is otherwise eligible to join the ORP, may elect to participate in the ORP in lieu of continuing contributions to and accumulating creditable service in the TCRS while employed at an institution with an ORP.
      1.  Any employee who elects to cease membership in the TCRS and commence membership in the ORP are subject to the Transfer process in Section V. of this policy, which includes submitting written notice using the Election to Transfer Membership from TCRS to ORP form available at http://www.treasury.state.tn.us/orp/PDFs/Forms/tr0275.pdf 
      2. As stated on the form, an employee who transfers membership from the TCRS to the ORP will thereafter be ineligible to accumulate creditable service in the TCRS during such period or periods as he or she is employed by an institution with an ORP.
    3. The Notice of Election to Participate in the ORP or TCRS form shall be used by employees in designating an election. The completed form shall be kept on file by the institution’s Human Resources Department.
      1. If no election is made the employee shall be deemed to have elected the TCRS.
      2. Employees electing the ORP must complete the ORP Premium Distribution Specification Form and the application material for the selected vendor(s).
  4. Contributions
    1. Employees hired on or before June 30, 2014
      1. For employees participating in the TCRS, employer contributions are calculated on the employee’s eligible compensation amount and paid at the rate determined on a biennial basis by the actuary. Shortly after each valuation, the TCRS will notify each institution of its new employer contribution rate and effective date.
      2. For employees participating in the ORP, employer contributions will be paid at 10% of eligible compensation up to the social security wage base and 11% of eligible compensation above the social security wage base.
    2. Employees hired on or after July 1, 2014
      1. For employees participating in the TCRS, employer contributions are calculated on the employee’s eligible compensation amount and paid to a defined benefit plan and 5% to a defined contribution plan. The employer contribution is determined by the actuary and subject to change. The mandatory employee contribution is 5% and paid to a defined benefit plan. Employees will also be auto-enrolled into the 401(k) plan at a contribution rate of 2%. The employee may opt out of the auto-enrolled 401(k) within 30 days of notification of enrollment from the 401(k) vendor. The employee may also change the 401(k) contribution amount at any time. Employees shall receive up to a $50 per month match in the 401(k) if enrolled.
      2. For employees participating in the ORP, employer contributions will be paid at 9% of compensation and the mandatory employee contribution will be 5%. Employees will also be auto-enrolled into the 401(k) plan at a contribution rate of 2%. The employee may opt out of the auto-enrolled 401(k) within 30 days of notification of enrollment from the 401(k) vendor. The employee may also change the 401(k) contribution amount at any time. Employees shall receive up to a $50 per month match in the 401(k) if enrolled.​
        1. For employees hired after July 1, 1996, the annual limit for employer contributions to either retirement program (TCRS or ORP) made on behalf of employees will be subject to applicable federal and state limits.  Additionally, for employees participating in the ORP, there is also an annual aggregate contribution limit for contributions to the ORP and all other tax deferred programs.  This limit is defined on an annual basis by the IRS.
  5. Transfers
    1. Transfers from the TCRS to the ORP
      1. Effective April 4, 2001, TCA § 8-35-403 was amended to permit an employee who is eligible to participate in the ORP but who elected to participate in the TCRS to transfer membership from the TCRS to the ORP. The change will be effective the first day of the month following thirty (30) days written notice to TCRS and the employee’s institution.
      2. Any employee who elects to transfer funds in the ORP must execute the Election to Transfer Funds from TCRS to ORP form at least 30 days prior to the payroll date in which the change is to be effective.
      3. Employees hired on or after July 1, 1981 through June 30, 2014 are non-contributory members. Contributions made by the employer are not transferable. Employees executing this action will transfer membership only since all contributions were made by the employer.
      4. Employees hired prior to July 1, 1981 (when contributions to the TCRS were paid jointly by the institution and the employee) will transfer all employee contributions to the TCRS plus that portion of the employer’s contribution made on behalf of the employee after July 1, 1981, plus any accrued interest are fully transferable to the ORP. Only contributions made by the employee (through payroll deduction) or contributions made by the employer on behalf of the employee under the non-contributory plan are transferable. Such transfer of contributions constitutes a termination of membership in TCRS and a waiver of all rights and benefits under TCRS.
      5. Employees hired after July 1, 2014 (when contributions to the TCRS are paid jointly by the institution and the employee) will transfer all employee contributions made to the TCRS. Contributions made by the employer are not transferable.
      6. Employees reclassified from a non-exempt to an exempt position may redirect contributions from the TCRS to the ORP.
        1. Employees with a hire date after July 1, 1981 through June 30, 2014 will transfer membership only. Employer contributions are non-transferable.
        2. Employees with a hire date prior to July 1, 1981 or after July 1, 2014 will transfer all employee contributions plus any accrued interest to the ORP. Employer contributions are non-transferable.
    2. Transfers from the ORP to the TCRS
      1. Employees hired prior to January 1, 2005 were given a one-time opportunity to transfer membership from the ORP to the TCRS.
      2. ORP members (hired after January 1, 2005) with five (5) years of full-time equivalent creditable service have a one-time transfer option to change from ORP to TCRS. The cost to change is an actuarially determined contributions percentage plus 7.5%.
      3. This election to transfer from the ORP to the TCRS must be made and filed not later than the end of the calendar year following the year that five (5) years of service is achieved.
    3. Transfers within the ORP
      1. Employees who participate in the ORP may direct employer contributions made on their behalf to one or more of the vendors designated to provide annuity contracts under the State of Tennessee ORP.
      2. Once funds are on deposit with a designated company, the participant may move those funds among the different investment accounts within the ORP vendor. The participant may authorize such internal transfers by telephone or via the vendor’s website.
    4. Vesting and Creditable Service
      1. Employees who are enrolled in the TCRS must accrue five years of full-time equivalent retirement creditable service to be vested and receive a service retirement benefit. Five years of full-time equivalent retirement creditable service must also be accrued to be eligible for ordinary disability retirement under the TCRS. No specific amount of creditable service is required for accidental disability under these plans.
      2. ORP benefits are vested immediately, and lifetime distributions may be started at any time after separation, subject to IRS regulations.
    5. Breaks in Service
      1. Returning employees with an original hire date prior to July 1, 2014 have the following options available:
        1. Employees vested in the Legacy Plan (non-contributory) with a break in service may return to the Legacy Plan upon re-employment.
        2. Employees not vested in the Legacy Plan (non-contributory) with a break in service of less than seven (7) years may return to the Legacy Plan upon re-employment.
        3. Employees not vested in the Legacy Plan (non-contributory) with a break in service of seven (7) or more years must enroll in the Hybrid Plan (contributory).
    6. Eligibility to Retire
      1. Employees hired on or before June 30, 2014 and enrolled in the TCRS or the ORP Legacy Plan.
        1. For employees participating in the TCRS, the following apply:
          1. Service retirement – Age 60 and vested or 30 years of service.
          2. Early retirement – Age 55 and vested or 25 years of service.
        2. For employees participating in the ORP, the following applies:
          1. Benefits are vested immediately and lifetime distributions may be started at any time after separation from service, subject to IRS regulations.
      2. Employees hired on or after July 1, 2014 and enrolled in the TCRS or ORP Hybrid Plan.
        1. For employees participating in the TCRS, the following apply:
          1. Service retirement – Age 65 and vested or Rule of 90 (age and service years total 90).
          2. Early retirement – Age 55 and vested.
        2. For employees participating in the ORP, the following applies:
          1. Benefits are vested immediately and lifetime distributions may be started at any time after separation from service, subject to IRS regulations.
        3. There is no mandatory retirement age for employees. The effective date of retirement for all employees, including faculty, is usually the day following the last day in an active pay status. Retirement dates for persons with academic year appointments will be generally December 31, May 31, June 30, or July 31; generally flex-year appointments end July 31. For persons teaching summer school, retirement will be delayed until the end of the month following completion of the assigned summer term.
      3. ​Separation from Service Prior to Retirement
        1. ​TCRS
          1. ​For TCRS members who separate from service prior to retirement, the following options are available:
            1. ​Employees who separate and accept employment at another state agency shall have membership and contributions continued at the new agency.
            2. Employees who have achieved vested service may leave funds intact until a benefit is requested at retirement.
            3. Employees, upon separation from service, may apply for a refund of their accumulated employee contributions and interest. Employer contributions to the defined benefit portion of the Hybrid Plan are not refundable. By obtaining a refund, he or she gives up TCRS membership and all rights and benefits in the retirement system.
        2. ​​ORP
          1. ​For ORP members who separate from service prior to retirement, the following apply:
            1. ​Employees who separate and accept employment at another participating institution may choose to have membership and contributions continued at the new institution.
            2. All funds contributed by the institution and funds contributed by the employee prior to July 1, 1981 and after July 1, 2014, remain intact and continue to accrue interest and dividends until retirement. An exception may apply for employees who have separated from service and have a de minimis amount less than $15,000 in total accumulations in the ORP. Depending upon ORP company regulations, such employees may be eligible for a lump sum distribution, a rollover to an Individual Retirement Account, or a rollover to another qualified retirement plan as specified in section 401(a) of the Internal Revenue Code. Verification of an aggregate current balance of less than fifteen thousand dollars ($15,000) (for de minimis distributions) shall be provided by the participant in the form of current quarterly statement(s). Both forms must be returned to the vendor(s) in order for the lump sum distribution to be processed.
            3. If a participant has separated from service and is receiving social security disability benefits from the social security administration due to the participant’s disability, the participant may, upon his/her written request receive a lump sum distribution from the participant’s account(s) each year. The following shall apply:
              1. The aggregate total of each annual distribution from all of the participant’s accounts shall not exceed twenty-five thousand dollars ($25,000).
              2. Each annual distribution shall be made in any manner permitted by the vendor(s) holding the accounts but only upon receipt by the institution of documentation confirming the participant’s continued receipt of social security disability benefits. Once the participant attains the age requirement for receipt of old age and survivors benefits under Title II of the Federal Social Security Act, the participant shall no longer be required to provide such documentation in order to receive an annual distribution.
            4. Distribution of contributions shall require the completion of forms for the participant’s vendor(s).
            5. Verification of contributions and separation from service information shall be provided by the last employer.
        3. Re-employment of Retirees
          1. Re-employment of retirees who are receiving retirement benefits from the TCRS or the ORP is monitored through the State Retirement System. Retirees must have a break in service for a minimum of sixty (60) days, unless an exception has been applied for and approved. All re-employed retirees must participate in Social Security.
          2. When a retiree is re-employed, he/she will be required to complete the appropriate form. TCRS retirees must complete the Temporary Employment Report form and the institution shall submit the form to the TCRS. ORP retirees must complete the Optional Retirement Program (ORP) Part-time Re-employment Certification/Waiver form for the institution’s files. New forms for re-employed TCRS and ORP retirees must be completed for each 12-month period and certify the following requirements have been met:
            1. Retirees may be re-employed without a loss of retirement income up to but no longer than 120 working days or the equivalent (900 hours) within the 12-month period immediately following the date of re-employment.
            2. Retirees may be re-employed as a teacher without a loss of retirement income for a maximum of 18 semester hours (24 quarter hours), providing the total salary paid to any such retiree for teaching during the 12-month period does not exceed his or her pro rata share of the average salary being paid at the institution for the academic discipline concerned.
            3. A disability retiree may return to work for any state employer without loss of retirement benefits provided he or she does not earn more than the substantial gainful activity amount determined each calendar year by Social Security in the 12-month period from the date of re-employment and does not exceed 120 working days or the equivalent (900 hours).
            4. The entire compensation payable to the retiree for such work is not more than 60 percent of the annual full-time salary received by the member in the year immediately prior to retirement.  This limit on salary increases by 5 percent for each year since the member’s retirement.
          3. Temporary Employment. Retirees are generally re-employed as temporary employees and are limited to 900 hours of work in a 12-month period.
          4. Regular Full-time Employment. Retirees who are re-employed with an expected duration of 12-months or more must participate in retirement and must agree to waive any retirement benefits received from a State of Tennessee supported retirement plan during the period of regular employment.
          5. Regular Part-time Employment. Retirees who are re-employed as regular part-time have the option to participate in a retirement plan. If the part-time employee chooses to participate in a retirement plan, any retirement benefits from a State of Tennessee supported plan must be waived during the period of regular employment.

​​

Sources: 

TBR Meetings, March 4, 1977; June 26, 1981; March 19, 1982; September 30, 1983; December 14, 1984; June 26, 1992; December 9, 1994; March 15, 2002; March 18, 2005; TBR Meeting March 27, 2015.

(a) The provisions of this policy under which regular full-time executive administrative, and professional employees are eligible to participate in the optional retirement program became effective on July 1, 1983.

(b) Regular part-time employees became eligible for retirement system membership on July 1, 1984.

 (c) On July 1, 1992, two additional companies were added in the optional retirement program. A total of three companies became available in the ORP.

Contact: 

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