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Office of General Counsel Policies & Guidelines

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

The purpose of this policy is to establish the criteria and process regarding accrual of annual leave for employees at the System Office and institutions governed by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Introduction
    1. It is the policy of the Tennessee Board of Regents to provide all regular full-time and part-time employees with regular periods of rest and relaxation away from the work environment and to recognize length of service.
      1. The appropriate approving authority may require key administrative personnel to take a certain number of consecutive days of annual leave each year.
    2. All personnel entitled to accrue annual leave may request use of annual leave at any time preferred by application to their proper approving authority.
      1. Such requests are subject to the discretion of the approving authority, which is responsible for planning the work under his or her control, and should be approved only at such times as the employee can best be spared.
      2. In addition, annual leave may be used to remain in an active pay status by an employee who has exhausted all sick leave and whose continued absence has been approved in accordance with Sick Leave Policy 5:01:01:07 and/or Family and Medical Leave Act Policy 5:01:01:14.
      3. However, annual leave may not be used intermittently with leave without pay during a continuous FMLA leave period.
  2. Eligibility to Accrue Annual Leave
    1. Regular full-time employees (excluding nine, ten and eleven month faculty) regardless of probationary status, shall be eligible to accrue annual leave.
    2. Regular part-time employees, including twelve month academic personnel (excluding nine, ten and eleven month faculty) scheduled to carry less than a full teaching load or its equivalent, regardless of probationary status, shall be eligible to accrue annual leave on a prorated basis equal to the percentage of their employment to full-time employment.
    3. Nine, ten and eleven month academic personnel, full or part-time, whether or not compensated over a twelve-month period, shall not be eligible to accrue annual leave.
    4. Temporary employees shall not be eligible to accrue annual leave.
      1. Temporary employees who are subsequently appointed as regular employees with no break in service shall become eligible to accrue annual leave and shall receive annual leave balances accrued retroactively from the date of employment.
      2. Temporary clerical and support personnel who subsequently become eligible to accrue annual leave shall also receive retroactive credit for service from the date of employment for the purpose of calculating annual leave accrual rates.
    5. All full-time and part-time employees who are employed pursuant to funds available to the institution through grants or contracts are not eligible to accrue annual leave unless the grant or contract involved provides sufficient funds to cover the costs of such leave, or unless eligibility to accrue annual leave is approved by the president/director of the institution.
    6. Student employees shall not be eligible to accrue annual leave.
  3. Annual Leave Accrual
    1. Regular full-time clerical and support personnel (non- exempt) shall accrue annual leave in accordance with the following schedule:
      Years of Service *Accrual Rate Per Month *Maximum Annual Accumulation *Maximum Total Accumulation Within FY *Maximum Accumulation Carried Forward to Next FY
      0 – 5 7.5 90.0 315.0 225.0
      5 – 10 11.3 135.6 405.6 270.0
      10 – 20 13.2 158.4 450.9 292.5
      20 or more 15.0 180.0 495.0 315.0
       
      *Number of hours
    2. Executive, administrative and professional personnel (exempt), and twelve month academic personnel (faculty) who are regular full-time employees, who are exempt from the provisions of the Federal Wage and Hour Law, shall accrue annual leave at the rate of 15 hours per month, with the maximum accumulation of 315 hours to be carried forward to the next fiscal year.
    3. All regular part-time personnel employed on a twelve-month basis and regular part-time personnel on MODFY (modified fiscal year) appointments shall accrue leave on a prorated basis equal to the percentage of their employment compared to full-time employment, with said percentage to be applied to the rate of accrual and maximum accumulation described in items A and B of this section, as applicable.
    4. Eligible employees shall accrue annual leave from the date of employment. (See Section II.D, providing for retroactive credit for temporary employees who subsequently become eligible to accrue annual leave.)
    5. Eligible employees earn and accrue annual leave for each month upon completion of a major fraction thereof (i.e., more than fifty percent (50%) of the number of days in the month), and leave may be used when earned, regardless of an employee's probationary status, subject to the discretion of the approving authority.
      1. Annual leave may not be taken before it is earned.
    6. Employees otherwise eligible to earn annual leave do not earn or accrue annual leave while on leaves of absence.
    7. When an employee who is eligible to accrue annual leave transfers into a nine-month academic position (thus becoming ineligible to accrue annual leave), the employee shall take all of his or her accrued annual leave prior to the date of transfer unless the appropriate approving authority determines that the services of the employee must continue until the date of transfer. In that event, the employee shall be paid for all of his or her accrued annual leave by a lump sum payment at the time of transfer.
    8. MODFY employees who are employed during the period which would normally be the non-duty period of their appointment shall accrue annual leave in accordance with items A and B of this section for each month of full-time employment. For part-time employment during that period, MODFY employees shall accrue annual leave on a prorated basis in accordance with item C of this section.
    9. Years of Service for Determining Accrual Rate
      1. Anniversary date for computation of leave shall be the beginning date of employment for each employee, except when adjustments in the date must be made because of periods of non-accrual, i.e., leaves of absence, temporary breaks in employment, etc. The rate of accrual for employees will be effective the month following the anniversary date. Annual leave shall be accounted for and controlled for maximum accumulation purposes on a fiscal year basis.
      2. In determining the amount of full-time or prorated part-time service accrued by an employee, all service accumulated while employed in any agency, office, or department of the State of Tennessee, or in any state college, university, or college of applied technology shall be credited for purposes of leave computation. In addition, any employee who was employed by a public school system as defined in T.C.A. § 49-1-103 and who becomes an employee eligible to accrue leave in this System shall receive credit for service with said public school system for leave accrual purposes after employment in this System for one continuous year. In order to be eligible to receive credit for the prior service the employee must begin employment in this System within two (2) years from the date of termination with the public school system.
    10. Maximum Accumulation
      1. The accumulation of annual leave shall not exceed the maximum accumulation indicated in items III.A and III.B of this section, or the proration thereof under item III.C. Annual leave in excess of the maximum may be used during the year in which the excess accrues; in the event it is not so used, it will be transferred to the employee's accumulated sick leave at the close of the fiscal year, unless the employee is on terminal leave, in which case the full amount of accrued annual leave shall be carried forward.
  4. Disposition of Accrued Annual Leave Upon Termination
    1. Except as otherwise provided and subject to the limitations stated in this section, upon termination of employment with the Board of Regents or one of its institutions, an employee shall be paid for all accrued but unused annual leave he or she may have as of his or her last working day.
      1. Payment shall be by lump sum payment upon separation for reasons other than Retirement.
      2. Upon Retirement payment shall be, at the option of the employee, either by terminal leave or by lump sum payment.
      3. Whether payment is by terminal leave or lump sum payment, and whether termination is voluntary or involuntary, the discretion to determine the employee's last working day is reserved to the appropriate appointing authority.
      4. Of course, the employee retains the right to make his/her last working day a date prior to the date established by the appointing authority.
      5. In either option, payment should be made with the employee's normal payroll cycle.
    2. Terminal Leave
      1. Terminal leave is that period during which an employee remains on the payroll beyond his or her last working day until all of his/her accrued annual leave has been exhausted.
      2. If a retiring employee elects to be paid for his or her accrued but unused annual leave by terminal leave, the date on which his or her annual leave is exhausted shall be the official date of retirement.
      3. During a period of terminal leave, an employee shall not earn additional annual or sick leave, shall not be eligible to use sick leave, and shall not be eligible for any salary increase.
        1. However, an employee shall receive credit for any official holiday occurring during a period of terminal leave and shall receive the longevity bonus if the anniversary date occurs during the period of terminal leave.
      4. During a period of terminal leave, an employee shall continue to be eligible for group health insurance coverage. Premiums for the coverage shall be deducted from his or her terminal leave payments if continued coverage is elected.
    3. If a terminating employee elects to be paid for his or her accrued but unused annual leave by lump sum payment, the employee's last working day shall be the official date of termination.
    4. Payment for accrued annual leave under this section shall not be limited to the maximum accumulation amount which may be carried forward from one fiscal year to the next if the last working day occurs prior to July 1 (even if the terminal leave period extends beyond July 1).
    5. In the case of death, payment for an employee's unused accrued annual leave shall be made to the employee's estate or designated beneficiary.
    6. An employee who transfers to another System institution or another state agency shall not be paid for his or her accrued but unused annual leave. Rather, all unused annual leave shall be transferred to the other institution or state agency. (In accordance with Policy No. 5:01:01:06.)
    7. An employee who is dismissed for gross misconduct, or who resigns or retires to avoid dismissal for gross misconduct shall not be entitled to any compensation for accrued but unused annual leave at the time of dismissal. (For the definition of gross misconduct, refer to Policy 5:01:00:00.)
Sources: 

TBR Board Meeting: August 15, 1975, June 25, 1976; December 2, 1977; June 30, 1978; June 29, 1979; June 26, 1981; September 18, 1981; September 24, 1982; June 24, 1983; September 30, 1983; June 28, 1985; June 26, 1987; December 4, 1987; September 16, 1988; March 17, 1989; March 16, 1990; June 25, 1993; April 2, 2004 (Approved by Finance and Administration, April 23, 2004); December 7, 2007 (Approved by Finance and Administration, January 23, 2008)

Note: The provisions of this policy adopted at the August 15, 1975 meeting, became effective on January 1, 1976, and changes in eligibility to earn leave or in the amount of leave earned for period of service were prospective only

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

The purpose of this policy is to establish the criteria and process regarding employment classification for employees at the System Office and institutions governed by the Tennessee Board of Regents.

Definitions: 
  • Academic Personnel (Exempt) - All faculty members who hold academic rank, and who are directly engaged in instruction, departmental research or public service. Academic personnel may be employed either on a nine, ten, eleven or twelve-month service basis (academic year), compensated over a twelve-month period, hereinafter described as academic personnel, or on a twelve- month service basis (fiscal year), compensated over a twelve-month period, hereinafter referred to as twelve-month academic personnel.
  • Executive & Administrative (Exempt) - All personnel other than personnel primarily employed in instruction, research or public service who primarily have executive and administrative responsibilities, and whose positions require recognized professional achievement acquired by formal training or equivalent experience. This classification includes non-academic personnel who are exempt from the provisions of the Federal Wage and Hour Law.
  • Professional Non-Faculty (Exempt)  All personnel other than personnel primarily employed in instruction, research or public service who primarily have professional responsibilities, and whose positions require recognized professional achievement acquired by formal training or equivalent experience. This classification includes non-academic personnel who are exempt from the provisions of the Federal Wage and Hour Law.
  • Adjunct faculty – All faculty whose temporary appointments are based on demand each semester.
  • Clerical, Support, Technical, Maintenance, and Operations Personnel (Non-exempt) - All personnel other than executive, professional, academic, administrative, or student workers.
  • Student Workers - All personnel whose primary purpose for being at the institution is to be enrolled in an academic program of the institution. Student workers are temporary.
  • Graduate Assistants/Graduate Instructors – Appointments subject to TBR policy 5:02:05:00 where the specific terms may be academic year semesters, fiscal year or based on a percentage. They may be part-time or full-time temporary appointments.
Policy/Guideline: 
  1. Employment Designations
    1. Each employee is assigned one of the following designations:
      1. Regular Full-Time Employees - All personnel (executive, administrative and professional, academic, and clerical, support, technical, maintenance and operations) who are employed on a continuing basis, expected to exceed one year, and who have a regular work week of 37.5 hours or who are scheduled to carry a full teaching load or its equivalent. Regular full-time employees include full-time MODFY (modified fiscal year) employees. Regular full-time employees are eligible for benefits.
      2. Regular Part-Time Employees - All personnel (executive, administrative and professional, academic, and clerical, support, technical, maintenance and operations) who are employed on a continuing basis, expected to exceed one year and who have a regular work week of less than 37.5 hours or who are scheduled to carry less than a full teaching load or its equivalent. Regular part-time employees include part-time MODFY (modified fiscal year) employees.   Regular part-time employees are eligible for prorated benefits.
      3. Temporary Employees - All personnel whose initial period of appointment or expected service is less than one year. This definition should not be confused with employees who are designated as probationary employees, who may be regular full-time or part-time employees, and who are entitled to all leave benefits of such employees.  If temporary assignments are recurring, then the campus must make a decision to create and fund a regular position.
        1. “Temporary employees” are ineligible for benefits. (Refer to 5:02:07:10 and 5:02:07:00 for the temporary appointment type for faculty – this type may be eligible for benefits).
        2. However, limited term appointments may be designated as positions eligible for benefits when budgeted.
        3. As a temporary employee, you are not eligible for employment benefits (retirement, state insurance, annual and sick leave, and holiday pay or longevity credit).
      4. MODFY (modified fiscal year) Employees - All regular, full and part-time personnel whose service period is at least nine months, but less than twelve months. The actual length and work schedule can vary at the discretion of the institutional president or director.
  2. Breaks in Service
    1. An employee who has worked as a temporary for the maximum time of one calendar year must be completely separated and off the payroll for fourteen calendar days before becoming eligible for re-employment in a temporary position.
      1. After one year of employment as a temporary employee, the campus should consider adding a position with benefits if the assignment is needed on a regular basis.
      2. The process for filling the position will follow TBR Guideline P-010, Personnel Transactions and Recommended Forms.
  3. Staffing Agency
    1. Temporary employees contracted through a temporary staffing agency are not TBR employees.  
  4. Guideline Development
    1. Each institution shall develop appropriate guidelines for employing persons within the institution.
    2. Consistent with the definitions included within this policy, appropriate employee designations and percent of employment shall be determined through campus review of the length of the assignment and the continued need for services.
Sources: 

TBR Meetings, August 15, 1975; June 25, 1976; December 2, 1977; June 30, 1978; June 29, 1979; June 26, 1981; September 18, 1981; September 24, 1982; June 24, 1983; September 30, 1983; June 28, 1985; June 26, 1987; December 4, 1987 ; June 30, 2006.

Note: The provisions of this policy adopted at the August 15, 1975 meeting, became effective on January 1, 1976, and changes in eligibility to earn leave or in the amount of leave earned for period of service were prospective only.

Contact: 
Policy Number: 
5:01:00:20
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this policy is to establish the criteria and process regarding unemployment compensation for employees at the System Office and institutions governed by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Unemployment Compensation Contributions
    1. The Tennessee Board of Regents hereby adopts the following policy on unemployment compensation contributions. The Board and the institutions governed by the Board shall be subject to the following:
      1. All institutions shall continue and maintain their elections to make payments for unemployment compensation benefits on a reimbursement basis in lieu of contributions pursuant to T.C.A. § 50-7-405; provided that any institution which can demonstrate a cost savings would result from contributions may terminate such election with the approval of the Chancellor.
      2. Each institution shall to the extent required by law, participate under the Tennessee Employment Security law as a single entity, and shall be responsible for its liabilities arising under the law.
        1. Reimbursement payments for unemployment compensation benefits should be paid to the Department of Employment Security within thirty (30) days of receipt of a valid bill for such benefits.
      3. Each institution shall be responsible for the prompt appeal of claims by persons who are ineligible or disqualified for benefits, and of incorrect and improper assessments.
Sources: 

TBR Meetings, December 8, 1978; September 30, 1983

Note: This policy was formerly numbered 4:03:05:00. It has been renumbered to be included in the Personnel Section of the Policy Manual, 11/90.

Contact: 
Policy Number: 
5:01:00:10
Policy/Guideline Area: 
Personnel Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this policy is to establish the criteria and process regarding personnel records at the System Office and institutions governed by the Tennessee Board of Regents.

Definitions: 
  • Public record(s) or state record(s) - means all documents, papers, letters, maps, books, photographs, microfilms, electronic data processing files and output, films, sound recordings, or other material regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by any governmental agency.(T.C.A. § 10-7-301(b))
Policy/Guideline: 
  1. Personnel Records
    1. The following policy of the Tennessee Board of Regents on personnel records shall apply to all employees of the institutions governed by the Board.
    2. Under the provisions of T.C.A. § 10-7-503, personnel records are considered public records and may be inspected, extracted, or copied by any citizen of Tennessee during normal business hours, in accordance with reasonable rules of the office having custody of such records.
    3. However, T.C.A. § 10-7-504(f)(1) treats as confidential the following information:
      1. Home telephone and personal cell phone numbers;
      2. Bank account information;
      3. Social security number;
      4. Driver license information except where driving or operating a vehicle is part of the employee's job description or job duties or incidental to the performance of his/her job;
      5. Residential information, including the street address, city, state, and zip code for any state employee; and
      6. The same information of immediate family members or household members.
        1. This information must be redacted wherever possible, but access to otherwise public information shall not be limited or denied because a record contains confidential information.
        2. Further, this information is available to law enforcement agencies, courts, or other governmental agencies performing official functions.
    4. T.C.A. § 10-7-504(a)(25) treats as confidential the following information:
      1. Job performance evaluations, including but not limited to, job performance evaluations completed by supervisors, communications concerning job performance evaluations, self-evaluations of job performance prepared by employees, job performance evaluation scores, drafts, notes, memoranda, an all other records relating to job performance evaluations.
      2. This does not include evaluations completed by students or other such informal surveys.
    5. Each institution shall designate the official custodian of permanent personnel records, provided that more than one official custodian may be designated for different classifications of employee records.
      1. The official custodian of permanent personnel records shall be responsible for maintaining the permanent personnel files.
      2. The authority of the official custodian may be delegated to such assistants as are provided by the institution .
    6. Each institution shall develop a procedure to assure that employees are informed about records maintained about them and to permit them, upon request, to review the material.
      1. Pursuant to T.C.A. § 8-50-108, a state employee may inspect his/her own personnel file at any reasonable time.
      2. The employee may request copies of any material contained in such file, which copies shall be furnished to the employee upon payment of the cost of such reproduction.
    7. A procedure shall also be developed by each institution to monitor the release of information contained in personnel files in a manner consistent with individual rights to privacy and institutional and external needs for information.
    8. Nothing in this policy shall require the maintenance of any record for any period of time in excess of any retention period established by the institution, the Board, or State or Federal law.
Sources: 

TBR Meetings: June 25, 1976; March 4, 1977; June 26, 1981; September 18, 1981; September 30, 1983; September 16, 1988; March 15, 2002; September 25, 2008; June 19, 2015 to reflect statute revisions to personnel evaluations.

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

The purpose of this policy is to establish the criteria and process for employment of relatives at the System Office and institutions governed by the Tennessee Board of Regents.

Definitions: 
  • For the purposes of this policy;
    • Relative - means a parent, parent-in-law, child, spouse, brother, foster brother, sister, foster sister, grandparent, grandchild, son-in-law, brother-in-law, daughter-in-law, sister-in-law, or other family member who resides in the same household.
Policy/Guideline: 
  1. Introduction
    1. Pursuant to T.C.A. § 8-31-101, et. seq, the following shall be the nepotism policy for the Tennessee Board of Regents System:
  2. Employment of Relatives
    1. Effective July 1, 1980, no employees of an institution who are relatives shall be placed within the same direct line of supervision whereby one relative is responsible for supervising the job performance or work activities of another relative; provided, however, that to the extent possible, this policy shall not be construed to prohibit two or more such relatives from working for the same institution.
    2. When employees of an institution become in violation of section II.A as a result of marriage, the violation shall be resolved by means of transfer within the institution, transfer to another institution, or resignation as may be necessary to remove the violation.
      1. If transfer alternatives are available, the employees shall be given the opportunity to select among the available alternatives; provided that if the employees are unable to agree upon any such alternative within sixty days, the appointing authority shall take appropriate action to remove the violation.
    3. In the case of employment relationships which would otherwise violate section II.A but which were in effect prior to July 1, 1980, the employment of the employees shall not be affected by this policy, provided that the institution takes appropriate action to ensure that employees neither initiate nor participate in institutional decisions involving a direct benefit (retention, promotion, salary, leave, etc.) to a relative.
    4. Each institution shall apply the foregoing in a non-discriminating manner, and shall ensure that the implementation of this policy does not adversely affect employees of one sex over those of the opposite sex.
    5. Tennessee Board of Regents Guideline P-090 provides further guidance regarding the implementation of the law.
Sources: 

TBR Meeting June 19, 2009

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

The purpose of this policy is to establish the criteria and process for employment of minors at the System Office and institutions governed by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Employment of Minors
    1. The Tennessee Board of Regents has adopted the following policy concerning age restrictions and conditions of employment.
    2. No person under the age of sixteen (16) may be employed by any institution or the System Office of the Tennessee Board of Regents.
    3. Minors who are sixteen (16) or seventeen (17) may be employed under the following conditions:
      1. This employment must not interfere with the minor's health or well-being.
      2. If the minor is enrolled in school, this employment may not be during those hours when the minor is required to attend class.
      3. A minor must have a 30-minute unpaid break or meal period if scheduled to work 6 hours consecutively. However, this break or meal period may not occur during or before the first hour of scheduled work activity.
    4. Minors must not be employed in connection with the following:
      1. Occupations in or about establishments storing explosives or articles containing explosive components or potentially hazardous chemicals;
      2. Motor vehicle driving occupations;
      3. Occupations involved in the operation of power-driven woodworking machines;
      4. Occupations involving exposure to radioactive substances and to ionizing radiation;
      5. Occupations involved in the operation of elevator and other power-driven hoisting apparatus;
      6. Occupations involved in the operation of power-driven metal forming, punching, and shearing machines;
      7. Occupations involved in the operation of hazardous power-driven bakery machines;
      8. Occupations involved in the operation of circular saws and band saws;
      9. Occupations involved in the operation of packing, processing, or rendering;
      10. Occupations involved in the operations of hazardous power-driven paper products machines;
      11. Occupations involved in wrecking, demolition, and ship breaking operations;
      12. Occupations involved in roofing operations;
      13. Occupations in excavation operations.
  2. Exceptions
    1. The provisions of this policy shall not apply to any minor who:
      1. Is sixteen (16) or seventeen (17) years of age and not enrolled in school, or is lawfully excused from compulsory school attendance under T.C.A. § 49-6-3005.
        1. Copies of documents to support this exception must be in the minor's personnel record maintained by the Office of Human Resources.
    2. This is the exemption covering the JTPA program:
      1. A minor may be employed if he/she is an enrollee in a public employment program which is conducted or funded by the federal government, provided that the employer (JTPA director) has on file in his/her personnel records an unrevoked written statement from a representative of the federal agency administering that program certifying the enrollment of said minor in the program.
    3. Before any minor shall be employed, the institution or System Office shall obtain from the minor a verification of age by requiring the minor to provide the institution or System Office with a copy of the minor's birth certificate, or other available evidence such as a baptismal certificate or passport. A valid verification of age shall be conclusive evidence of the age of the minor to whom it is issued. (See Exhibit 1)
    4. Under certain official institution or System Office programs designed to attract students at an early age to the health sciences or other fields, individuals under the age of 16 may be employed in those educational programs on a term or summer basis with written approval by the President/Director or his/her designee.
    5. All prohibited activities specified in the Fair Labor Standards Act (FLSA) and those requirements of the State of Tennessee Child Labor Law must be observed.
Sources: 

TBR Meeting, September 17, 1993; December 9, 1994

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

The following General Personnel Policy of the Tennessee Board of Regents is hereby adopted to delegate to the presidents of universities and community colleges, the authority and responsibility hereinafter specified concerning personnel, which the Board finds to be necessary and appropriate for the efficient administration of the institutions, and to establish standards, guidelines, and reporting requirements for the exercise of the delegated authority. The policy also cites specified authority and responsibility concerning personnel assigned to directors of the Tennessee Colleges of Applied Technology and the Chancellor.

Definitions: 
  • Promotion - is defined as an increase in position or rank brought about by means of assuming the duties of a vacant position of higher classification, or assuming duties which warrant a reclassification of present position to one at a higher level.
  • Demotion - is defined as a decrease in position or rank brought about by means of assuming the duties of a vacant position of lower classification, the realignment of duties presently performed which warrant a reclassification of present position to one at a lower level, or the assignment of a position at a lower classification subsequent to the disciplinary procedure or disqualification from present duties as a result of mental or physical incapacity to perform the required work.
  • Reclassification - when an employee’s duties and responsibilities change and may include an appropriate salary adjustment.
  • Lateral Transfer - is defined as the assumption of duties of another position at the same level.
  • Immediate family - is defined as any of the following named members of the employee's household at the time he/she reports for duty at his/her new official station: spouse, children (including stepchildren, adopted children, or foster children) unmarried and under 21 years of age or physically or mentally incapable of supporting themselves regardless of age, or dependent parents of the employee and the employee's spouse.
Policy/Guideline: 
  1. Scope of Delegation
    1. Presidents
      1. The appointments and terminations which require the prior approval of the president and the Chancellor include:
        1. All Vice Presidents or other executives reporting directly to the President (academic, business, student affairs, etc.) including all interim appointments;
        2. Directors and chairs of the Centers of Emphasis and Excellence, including interim appointments;
        3. Any other positions which may be designated by the Chancellor.
    2. Directors
      1. The appointments, changes of status, compensation, and termination of the TCAT assistant directors shall be subject to the prior approval of the Vice Chancellor for Colleges of Applied Technology.
    3. Chancellor
      1. The Chancellor has the authority to employ professional and staff employees as appropriate for the efficient discharge of official duties of the System Office.
      2. The Chancellor shall adopt appropriate procedures to govern the recruitment, selection, promotion and reassignment of System Office employees, such procedures to be consistent with relevant Board policies.
      3. Appointments for Positions Reporting to the Chancellor - All appointment recommendations for positions reporting directly to the Chancellor shall be subject to the following approval process:
        1. Recommendations for the positions of General Counsel, Chief Information Officer, and all Vice Chancellors, including interim appointments, shall be submitted to the Board Committee on Compensation and Personnel and the full Board of Regents for prior approval before employing a candidate; and
        2. For recommendations related to all other positions reporting directly to the Chancellor, the Chancellor may employ the individual without prior notice to or approval by the Board.
          1. For appointments requiring Board approval, if an emergency situation arises, appropriate measures will be taken to approve appointments in the interim through the Committee on Compensation and Personnel, which will have full authority to act on behalf of the Board.
    4. The president of a university, community college, and the director of a Tennessee College of Applied Technology are authorized to appoint, determine the compensation and change of status of, and terminate all other employees at the institution subject to the provisions of this and other relevant Board and institution policies and procedures and the Board approved Compensation Plan Guideline.
      1. The president may delegate the foregoing authority to a designated person or persons at the institution provided that all appointments and compensation of faculty and administrative personnel shall be subject to the approval of the president.
      2. Subsequent references to the president of an institution include the president or his or her appropriate designee.
    5. Notwithstanding any other policy or agreement, in the event of a severe state budget shortfall or state impoundment, the Chancellor may give specific written authorization to presidents/directors upon their request to reduce compensation across the board for the remainder of the fiscal year, to mandate furloughs without pay and/or to reduce the amount of time to be worked, on an institution by institution basis.
      1. Any request submitted by presidents/directors shall include a description of the campus constituent groups represented on the presidents/directors committee advising on the budget reduction process.  (See also Section V. H below regarding reductions in force).
    6. The Director of a Tennessee College of Applied Technology may not delegate the foregoing authority.
  2.  Appointments
    1. Presidents of a university or community college, and directors of a Tennessee College of Applied Technology are authorized to appoint and employ personnel within the scope of delegation provided in Section A for positions at the institution which have been approved by the Board in an operating budget (work program) at a level of compensation which does not exceed the amount specified in the operating budget; provided that new appointments to approved positions may be made at a level of compensation in excess of the amount specified where funds are available, subject to confirmation of the transfer of budgeted funds by the Chancellor.
    2. No employment agreement, or contract, or letter of agreement shall be used in the appointment or employment of personnel unless the form of agreement, contract, or letter has been approved by the Chancellor.
    3. New administrative positions shall not be established in an institution's administrative organization, and no major change in the administrative organization of an institution shall be made, unless approved by the Chancellor.
    4. The minimum qualifications for the appointment of faculty at universities and community colleges shall be the Minimum Rank Criteria for Professional Personnel in Instruction, Public Service, and Research set forth in Board Policy No. 5:02:02:20 and 5:02:02:30, which is incorporated herein by reference.
      1. The minimum criteria for tenure-track or tenure appointments at Tennessee Colleges of Applied Technology are specified in Board Policy No. 5:02:02:10.
      2. All part-time or temporary faculty must be appointed according to the provisions of Board Policy.
    5. The minimum qualifications for the appointment of all personnel other than faculty shall be determined by the president or director or designee, based upon the duties and responsibilities of the position, and shall be recorded and maintained by the institution, subject to any minimum qualifications for personnel positions which may be established by the Board.
  3. Nature of Appointments
    1. Faculty at universities and community colleges shall be employed pursuant to the types of appointments specified in Board Policy No. 5:02:02:20 and 5:02:02:30, which is incorporated herein by reference.
    2. Faculty at Tennessee Colleges of Applied Technology shall be employed pursuant to the types of appointment specified in Board Policy No. 5:02:02:10, which is incorporated herein by reference.
    3. Personnel other than faculty shall be appointed to serve at the pleasure of the president or, at Tennessee Colleges of Applied Technology, of the director, or at the System Office, the Chancellor.
    4. All full‑time personnel, including faculty, shall be required to devote a minimum of 37.5 hours per week to the institution or college, and shall maintain appropriate office hours as determined by the president (or his or her designee) or, at Tennessee Colleges of Applied Technology, by the director.
      1. Presidents and/or Directors are authorized to use flexibility as appropriate in determining the structure of the work week for faculty to recognize variations from traditional instructional formats such as afforded by online instruction, distance education, or other unique methods of instructional delivery.
      2. Calculation of the 37.5-hour week shall follow such guidelines as promulgated by the Chancellor.
    5. Within the requirement of a minimum of 37.5 hours per week, faculty at universities and community colleges shall be required to carry a full teaching load, which shall be fifteen (15) credit hours or the equivalent per term for undergraduate courses, twelve (12) credit hours or the equivalent per term for graduate courses, two hundred and twenty-five (225) non-credit contact hour or the equivalent per term.  All equivalent teaching load activities shall be subject to prior review and approval by the president (or his or her designee). Within the requirement of a minimum of 37.5 hours per week, faculty at Tennessee Colleges of Applied Technology shall normally be required to carry thirty (30) contact hours per week of teaching.
    6. In addition to the requirement of Section III.D above, full-time administrative personnel shall be required to devote sufficient time to complete their assigned duties and responsibilities.  When administrative personnel are appointed on an academic year basis, such personnel shall be required to devote sufficient time to fully perform the administrative responsibilities for the academic year, including periods preceding or following the academic year.
    7. Personnel at universities and community colleges who are appointed on an academic year basis shall be on duty for not less than nine months, which shall commence from the time designated by the president prior to the institution's registration for the fall term of each year through the time designated by the president at the end of the spring term, and shall be subject to call for duty during that period regardless of whether classes are in session.
  4. Compensation
    1. The president or director is responsible for compliance with all federal and state laws and regulations, and all Board policies and directives, concerning compensation for employees, and compensation for employees shall be subject to limitations imposed by the Board or the General Assembly.
    2. All regular full-time salaried personnel, whether on an academic or fiscal year appointment, shall be paid twelve (12) monthly installments each year, provided that exceptions may be made upon termination, or as approved by the Chancellor.
    3. All full-time and part-time employees are required to participate in the automatic deposit program for the direct deposit of their salaries. Each campus has the option to require student workers to participate in the direct deposit program as long as there is no charge to the student unless exempted by Federal Work Study Guidelines.
    4. Part‑time instructional personnel shall be paid on the basis of the credit or non-credit hours taught, pursuant to such guidelines and/or schedules as may be established by the Board.
    5. The president or director shall ensure that all employees shall be paid equal wages or salaries for equal work in positions the performance of which requires equal skill, effort and responsibility, and which are performed under similar working conditions, except where pay differentials are based upon:
      1. market factors,
      2. a merit or evaluation system,
      3. length of service, or
      4. any other proper, non-discriminatory basis.
        When any of the foregoing bases are relied upon to justify pay differentials for employees in similar positions as described above, the basis and the attendant circumstances shall be substantiated in writing and maintained by the institution.
    6. Overtime payments and compensatory time are available to employees not exempt from the FLSA.  The Chancellor is authorized to issue guidelines relative to the use of compensatory time and payment of overtime and the rates pertinent to each.
    7. Each institution shall develop policies and procedures for the administration of the compensation system at the institution subject to the approval of the Chancellor, and subject to the Compensation Plan Guideline promulgated by the Board. This includes reclassifications and degree changes.
    8. Faculty members may be asked to temporarily assume administrative responsibilities which entail moving from an academic year to a fiscal year contract with the assignment of additional duties.  This temporary appointment may be on a long-term or short-term basis but is still considered a temporary appointment subject to this policy. This does not apply when a faculty member is hired into a permanent administrative position such as a deanship which requires a twelve-month contract.
    9. Temporary administrative responsibilities may necessitate the awarding of an administrative stipend in addition to the previously established salary.  The stipend amount or any other understanding concerning compensation must be set out in a newly-executed contract.  The contract;
      1. Should include a statement that the stipend is awarded as compensation for the additional administrative responsibilities and will be removed at the time the administrative responsibilities end; or
      2. Should otherwise address how compensation would be affected at the end of an administrative appointment.
    10. The awarding of an administrative stipend is an issue separate from that of conversion from an academic year to a fiscal year basis.  When the conversion is to take place, the institution should just convert the salary from the academic year contract by adding 25% and then adding any stipend amount determined necessary.
      1. The following illustrates the procedure defined above.
        1. A faculty member making $20,000 on an academic contract is converted to a fiscal year contract at a salary of $25,000.
        2. In addition, a $1,500 administrative stipend is added and so indicated because of additional duties.  The total amount of salary is then $26,500.
        3. At the time the faculty member serving as administrator returns to a faculty position on an academic year basis, the administrative stipend will end.
        4. Then the base faculty salary is reduced to an academic year contract at a rate no less than 80% of the fiscal year contract.  The institution may choose to exceed the 80% number on the basis of comparable faculty salaries, including rank, merit, length of service, experience, degrees and yearly percentage increase in salary.
  5. Changes of Status and Terminations
    1. The president or director is authorized to approve changes of status (i.e., transfers, promotions, demotions, or other changes in duties or responsibilities) of personnel within the scope of the delegation provided for in Section A, provided that when a change of status would cause the employee to be within the scope of positions subject to approval of the Chancellor, the change of status will be subject to the Chancellor's approval.
    2. The president/director of each TBR institution/college may establish procedures for accomplishing promotions, demotions, and transfers between institutions within the Tennessee Board of Regents System, in such manner as to ensure fair and equitable treatment to all personnel, and in accordance with established TBR policies.  Any such action must be taken within the parameters of the institution's or system office's Affirmative Action Plan, and must be reviewed and certified by the institutional Affirmative Action Officer.
    3. Inter-institutional promotions, demotions, and transfers must be discussed and approved by the appointing authorities of the two institutions concerned prior to any discussion with the candidate. Any candidate promoted must meet all established minimum qualifications as determined by the appointing authority.
    4. Promotion of Faculty - The promotion of faculty shall be subject to Board Policy No. 5:02:02:20 and 5:02:02:30 (for universities, community colleges) and Board Policy No. 5:02:02:10 (for Tennessee Colleges of Applied Technology).
    5. Promotion of Non-faculty - Promotions of personnel other than faculty should be made pursuant to established and written criteria developed by the institution. Promotions and transfers are an acceptable means of filling vacancies. However, such promotions and transfers must be achieved within the parameters of institutional affirmative action plans. In addition, any vacant position created by that promotion must be filed within the provisions of this Policy and applicable guidelines.
    6. Terminations and Transfers - The president or director is authorized to terminate and transfer all personnel within the scope of the delegation of authority provided for in Section A, provided that terminations of faculty shall be pursuant to the provisions of Board Policy No. 5:02:03:60 and 5:02:03:70 (for universities and community colleges) or Board Policy No. 5:02:03:10 (for Colleges of Applied Technology).
    7. Termination for Gross Misconduct
      1. Gross misconduct may include, but is not necessarily limited to:
        1. Any act or omission which may seriously disrupt or disturb the normal operation of the institution/System Office;
        2. Any work-related conduct which would subject the employee to criminal conviction;
        3. Theft or dishonesty;
        4. Gross insubordination;
        5. Destruction of institution/System Office property;
        6. Falsification of records;
        7. Acts of moral turpitude;
        8. Reporting for duty under the influence of intoxicants;
        9. The illegal use, manufacture, possession, distribution, or dispensing of controlled substances or alcohol;
        10. Disorderly conduct;
        11. Provoking a fight;
        12. And/or such other similar acts involving intolerable behavior by the employee.
      2. In determining eligibility for unemployment compensation benefits, the definition of gross misconduct utilized by the Tennessee Department of Employment Security is not affected by the definition outlined in this section.
      3. In the case of gross misconduct, immediate disciplinary action up to and including termination should be taken.
      4. An employee suspected of theft of institutional property may not resign as an alternative to discharge after the investigation has been completed.
      5. Any exceptions to this requirement must be made by the institution's President or Director after consultation with the Vice Chancellor for Business and Finance.
      6. If the employee resigns during the investigation, the employment records must reflect the situation at the date of resignation and the outcome of the investigation.
      7. Refer to Annual Leave Policy 5:01:01:01 and Sick Leave Policy 5:01:01:07 regarding the loss of unused leave if termination of employment is due to gross misconduct. Refer to T.C.A. §§ 8-35-124 and 8-50-807d for the loss of retirement benefits related to gross misconduct termination.
    8. Reduction in Force
      1. Each institution shall develop a consistent and equitable method of notifying and terminating faculty and non‑faculty employees in the event that a reduction in force, reorganization or elimination of any occupational classification within a unit becomes necessary.
      2. The method should include a written rationale to the reduction, review of the institution's operations, identification of the functional area(s) affected, a review of the budgetary implications involved, and development of the specific written criteria to be used in identifying the duties that will be reassigned and/or eliminated in the event of a reduction.
      3. Only after specified functions/duties have been identified by unit heads and approved by the president/director does the review of individual personnel begin.
      4. Unit heads in consultation with human resources' staff will assess the specified areas and the employees in those areas in order to make recommendations to the President/Director relative to the specific personnel changes to be made.
      5. In making personnel recommendations to the President/Director, the factors used in reaching the recommended decisions may include, but are not limited to:
        1. Length of service in the position and/or length of service at the institution or college;
        2. Past written performance appraisals;
        3. Functional needs of the unit; and
        4. Qualifications needed to perform remaining duties of the affected units.
      6. Prior to a final decision by the president/director and notification to the employees and in consultation with the staff of General Counsel, the impact of the recommendations shall be considered in light of non‑discriminatory requirements listed in Section F of this policy.
      7. In the event of one of the above actions, it is permissible to transfer qualified individuals to vacancies at other departments/divisions, or institutions within the System.
      8. Written notification to the affected employees must be given as far in advance of the effective date as possible.
      9. Employees affected by a RIF must receive notification when vacancies occur for like positions at their former campuses within 12 months of the RIF.
    9. Absence from Duty - An employee who is absent from duty for more than three (3) consecutive business days without giving notice to the appointing authority or appropriate manager concerning the reason for such absence and without securing permission to be on leave or who fails to report for duty or to the immediate supervisor or the appointing authority within two (2) business days after the expiration of any authorized leave of absence, absent unusual circumstances causing the employee's absence or preventing the employee's return, is considered as having resigned not in good standing.
  6. Non-Discrimination Requirements
    1. The president or director shall ensure that all appointments, changes of status, compensation, and terminations are all in compliance with Board Policy No. 5:01:02:00 (EEO Affirmative Action) which is incorporated herein by reference and that no person is discriminated against on the basis of race, sex, religion, creed, age (as applicable), disability, sexual orientation, gender identity/expression, status as a covered veteran, genetic information, color, ethnic or national origin, and any other category protected by federal or state rights law in any area of employment.
    2. An annual compliance audit will be conducted by the System Affirmative Action Officer.
  7. Employment Practice Complaints
    1. Upon receipt by an institution of any charge or claim alleging violations of state or federal laws or regulations in any area of employment by any state or federal agency, a copy of the notice of the charge or claim shall immediately be transmitted to the Office of the General Counsel.
    2. The president or director shall forthwith initiate an investigation of the charge, and shall report to the General Counsel the results of the investigation.
    3. The Office of the General Counsel will coordinate and approve all responses to the appropriate agency.
    4. The president or director shall transmit to the General Counsel copies of all correspondence from or to the state or federal agency involved.
    5. All interactions with the state or federal agency shall be coordinated through the Office of the General Counsel.
    6. Internal complaints, charges, or claims concerning matters of employment shall be handled through the established procedures at the institution, subject to approval by the president or director.
    7. In any case where the president or director makes a decision which is adverse to the charge or claim of the person, the president or director shall advise the person of any right of appeal provided by Board policy.
  8. Academic Credentials to comply with T.C.A § 49-7-133
    1. It is a Class A misdemeanor to misrepresent academic credentials.
      1. A person commits the offense of misrepresentation of academic credentials who, knowing that the statement is false and with the intent to secure employment at or admission to an institution of higher education in Tennessee, represents, orally or in writing that such person:
        1. Has successfully completed the required course work for and has been awarded one (1) or more degrees or diplomas from an accredited institution of higher education;
        2. Has successfully completed the required course work for and has been awarded one (1) or more degrees for diplomas from a particular institution of higher education; or
        3. Has successfully completed the required course work for and has been awarded one (1) or more degrees or diplomas in a particular field or specialty from an accredited institution of higher education.
  9. Records and Reporting Requirements
    1. The president or director shall maintain full and complete records on all personnel, including all appointments, compensation, change of status, and termination as specified in Guideline G-070, Disposal of Records.
  10. Exceptions
    1. The Chancellor is authorized to approve exceptions to the provisions of this policy, or to suspend the provisions of this policy as to any or all institutions or colleges when necessary to ensure proper compliance with Board policies, guidelines, and procedures.
Sources: 

TBR Meetings:  June 25, 1976; March 4, 1977; June 26, 1981; September 18, 1981; September 30, 1983; September 16, 1988; March 17, 1989; September 21, 1990; December 7, 1990; March 19, 1993; September 20, 1996; December 6, 1996; June 20, 1997; June 29, 2001; March 15, 2002; December 5, 2003; September 24, 2004; March 30, 2007; September 26, 2008; June 19, 2009 to take effect July 1, 2009; June 24, 2010; Revised September 20, 2013.

Contact: 
Policy Number: 
P-160
Policy/Guideline Area: 
Personnel Guidelines
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

It is the purpose of this guideline to provide procedures for the administration of the Post Retirement Service Program for Tenured Faculty (PRSP). The program consists of a definitive description of its fundamental features and agreement forms for both academic year faculty and fiscal year faculty. To work effectively, the program requires regular communication and interaction between the prospective participant and numerous institutional offices and staff (i.e., president, department head, Academic Affairs, Human Resources, Budget/Business, and Payroll Office staff).

Policy/Guideline: 
  1. Required Documents
    1. The following documents are required for administering the PRSP:
      1. Post-Retirement Service Program for Tenured Faculty (Exhibit 1)
      2. PRSP Agreement (Exhibit 2)
  2. Optional Documents
    1. The following documents may be used by the institutions to facilitate the processing of PRSP agreements from start to finish.
      1. Check List for Processing PRSP Agreements (Exhibit 3)
      2. Request to Participate (Exhibit 4)
      3. Applicant Information (Exhibit 5)
      4. Amendment Form (Exhibit 6)
      5. Notice of Final Approval (Exhibit 7)
      6. Senior Affiliate Faculty Return-to-Service Notification (Exhibit 8)
  3. Approval Process
    1. The Check List for Processing PRSP Agreements (Exhibit 3) provides both faculty and departments with a brief summary (i.e., overview) of the steps required to process agreements for this program. Definitive information about the complete process is provided in the following sections.
    2. Faculty contemplating participation in the PRSP are advised to schedule an appointment with the Human Resources Officer/designee to discuss the retirement process, as well as the application process for participation in the PRSP.
    3. During this meeting, faculty will be given a copy of the program, a sample Request to Participate (Exhibit 4), and the agreement/contract form to review. (Exhibit 2)
      1. Faculty who wish to participate in the Post Retirement Service Program must submit the written Request to Participate through the department head and dean, to the Chief Academic Officer or appropriate Vice President of the institution, as applicable.
    4. Upon receipt of the PRSP Request, appropriate staff will begin a review of the institution’s staffing needs, as well as costs and savings associated with the pending notice.
      1. If the institution elects to proceed with the approval process, the faculty member and department head will discuss the retirement date, re-employment date, length of the agreement, and schedule of services to be performed.
  4. Renewal/Continuation/Change/Termination Options
    1. The program provides no renewal/continuation options, except as provided in Exhibit 1, Section V. Re-employment Obligation.
      1. Therefore, the decision regarding the desired period of the agreement must be agreed upon by both the institution and faculty member prior to the faculty member’s retirement.
      2. The agreement may be modified to accommodate changes in the work assignments and work schedule if mutually agreed upon in writing by both the institution and participant and made a part of the agreement.
  5. Determining Years of Service
    1. For eligibility purposes, please visit the TN Treasury website at http://www.treasury.tn.gov/orp or http://www.treasury.tn.gov/dc/index.html .
  6. Converting Semester Hours to Non-instructional Hours 
    1. While the majority of participants will return solely to teaching positions, some may be assigned non-instructional duties.
    2. Others may have both types of responsibilities. In such instances, it will be necessary to convert semester hours to non-instructional hours.  Listed below is the conversion formula:
      1. 1 day                       = 7.5 hours
      2. 120 days                 = 900 non-instructional hours per 12-month period
      3. 18 hours                 = Maximum instructional hours per 12-month period
      4. 1 semester hour     = 50 non-instructional hours (900 hours/18 hours)
  7. Calculating Hourly Rates for Non-instructional Hours for Participants Whose PRSP Assignment Is Academic Instruction
    1. Rates are based on 1462.5 hours (195 days@ 7.5 hours per day).
    2. The institution will compensate only for time actually worked. (i.e. 1/30 of the employee’s fiscal year salary per credit hour or a percentage proration of the employee’s fiscal year salary equaling no more than 50% if working in a fiscal year capacity under the PRSP.)
    3. All salaries will be converted to an academic year salary for purposes of calculating the PRSP.
      1. Special permission is needed for calculating on a fiscal year basis with justification provided.
  8. Calculating Fiscal Year Salary Rate
    1. Percentage proration of the fiscal year salary may not equal more than 50% of the employee’s fiscal year salary.
  9. Insurance Supplement and Maintenance of Insurance Supplement Records/Data
    1. The amount of the initial insurance supplement is contingent upon the coverage for which the participant is eligible at the time of retirement.
      1. The age of the participant, spouse and/or dependents will significantly affect the plan coverage for which the participant is entitled and, subsequently, the amount of the supplement.
      2. The Human Resources Office will monitor the supplement based on the above factors.
        1. However, it is the participant’s responsibility to inform the Human Resource Office in a timely manner of any other significant changes in status (i.e., marriage, divorce, child no longer qualifies as a dependent , death of spouse and/or dependents, etc.) that would impact plan coverage and/or the amount paid for future insurance supplements.
      3. Changes in the amount of the supplement will become effective with the first payment following receipt of written documentation regarding the change in status.
Sources: 

May 20, 2003 Presidents’ Meeting; February 7, 2006 Presidents’ Meeting; May 21, 2013 Presidents Meeting.

Contact: 
Policy Number: 
P-150
Policy/Guideline Area: 
Personnel Guidelines
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this guideline is to establish the operational guidelines for Benefit in the Event of an Employee Death by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Introduction
    1. The Tennessee Board of Regents has established a procedure to ensure that survivors of deceased employees are promptly informed regarding payment of earned wages and any other benefits to which they may be entitled.
      1. Upon employment, employees will be provided a Designation of Beneficiary form (Exhibit 1) that will facilitate such disbursement in the event of death.
  2. Notification Process
    1. The supervisor or department head of a deceased employee shall notify the Office of Human Resources of the employee's death, date of death, as well as the name of next of kin and/or the executor/administrator of the estate, if known.
    2. Using the procedures outlined on the Survivor Assistance Report (Exhibit 2), the Office of Human Resources shall notify appropriate institutional personnel (Vice President and/or Dean, Payroll, etc.) and agencies/vendors (retirement, insurance, flexible benefits, supplemental annuities, etc.) of the employee's death.
    3. In addition, the Office of Human Resources shall contact the survivor(s) and/or executor/administrator of the estate to advise them of available survivor assistance services and to request documentation required for release of final compensation payments.
  3. Payment of Salary and Other Benefits
    1. The Office of Human Resources shall initiate the appropriate form to terminate the employee. Payment of earned salary and other benefits will be disbursed in accordance with TCA §30-2-103, TCA §8-50-808, and current IRS rules and regulations regarding taxation and social security deductions.
    2. If the employee completed a Beneficiary in the Event of Death Form, payment(s) will be made to the beneficiary(ies), provided a death certificate or physician's statement has been received.
    3. If the employee failed to complete such form, payment of wages will be made in accordance with TCA §30-2-103(b)(1) and (2). Payment for accrued annual leave, sick leave and compensatory time shall be made to the same beneficiary designated for retirement benefits, unless otherwise indicated on the completed form.
Sources: 

May 5, 1998 Presidents Meeting.

Contact: 
Policy Number: 
P-140
Policy/Guideline Area: 
Personnel Guidelines
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this guideline is to establish the operational Guideline for Charitable Organization Deductions by the Tennessee Board of Regents.

Policy/Guideline: 
  1. Introduction
    1. The following guidelines establish a unified charitable giving campaign with a specific solicitation policy, calendar of events, enrollment procedures, contribution methods, requirements and limitations, approval process for addition of new agencies, and reporting procedures. 
      1. All federations, independent agencies and institutions are expected to comply with the provisions of this guideline.
  2. Types of charitable organizations that will be considered
    1. Only organizations which are supported by voluntary contributions and which provide direct and substantial health and human services to Tennessee Board of Regents employees, their families, and other Tennesseans and/or provide substantial financial support to health, human services, and environmental agencies that provide significant services to Tennesseans and have a substantial presence in the State.
  3. Calendar of Events
    1. The Tennessee Board of Regents Charitable Giving Campaign shall be held annually during the period September 1 – November 15. However, the institution/system office has the flexibility to designate campaign dates at any time within this period. Each February, the System Office shall develop a calendar establishing dates on which:
      1. Currently approved federations and independent agencies shall be required to verify their continued eligibility to participate in the TBR Charitable Giving Campaign;
      2. New federations or independent agencies shall be required to submit applications for inclusion in the current campaign year;
      3. Federations, independent agencies, and institutions shall be notified of newly approved agencies and their corresponding deduction code numbers;
      4. Institution/System Office shall appoint current year campaign coordinators;
      5. The System Office shall notify federations and independent agencies of the theme selected for the current year campaign;
      6. Federations and independent agencies shall submit current year campaign materials to the System Office for preliminary review;
      7. Federations and independent agencies will begin contacting institutions regarding campaign dates;
      8. System Office shall provide final approval of campaign materials;
      9. Institution/System Office shall receive campaign materials for distribution.
      10. Institutions shall submit an annual report of contributions to the System Office, federations, and independent agencies.
  4. Responsibilities of the Institution/ System Office
    1. The System Office shall develop and administer a charitable giving solicitation policy governing participating federations, independent agencies, and institutions.
    2. A copy of this policy will be made available to all participating federations, independent agencies, and TBR Campaign Coordinators at each institution at least 30 days prior to the campaign start date.
    3. The System Office shall develop and maintain a master list of eligible participating federations and agencies on its web site.
    4. The System Office shall develop a uniform enrollment pledge form and brochure that lists approved federations, their member agencies, and independent agencies, along with designated TBR code numbers.
    5. Institution/System Office shall distribute campaign materials and provide instructions for employees regarding payroll deduction options and completion of forms.
  5. Responsibilities of Federations and Independent Agencies
    1. Participating federations and independent agencies shall share the costs of providing pledge forms, brochures, shipping, and other incidentals associated with the campaign.
    2. Responsibility for production of annual campaign materials will be rotated among the federations.
    3. Each federation shall pay ¼ of the total cost; independent agencies listed in the current campaign brochure shall pay the final ¼ of cost.
    4. Federations shall provide regional training sessions for campus coordinators and shall appoint a liaison for the institution/System Office.
  6. Requirements and Limitations
    1. Organizations with current payroll deductions are "grandfathered" and will not require additional approval from the System Office. (Exhibit 1) However, such approval does not eliminate annual verification of continued eligibility and current contact information. Employees will be limited to three charitable organization deductions. 
  7. Process to Obtain Approval as a Qualified Agency and Establish Payroll Deductions
    1. New organizations shall contact the System Office to obtain an application form and shall be required to submit all required documentation in accordance with the date specified in the Calendar of Events. The System Office shall notify agencies of its approval/disapproval within 30 days of receipt of the application.
    2. Newly approved organizations and code numbers will be added to the master list on the date specified in the Calendar of Events.
    3. The System Office will establish a block of deduction codes for charitable organizations. A specific range will be assigned for agencies that are approved for System-wide deductions. The remainder of the codes may be assigned at the discretion of the institution/System Office.
  8. Enrollment
    1. Current employees may designate pledges only during the annual campaign period.
    2. New employees shall be offered the opportunity to authorize charitable organization deductions during the first full calendar month of service. Such employees shall use TBR’s current campaign form and brochure to make designations.
    3. Names and addresses of donors shall not be supplied to federations or independent agencies unless specified by the donor on the acknowledgement section of the pledge form.
  9. Methods of Payroll Deduction
    1. Employees may select a one-time lump sum deduction, which will be taken out of the paycheck designated by the institution/System Office,or
    2. Employees may select a monthly deduction, with the date of the first deduction being designated by the institution/System Office.
  10. Reporting Procedures
    1. Final reports containing the total gross pledged designations for each federation and independent agency shall be submitted to the System Office in accordance with the Calendar of Events. (Exhibit 2.)
    2. In addition, final reports and accompanying pledge forms shall be provided to each federation and independent agency by the date established on the Calendar of Events in order for each federation to provide necessary data to its participating agencies regarding distribution of designated funds. 
Sources: 

Source: May 8, 1995 presidents meeting; May 20, 2003 presidents meeting; November 11, 2014 presidents meeting.

Contact: 

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