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Office of General Counsel Policies & Guidelines

Policy Number: 
1:09:00:00
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of this policy is to define and promote diversity throughout the Tennessee Board of Regents System.

Policy/Guideline: 
  1. Introduction
    1. It is the intent of the Tennessee Board of Regents that the Board and all of the institutions within the Tennessee Board of Regents System will model and promote diversity at all levels and in all sectors and as a result of that diversity will foster environments of equity and inclusive excellence.
    2. Diversity can be broadly defined as differences. When applied within the context of education and the educational community, diversity represents the inclusion and support of groups of people with a variety of human characteristics that go beyond the legally protected classes of race, sex, age, religion, national origin, disability status, veteran status – to include, but not be limited to, other categories such as socio-economic status, sexual orientation, first generation college status, urban or rural upbringing – and other personal characteristics that shape an individual’s identity and life experience in a substantive way.
  2. Statement of Policy
    1. The Board of Regents specifically finds that diversity of students, faculty, administrators and staff is a crucial element of the educational process and reaffirms its commitment to enhancing education through affirmative actions to increase diversity at all levels.
    2. The creation and cultivation of programs, policies, and practices designed to increase and sustain diversity is essential in order to be responsive to:
      1. Shifting demographics;
      2. The need to prepare students to succeed in a global and interconnected world;
      3. The need to utilize the talents, experiences, and ideas of a broad group of people in order to achieve excellence;
      4. The needs of the corporate, civic, and educational environs for culturally competent individuals, and;
      5. The unique mission and vision of the Tennessee Board of Regents and its institutions.
  3. Administrative Responsibility
    1. Duties of the Chancellor and/or Vice Chancellor for Organizational Effectiveness and Strategic Initiatives
      1. The Chancellor shall ensure that the following actions occur:
        1. The Chancellor will annually evaluate each president/director on their progress toward achieving their institutions’ diversity plan goals and objectives and their participation in Board approved access and diversity initiatives.
      2. The Vice Chancellor for Organizational Effectiveness and Strategic Initiatives will do the following:
        1. Review and evaluate the success of the diversity plans within the Central Office and on each campus, along with campus presidents/directors, and make recommendations to the Chancellor concerning those plans;
        2. Administer and review the utilization of access and diversity funds by the Central Office and the campuses and make recommendations to the Chancellor concerning the use of those funds.
    2. Duties of the President/Director
      1. Each institution President or Director shall be responsible for the development and implementation of the diversity program on each campus.
      2. In carrying out this responsibility, the President or Director shall comply with the following:
        1. Provide positive and assertive leadership in the development and implementation of the campus diversity plan and ensure that appropriate attention is devoted to the plan and initiatives in staff and faculty meetings.
        2. Ensure that campus diversity plans are reviewed annually and progress towards meeting the goals and objectives is assessed.
        3. Appoint a campus committee with broad campus representation.
      3. The charge of the committee should include, but not be limited to:
        1. Gathering and reporting data.
        2. Recommending diversity related initiatives.
        3. Reviewing and assessing progress of diversity initiatives  
Sources: 

TBR Meeting June 19, 2009 

Policy Number: 
1:08:00:00
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office, Board Members
Purpose: 

The purpose of this policy is to establish the parameters for guidelines that will provide for creation and maintenance of a secure systems infrastructure, protect the confidentiality and integrity of electronic information and the privacy of system users, and ensure compliance with applicable state and federal laws.

Policy/Guideline: 
  1. General Policy
    1. The Board of Regents shall rely on the Chief Executive Officers of the System and its institutions and the System and institutional chief information officers to develop, adapt, and administer the information technology resources of the System utilizing methods and procedures that promote operational efficiency and the advancement of learning.
    2. Guidelines shall be developed that articulate system-wide standards, procedures, and practices for key information technology processes.
      1. The System shall review industry best practices and, to the degree appropriate and applicable, incorporate best practice into information technology guidelines.
        1. It is the Board’s expectation that information technology guidelines shall address, but not be limited to, protection of personally identifiable information, acceptable use of system information technology resources, password requirements, timeliness of system maintenance activities, and access controls.
        2. Leadership in the development of system wide information technology guidelines shall be the responsibility of the System’s chief information officer.
  2. Supplementary Institutional Policies and Regulations
    1. TBR Institutions are authorized and encouraged to develop institution-specific policies and regulations relating to the use of information technology resources, provided such policies and regulations are consistent with Federal and State law and with this and other policies and guidelines of the Tennessee Board of Regents.
      1. In particular, institutions may develop policies and guidelines that are more stringent, but not less stringent, than the system policies and guidelines (e.g. required password character length may be longer than that stated in the system-level guideline but not less).
  3. Conformance with State Policies
    1. TBR policies and guidelines regarding information technology are intended to conform to best practices for institutions of higher education.
    2. To the extent practicable, the policies and guidelines should also align with the State of Tennessee’s information technology policies and guidelines established by the Office of Information Resources.
  4. Applicability
    1. Unless otherwise specified therein, this policy and associated guidelines shall apply to all persons and organizations accessing or using the information technology facilities and resources, including databases, owned, leased or administered by the TBR, including, but not limited to, all employees and contractors of the Tennessee Board of Regents and its constituent Institutions, and to all students enrolled at TBR Institutions.
Sources: 

TBR Board Meeting June 28, 2002; March 30, 2007; Complete revision, Board Meeting, September 26, 2014.

Policy Number: 
1:06:00:05
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office
Purpose: 

The purpose of these procedures is to provide a basis for uniform procedures to be used by institutions governed by the Tennessee Board of Regents, for the hearing of cases which may be subject to T.C.A. § 4-5-101 et seq.

Definitions: 
  • Person as used herein includes both individuals and organizations.
Policy/Guideline: 
  1. Scope
    1. These procedures may be applicable in cases involving:
      1. Suspension of employees for cause, or termination of employees when the termination is in violation of the employee's contract, e.g., termination prior to the expiration of the contract term;
      2. Suspension or expulsion of a student, or revocation of recognition of a student organization, for misconduct or disciplinary reasons;
      3. Support staff employees who are demoted, suspended without pay, or terminated and elect to pursue a UAPA hearing instead of an employee panel hearing as the final step of the grievance process; and
      4. Such other cases as may be designated by the Chancellor of the State Board of Regents or president or director of the institution.
    2. These procedures are not applicable to termination of faculty for adequate cause which are subject to the provisions of T.C.A. § 49-8-302.
    3. Prior to the initiation of any hearing pursuant to these procedures, the institution shall contact the Office of General Counsel for advice on the applicability of these procedures, and for possible assistance in the hearing of the case.
  2. Authority of the President and Director
    1. The president or director of each institution is responsible for implementation of these procedures, and has the final decision making authority in any proceeding subject to these procedures.
    2. The authority and responsibilities of the president and director set forth herein may be delegated by him or her to individual designees who are members of the staff of the institution.
    3. All references herein to the president or director include any designee of the president or director.
    4. The president or director shall be responsible for any action taken under a delegation of his or her authority.
  3. Hearing Directors
    1. The president or director of each institution shall designate a member of the staff to be responsible for the coordination and administration of these procedures, who shall hereinafter be referred to as the "director" but who may be given any appropriate title as determined by the president or institution director.
    2. The institution president or director may designate as many assistants to the "director" as may be necessary to implement these procedures, and may authorize each assistant to exercise the same rules and responsibilities as the "director".
    3. The "director" shall investigate all cases which may be subject to these procedures, and may recommend to the institutions president or director whether a hearing shall be commenced in any case.
    4. In all cases which proceed to a hearing under these procedures, the "director" shall be responsible for notifying the Office of General Counsel of the case, initiating the hearing procedures, sending all appropriate notices, making all arrangements for the hearing and marshaling and presenting evidence at the hearing except in cases where the institution will be represented by a member of the staff of the Office of General Counsel or any other designated person.
    5. The "director" shall provide all parties with a copy of these procedures.
  4. Selection of Hearing Officer or Hearing Committee
    1. In any case where a hearing pursuant to these procedures is required, the institution president or director shall determine, in his or her discretion, whether the hearing shall be held before a hearing officer or a hearing committee.
      1. Hearing Officers
        1. Hearing officers shall normally be appointed by the president or director from the administrative or professional staff of the institution.
        2. Upon request from the president or director, the Chancellor may appoint a hearing officer in any case, either from within or without the institution.
        3. Contested cases may also be conducted by an administrative judge from the Administrative Procedures Division of the Office of the Secretary of State.
        4. An institution may submit a request for an administrative judge to the Office of General Counsel.
      2. Hearing Committee
        1. A hearing committee may be appointed by the president or director from the administrative, professional staff and/or appropriate employees or students at the institution.
        2. The person appointed as chairperson of the committee shall be deemed to be the hearing officer for purposes of presiding at the hearing.
    2.  A "director" may not be appointed to serve as a hearing officer.
  5. Preliminary Conference
    1. Whenever practical the "director" should hold a preliminary conference with the person* involved and advise him or her orally in his or her presence of the reason for the proposed action.
    2. If the action to be taken is such that these procedures are or may be applicable; the person shall be advised of the opportunity to elect the procedures pursuant to which a hearing will be provided as hereinafter set forth.
    3. As a result of any preliminary conference, any person who may otherwise be entitled to a hearing pursuant to the act may waive such a hearing and accept the decision proposed by the institution.
    4. A waiver may be made verbally or in writing, and if made in writing, it should be signed by the employee and shall state the matter involved and the decision acquiesced in, and should expressly state that the procedures for contested cases under the act are knowingly and voluntarily waived by the person.
    5. Following a preliminary conference, or prior to commencement of any hearing under these procedures, where any issues of fact or cause and effect are contested by the person, he or she shall be advised of hearing procedures available under the Act and of the established institutional procedures available for resolution of the matter in question, and shall be given the opportunity to elect the procedures pursuant to which the matter will be heard.
    6. Where the person elects to proceed under the established institutional procedures for resolution of the matter, the election should be in writing and signed by the person, and should expressly waive the procedures available under the Act as to the matter in question.
  6. Suspensions Pending a Hearing
    1. A student or employee charged with violations of policies, rules or regulations of the institution may be suspended by the president or director pending a hearing subject to these or alternate procedures when the person's presence poses a danger to persons or property or a threat of destruction to the academic or operational processes of the institution.
    2. In any case of immediate suspension, the person shall be given an opportunity at the time of the decision or immediately thereafter to contest the suspension, and if there are disputed issues of fact or cause and effect, the person shall be provided a hearing on the suspension as soon as possible at which the person may cross-examine his or her accuser, present witnesses on his or her behalf, and be represented by an attorney.
    3. Thereafter, whether the suspension is upheld or revoked, the case shall proceed pursuant to these procedures.
  7. Notice of Hearing and Response
    1. Prior to the hearing all parties shall be afforded reasonable notice.
    2. This notice shall include:
      1. A statement of the time, place, nature of the hearing, and the right to be represented by counsel.
      2. A statement of the legal authority and jurisdiction under which the hearing is being held, including a reference to the particular sections of the statute or rules involved; and
      3. A short and plain statement of the matters asserted.
    3. If the institution or other party is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to a statement of the issues involved.
    4. Thereafter, upon timely written application a more definite and detailed statement shall be furnished ten (10) days prior to the time set for the hearing.
    5. The party charged shall respond in writing within five (5) days (excluding Saturdays and Sundays) of the service of the notice of hearing which response may generally admit or deny all allegations, or may admit in part and deny in part the allegations made in the notice, and may set forth relevant issues of fact.
    6. If the party fails to respond he or she will be subject to the default provisions found in Section XIII.
    7. If the party charged elects to be represented by an attorney at the hearing, the response must so indicate in writing and the name and office address of the attorney must be provided.
    8. Failure to provide written notice of the name and address of counsel in the response may result in the continuance of the hearing, if requested by the director.
  8.  Time for Hearings
    1. Hearings shall normally be held within twenty (20) calendar days of the date of the notice of hearing.
    2. Extensions of time may be granted upon motion by either party in the event pre-hearing discovery will not be completed by the designated time of the hearing, provided that the parties have proceeded with discovery with due diligence.
    3. Other than as required for the convenience of the hearing officer, extensions of time for hearings for reasons other than discovery shall be authorized only for good and compelling reasons.
  9. Pre-Hearing Conference
    1. In any case set for hearing the hearing officer assigned to hear the case upon their own motion or upon the motion of one of the parties or their authorized representative, may direct the parties and/or the attorneys for the parties to appear before him or her for a pre-hearing conference.
    2. During the pre-hearing conference the parties will consider the following:
      1. The simplification of issues;
      2. The necessity or desirability of amendments to the pleadings;
      3. The possibility of obtaining admissions of fact and of documents which will avoid unnecessary proof;
      4. The limitation of the number of witnesses;
      5. Such other matters as may aid in the disposition of the case.
    3. The hearing officer shall make an order which recites the action taken at the conference, the amendments allowed to the pleadings, and the agreements made by the parties as to any of the matters considered, and which limits the issues for hearing to those not disposed of by admissions or agreements of the parties, and such order when entered controls the subsequent course of the action, unless modified at the hearing to prevent injustice.
    4. Upon reasonable notice to all parties the hearing officer may convene a hearing or convert a pre-hearing conference to a hearing, to be conducted by the hearing officer sitting alone, to consider argument and/or evidence on any question of law.
    5. If, a pre-hearing conference is not held, the hearing officer may issue a pre-hearing order, based on the pleadings, to regulate the conduct of the proceedings.
  10. Procedure in Preparation for Hearing
    1.  Subpoenas and Discovery
      1. The hearing officer, at the request of any party shall issue subpoenas, effect discovery, and issue protective orders. The hearing officer shall decide any objection relating to discovery under these rules or the Tennessee Rules of Civil Procedure. Witnesses under subpoena shall be entitled to the same fees as are now or may hereafter be provided for witnesses in civil actions in the circuit court and, unless otherwise provided by law or by action of the institution, the party requesting the subpoenas shall bear the cost of paying fees to the witnesses subpoenaed.
      2. All requests for subpoenas and all depositions and interrogatories shall be limited to matters which are not privileged and which are relevant to the proceeding. Upon motion by a party or by a person from whom discovery is sought, and for good cause shown, the hearing officer may enter any order which justice requires to protect a person or party from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following: (I) that the discovery not be had; (II) that the discovery may be had only on specified terms and conditions; (III) that the discovery may be had only by an alternative method; (IV) that the scope of discovery be limited to certain matters; or (V) that information be submitted under seal to be opened only by orders of the hearing officer.
    2. Depositions and Interrogatories
      1. Any party to the proceeding may take depositions of parties or witnesses or may serve interrogatories upon any party, within or without the state, in the same manner as provided by law for the taking of depositions and interrogatories in a civil action.
    3.  Admissions
      1. Any party to the proceeding may serve upon any other party a written request for the admission by the latter of the genuineness of any relevant documents described in and exhibited to the request or of the truth of any relevant matters of fact set forth in the request.
      2. Each of the matters of which an admission is requested shall be deemed admitted unless within a period designed in the request, not less than thirty (30) calendar days after service thereof, or within such shorter or longer time as the hearing officer may allow on motion and notice, the party to whom the request is directed serves upon the party requesting the admission either;
        1. A sworn statement denying specifically the matters of which an admission is requested or setting forth in detail the reasons why he or she cannot truthfully admit or deny those matters or,
        2. Written objections on the ground that some or all of the requested admissions are privileged or irrelevant or that the request is otherwise improper in whole or in part, together with a notice of hearing the objections at the earliest practicable time. If written objections to a part of the request are made, the remainder of the request shall be answered within the period designated. A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party deny only part or a qualification of a matter of which an admission is requested, he or she shall specify so much of it as is true and deny only the remainder.
    4. Review of Institutional Files
      1. Any party to a contested case shall have the right to inspect the files of the institution with respect to the matter and to copy there from, except that records may not be inspected the confidentiality of which is protected by law.
  11.  Evidence
    1. The institution shall admit and give probative effect to evidence admissible in a court and when necessary to ascertain facts not reasonably susceptible to proof under the rules of court, evidence not admissible there under may be admitted if it is of a type commonly relied upon by reasonably prudent men in the conduct of their affairs.
    2. The institution shall give effect to the rules of privilege recognized by law and to Board of Regents rules protecting the confidentiality of certain records and shall exclude evidence which in its judgment is irrelevant, immaterial, or unduly repetitious.
    3. At any time not less than ten (10) days prior to a hearing or a continued hearing, any party shall deliver to the opposing party a copy of any affidavit which he proposes to introduce in evidence, together with a notice in the form provided in subdivision H. which follows.
    4. Unless the opposing party within seven (7) days after delivery, delivers to the proponent a request to cross-examine an affiant, his right to cross-examination of such affiant is waived and the affidavit, if introduced in evidence, shall be given the same effect as if the affiant had testified orally.
    5. If an opportunity to cross-examine an affiant is not afforded after a proper request is made as herein provided, the affidavit shall not be admitted into evidence.
    6. Delivery for purposes of this section shall mean actual receipt.
    7. The hearing officer may admit affidavits not submitted in accordance with this section where necessary to prevent injustice.
    8. The notice referred to in subdivision C. shall contain the following information and be substantially in the following form:
      1. The accompanying affidavit of (here insert name of affiant) will be introduced as evidence at the hearing in (here insert title of proceeding). (Here insert name of affiant) will not be called to testify orally and you will not be entitled to question him unless you notify (here insert name of the proponent or his attorney) at (here insert address) that you wish to cross-examine him. To be effective your request must be mailed or delivered to (here insert name of proponent or his attorney) on or before (here insert a date seven (7) days after the date of mailing or delivering the affidavit to the opposing party).
    9. Documentary evidence otherwise admissible may be received in the form of copies or excerpts, or by incorporation by reference to material already on file with the agency. Upon request, parties shall be given an opportunity to compare the copy with the original, if reasonably available.
    10. Official notice may be taken of:
      1. Any fact that could be judicially introduced in the courts of this state;
      2. The record of other proceedings before the agency;
      3. Technical or scientific matters within the institution's specialized knowledge; and
      4. Codes or standards that have been adopted by an agency of the United States, of this state or any other state, or by a nationally recognized organization or association.
    11. Parties must be notified before or during the hearing, or before the issuance of any initial or final order that is based in whole or in part on facts or material noticed, of the specific facts or material noticed and the source thereof, including any staff memoranda and data, and be afforded an opportunity to contest and rebut the facts or material so noticed.
  12. Pleadings, Briefs, Motions Service
    1. The hearing officer, at appropriate stages of the proceedings, shall give all parties full opportunity to file pleadings, motions, objections and offers of settlement.
    2. The hearing officer, at appropriate stages of the proceedings, may give all parties full opportunity to file briefs, proposed findings of fact and conclusions of law, and proposed initial or final orders.
    3.  A party shall serve copies of any filed item on all parties, by mail or any other means prescribed by the institution.
  13. Default
    1. If a party fails to attend or participate in a pre-hearing conference, hearing or other stage of a hearing, the hearing officer, hearing the case alone or with committee may hold the party in default and either adjourn the proceedings or conduct them without the participation of that party, having due regard for the interest of justice and the orderly and prompt conduct of the proceedings.
    2. If the proceedings are conducted without the participation of the party in default the hearing officer, hearing the case alone shall include in the final order a written notice of default, otherwise, the Committee sitting with the hearing officer, shall include such written notice of default in the final order.
    3. If the proceedings are adjourned and not conducted the hearing officer, hearing the case alone, may render an initial default order, otherwise the Committee sitting with the hearing officer, may render a final default order.
    4. All default orders and notices of default in default orders shall include a written statement of the grounds for the default.
    5. A party may petition to have a default set aside by filing timely petition for reconsideration.
    6. If a party fails to file a timely petition for reconsideration or the petition is not granted, the hearing officer, sitting alone, or the Committee sitting with the hearing officer, shall conduct any further proceedings necessary to complete the contested case without the participation of the defaulting party and shall determine all issues in the adjudication, including those affecting the defaulting party.
  14. Intervention
    1. The hearing officer shall grant one or more petitions for intervention if:
      1. The petition is submitted in writing to the hearing officer, with copies mailed to all parties named in the notice of the hearing, at least seven (7) days before the hearing;
      2. The petition states facts demonstrating that the petitioner's legal right, duties, privileges, immunities, or other legal interest may be determined in the proceeding or that the petitioner qualifies as an intervenor under any provision of law; and
      3. The hearing officer determines that the interests of justice and the orderly and prompt conduct of the proceedings shall not be impaired by allowing the intervention.
    2. The Committee may grant one or more petitions for intervention at any time, upon determining that the intervention sought is in the interest of justice and shall not impair the orderly and prompt conduct of the proceedings.
    3. If a petitioner qualifies for intervention, the hearing officer may impose conditions upon the intervenor's participation in the proceedings, either at the time that intervention is granted or at any subsequent time.
    4. The hearing officer or Committee, at least twenty-four (24) hours before the hearing, shall render an order granting or denying each pending petition for intervention, specifying any conditions, and briefly stating the reasons for the order.
    5. The hearing officer or Committee may modify the order at any time, stating the reasons for the modification.
    6. The hearing officer or Committee shall promptly give notice of an order granting, denying, or modifying intervention to the petitioner for intervention and to all parties.
  15. Disqualification and Substitution Hearing Officers and Committee Members
    1. Any hearing officer or Committee member shall be subject to disqualification for bias, prejudice, interest, or any other cause provided in this policy or for any cause for which a judge may be disqualified.
    2. Any party may petition for the disqualification of hearing officer or a Committee member promptly after receipt of notice indicating that the individual may serve or, if later, promptly upon discovering facts establishing grounds for disqualification.
    3. A party petitioning for the disqualification of an individual shall not be allowed to question the individual concerning the grounds for disqualification at the hearing or by deposition unless ordered by the hearing officer conducting the hearing and agreed to by the individual.
    4. The individual whose disqualification is requested shall determine whether to grant the petition, stating facts and reasons for the determination.
    5. If a substitute is required for an individual who becomes unavailable as a result of disqualification or any other reason, the substitute shall be appointed by the president or director of the institution.
    6. Any action taken by a duly appointed substitute for an unavailable individual shall be as effective as if taken by the unavailable individual.
  16. Separation of Functions
    1. A person who has served as an investigator, prosecutor or advocate in a case may not serve as a hearing officer or assist or advise a hearing officer in the same proceeding.
    2. A person who is subject to the authority, direction, or discretion of one who has served as investigator, prosecutor, or advocate in a contested case may not serve as a hearing officer or assist or advise a hearing officer in the same proceeding.
    3. A person who has participated in a determination of probable cause or other equivalent preliminary determination in a case may not serve as a hearing officer or assist or advise a hearing officer in the same proceeding.
    4. A person may serve as a hearing officer at successive stages of the same case, unless a party demonstrates grounds for disqualification.
    5. A person who has participated in a determination of probable cause or other equivalent preliminary determination or participated or made a decision which is on administrative appeal in a contested case may serve as a Committee member in the case where authorized by law and not subject to the disqualification or other cause provided in this chapter.
  17. Ex parte Communications
    1. Unless required for the disposition of ex parte matters specifically authorized by statute a hearing officer or institution Committee member serving in a case proceeding may not communicate, directly or indirectly, regarding any issue in the proceeding, while the proceeding is pending, with any person without notice and opportunity for all parties to participate in the communication.
    2. Notwithstanding subsection A., a hearing officer or institution representative may communicate with: other institution employees regarding a pending matter or may receive aid from staff assistants, members of the attorney general's staff, or a licensed attorney, if such persons do not receive ex parte communications of a type that the hearing officer or institution representative would be prohibited from receiving; and do not furnish, augment, diminish or modify the evidence in the record.
    3. Unless required for the disposition of ex parte matters specifically authorized by statute, no party to a contested case, and no other person may communicate, directly or indirectly, in connection with any issue in that proceeding, while the proceeding is pending, with any person serving as a hearing officer or Committee member without notice and opportunity for all parties to participate in the communication.
    4. If, before serving as a hearing officer or Committee member in a case, a person receives an ex parte communication of a type that may not properly be received while serving, the person, promptly after starting to serve, shall disclose the communication in the manner prescribed in subsection E. which follows.
    5. A judge, hearing officer, or Committee member who receives an ex parte communication in violation of this section shall place on the record of the pending matter all written communications received, all written responses to the communications, and a memorandum stating the substance of all oral communications received, all responses made, and the identity of each person from whom the person received an ex parte communication, and advise all parties that these matters have been placed on the record.
    6. Any party desiring to rebut the ex parte communication shall be allowed to do so, upon requesting the opportunity for rebuttal within ten (10) days after notice of the communication.
    7. A hearing officer or Committee member who receives an ex parte communication in violation of this section may be disqualified as previously outlined.
    8. The institution shall, and any party may, report any willful violation of this section to appropriate authorities for any disciplinary proceedings provided by law.
  18. Representation at the Hearing
    1. Any party may participate in the hearing in person, or if the party is an organization by a duly authorized representative.
    2. Whether or not participating in person, any party may be advised and represented at the party's own expense by counsel, or unless prohibited by any provision of law, other representative.
  19. Conduct of the Hearing
    1. In the hearing of any case the proceedings or any part thereof:
      1. Shall be conducted in the presence of the requisite number of members of the institution and in the presence of a hearing officer; or
      2. Shall be conducted by a hearing officer sitting alone.
    2. It shall be the duty of the hearing officer to preside at the hearing, rule on questions of the admissibility of evidence, swear witnesses, advise the Committee members as to the law of the case, and ensure that the proceedings are carried out in accordance with the applicable law and the rules of the Tennessee Board of Regents.
    3. A hearing officer shall, upon his own motion, or timely motion of a party, decide any procedural question of law.
    4. The hearing officer shall regulate the course of the proceedings, in conformity with the pre-hearing order, if any.
    5. Where more than one party is charged with offenses arising out of a single occurrence or out of multiple connected occurrences, a consolidated hearing will be held for all parties charged; provided that upon timely motion and for good cause shown the officer may in his or her discretion grant a separate hearing for any party or parties.
    6. A tape recording but not a transcription will be made of the hearing. The party charged may request that the recording be transcribed at his or her own expense, or the recording may be transcribed by the institution, in which case any party shall be provided copies upon payment of a reasonable compensatory fee.
    7. No tape recording by the party charged or by other persons at the hearing will be permitted, but the party charged, at his or her own expense, may furnish a certified court reporter provided that a copy of the transcript is promptly furnished to the director at no cost.
    8. The hearing shall be open to public observation pursuant to the provisions of T.C.A. § 8-44-101 et seq.
  20. Order
    1. The institution renders an order in each case.
    2. The order shall be rendered in writing within ninety (90) days after conclusion of the hearing or after submission to proposed findings unless such period is waived or extended with the written consent of all parties or for good cause shown.
    3. If an order is adverse to the party charged it shall in addition to being in writing, include findings of fact, conclusions of law, and reasons for the ultimate decision.
    4. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.
    5. Parties shall be notified in writing either personally or by mail of the decision and such notice shall include a statement of the party's right to judicial review.
    6. A copy of the decision shall be delivered or mailed forthwith to each party or to his or her attorney of record.
    7. The order made either by the hearing officer (or committee by majority vote) may be reviewed by the president or director, in the discretion of the president or director.
    8. If the decision is reviewed by the president or director based upon the findings of the hearing officer (or committee), a final decision will not be made until the president or director has reviewed the entire record of the proceeding.
  21. Review of Order
    1. A petition for appeal from an initial order shall be filed with the institution or with any person designated for such purpose by rule of the institution, within ten (10) days after entry of the initial order.
    2. The ten-day period for a party to file a petition for appeal or for the president or director to give notice of its intention to review an initial order on his/her own motion shall be tolled by the submission of a timely petition for reconsideration of the initial order and a new ten-day period shall start to run upon disposition of the petition for reconsideration.
    3. If an initial order is subject both to a timely petition for reconsideration and to a petition for appeal or to review by the institution on its own motion, the petition for reconsideration shall be disposed of first, unless the institution or college determines that action on the petition for reconsideration has been unreasonably delayed.
    4. The petition for appeal shall state its basis.
    5. If the president or director on its own motion gives notice of its intent to review an initial order, the president or director shall identify the issues that it intends to review.
    6. The person reviewing an initial order shall exercise all the decision-making power that the president or director would have had to render a final order had the president or director presided over the hearing, except to the extent that the issue subject to review are limited by rule or statute or by Tennessee Board of Regents policies upon notice to all parties.
    7. The president or director shall afford each party an opportunity to present briefs and may afford each party an opportunity to present oral argument.
    8. A final order or an order remanding the matter for further proceedings pursuant to this section, shall be rendered and entered in writing within sixty (60) days after receipt of any briefs and oral argument, unless the period is waived or extended with the written consent of all parties or for good cause shown.
    9. The institution will deliver copies of the final order or order remanding the matter for further proceedings to each party and to the hearing officer who conducted the case.
  22. Stay
    1. A party may submit to the institution a petition for stay of effectiveness of an initial or final order within seven (7) days after its entry unless otherwise provided by statute or stated in the initial or final order.
    2. The president or director may take action on the petition for stay, either before or after the effective date of the initial or final order.
  23. Effectiveness of New Order
    1. Unless a later date is stated in an initial or final order, or a stay is granted, an initial or final order shall become effective upon entry of the initial or final order.
    2. All initial and final orders shall state when the order is entered and effective.
    3. If the institution has utilized an administrative judge from the Administrative Procedures Division of the Office of the Secretary of State, the initial or final order shall not be deemed entered until the order has been filed with the Administrative Procedures Division.
    4. The president or director shall designate which officials or employees may sign final orders.
    5. A party may not be required to comply with a final order unless the final order has been mailed to the last known address of the party or unless the party has actual knowledge of the final order.
    6. A nonparty may not be required to comply with a final order unless the institution has made the final order available for public inspection and copying or unless the nonparty has actual knowledge of the final order.
    7. This section shall not preclude any president or director from taking immediate action to protect the public interest.
  24. Record
    1. The institution shall maintain an official record of each case under this policy. The record shall be maintained for a period of time not less than three (3) years.
    2. This record shall consist of:
      1. Notice of all proceedings;
      2. Any pre-hearing order;
      3. Any motions, pleadings, briefs, petitions, requests, and intermediate rulings;
      4. Evidence received or considered;
      5. A statement of matters officially noticed;
      6. Offers of proof and objections and rulings thereon;
      7. Proposed findings, requested orders, and exceptions;
      8. The tape recording, stenographic notes or symbols, or transcript of the hearing;
      9. Any final order, initial order, or order on reconsideration;
      10. Staff memoranda or data submitted to the institution or college unless prepared and submitted by personal assistants;
      11. Matters placed on the record after an ex parte communication.
    3. A record (which may consist of a tape or similar electronic recording) shall be made of all oral proceedings.
    4. Such record or any part thereof shall be transcribed on request of any party at his expense or may be transcribed by the institution at its expense.
    5. If the institution elects to transcribe the proceedings, any party shall be provided copies of the transcript upon payment to the institution of a reasonable compensatory fee.
    6. Except to the extent that this chapter or another statute provides otherwise, the institution's record shall constitute the exclusive basis for institution action in adjudicative proceedings under this policy, and for judicial review thereof.
  25. Judicial Review
    1. A person who is aggrieved by a final decision in a contested case is entitled to judicial review.
Sources: 

TBR Meetings, June 30, 1978; September 30, 1983; December 14, 1984; March 15, 2002

Policy Number: 
1:05:00:00
Topics Outline: 
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office, Board Members
Purpose: 

The purpose of this policy is to establish the relationship between the Tennessee Board of Regents and the Tennessee Higher Education Commission.

Policy/Guideline: 
  1. Systems
    1. Tennessee has two higher education systems, one under the Board of Trustees of The University of Tennessee, the other under the Board of Regents.
    2. Coordination between the two systems is furnished by the Higher Education Commission for: budgetary and capital outlay requests; state master plan for higher education; need and location of new higher education institutions; and approval of new academic and degree programs in both systems.
    3. A copy of the legislation establishing the Tennessee Higher Education Commission is included in Resource Document # 5.
Sources: 

Tennessee Code Annotated Title 49, Chapter 42

Policy Number: 
1:04:02:00
Topics Outline: 
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office, Board Members
Purpose: 

The purpose of this policy is the establishment of procedures for the evaluation of the Chancellor.

Policy/Guideline: 
  1. Evaluation
    1. Consistent with national standards, the Board will formally evaluate the Chancellor every two years beginning with an evaluation in 2008.
    2. The evaluation will be conducted by a committee of the Board of Regents appointed by the Vice-chair in such number [no less than four (4)] as may be deemed appropriate by the Vice-chair, which will report its findings to the Board by the September Board meeting.
    3. Notwithstanding the above, in any year in which a full, formal evaluation of the Chancellor is not scheduled, any five (5) members of the Board may request such a formal evaluation by written request submitted to the Vice-chair, and the Vice-chair shall thereupon charge an evaluation committee, appointed in the manner set forth above, with the responsibility of conducting such an in-depth, formal evaluation and reporting its findings to the Board by the September meeting of the Board or at such other time as specified by the Vice-chair.
Sources: 

TBR Board Meeting June 11, 2004; December 6, 2007 Board Meeting

Policy Number: 
1:03:10:00
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

To establish effective means whereby students and faculty can participate in and make recommendations concerning the formation of policies and programs relating to student and academic affairs.

Policy/Guideline: 
  1. Student and Faculty Participation in Development of Campus Policies and Programs
    1. The Tennessee Board of Regents recognizes that students and faculty are vital components of the campus community which must effectively contribute to the progress and general welfare of the institutions governed by the Board.
    2. Students should have a primary interest in matters of student life, including discipline and housing, and faculty should have a primary interest in academic affairs, including curriculum, program changes and development, and admission and graduation requirements. Furthermore, both students and faculty have a direct interest in both student and academic affairs.
    3. Therefore, it is the policy of the Board that each institution shall establish effective means whereby students and faculty can participate in and make recommendations concerning the formation of policies and programs relating to student and academic affairs.
    4.  Due to differences in sizes of the various institutions, and existing methods at some institutions which may effectively provide for faculty and student participation, each institution shall determine and make known the method and degree of student and faculty involvement in specific areas of institutional decision-making, subject to the approval of the Chancellor.
Sources: 

TBR Meetings, June 20, 1975; September 30, 1983; June 19, 1998

Policy Number: 
1:03:02:50
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The purpose of this policy is to provide a uniform basis upon which the Universities, Community Colleges, and Colleges of Applied Technology governed by the Tennessee Board of Regents (“TBR” or “the Board”) can regulate and facilitate the use of campus property and facilities.  It is intended to operate consistent with each institution’s educational purpose and mission, through the implementation of reasonable, content/viewpoint neutral regulations.  This policy, and all campus policies developed in compliance with the policy, shall be implemented and construed so as to ensure no undue disruption of that mission, promote an educational atmosphere on campus; prevent commercial exploitation of students; preserve residential tranquility; and prevent use of campus property and facilities contrary to federal, state or local law, regulation, or the rules and policies of the TBR, and its institutions.

In establishing this policy, and the related institutional policies, the TBR recognizes the importance to the educational process and environment for persons affiliated with the respective institutions including officially recognized student organizations and other groups to have reasonable access to, and use of, the educational facilities on their respective campuses, to hear various views.  Simultaneously, the TBR also makes clear that its facilities and that of its constituent institutions are not open public forums, but are instead intended solely for use consistent with the advancement and orderly administration of its educational mission for the benefit of its students, staff, and affiliated entities.  As such, TBR Institutions do not ordinarily make its buildings or other facilities available to outside individuals or outside groups.  Exceptions may be made only if the proposed use is consistent with this policy and institutional policy and mission.

All TBR Institutions shall implement policies governing access to and/or use of their specific property and facilities consistent with the provisions of the policy set forth here, and below, subject to prior review and approval by the TBR.

Definitions: 

For the purposes of these regulations, the following definitions shall apply:

  • Affiliated Entities - an officially registered student, student group or student organization.
  • Affiliated Individuals - persons officially connected with the institution including students, faculty, and staff.
  •  "Non-affiliated Entities" - any person, group, or organization which is not an affiliated entity or individual.
  • "Non-affiliated Individual" - Any person who is not an affiliated individual.
  • Student - a person who is currently registered for a credit course or courses, non-credit course or program at the institution, including any such person during any period which follows the end of an academic period which the student has completed until the last day for registration for the next succeeding regular academic period.
Policy/Guideline: 
  1. Access to Campuses & Use of Property/Facilities
    1. Access to Facilities & Prioritized Users
      1. Access to and use of campuses, facilities, and property of TBR institutions is restricted to the institution, institutional administration for official functions, affiliated individuals/entities, and invited or sponsored guests of the institutions or schools except as specifically provided by this policy, institutional policy, or when part or all of a campus, its buildings or facilities are open to the general public for a designated time and purpose.
      2. Institutional policies shall set forth the process, and requirements, pursuant to which designated campus properties and/or facilities may be accessed for other than official institutional use.  Such policies shall be consistent with the requirements set forth in this policy and will be subject to prior review and approval by the TBR.
      3. Institutions may designate certain facilities as available for rent to the general public at market rates, where the length/frequency of occupancy/use of campus facilities, or the nature of a particular building, facility or property or a particular purpose makes such agreements appropriate. Such lease/rental agreements are not covered by this policy and will be executed subject to appropriate TBR policies and guidelines governing the lease of TBR or institutional property, including, but not limited to, TBR Policy No. 1:03:02:10 and TBR Guideline B-026.
      4. Access/Use of campus property or facilities, other than for those scheduled for official institutional, administrative and/or normal educational purposes, shall be through a process of application, review, and administrative approval as established by institutional policy consistent with this policy.
      5. Institutional policies shall identify a person(s) and/or office(s) where application for use of campus facilities or property may be filed.
      6. Institutional policies shall set forth the priority to be applied to individuals or groups applying to use campus facilities and/or property, consistent with institutional mission(s).  Such provisions shall address, at minimum, the relative priority of applications made by affiliated entities/individuals as well as unaffiliated entities/persons (where permitted).  Highest priority shall always be given to administrative and educational uses.
      7. Institutional policies may permit affiliated entities to obtain permission for the repeated use of a particular campus facility or space to conduct regular meetings using campus facilities or property without requiring repeated application and approval for each occurrence of the event if the meetings are limited to members of the organization.
      8. Institutional policies may authorize faculty and/or affiliated entities to extend invitations to uncompensated, unaffiliated guest speakers for regular class sessions and/or meetings, without prior application as set forth in this policy where attendance at the class session or meeting will be limited to members of the class or affiliated entity and where no fee or compensation from state funds will be paid to the speaker.
      9. Institutional policies shall require that access to or use of campus facilities or property by affiliated entities and affiliated individuals for an event other than a regular meeting of its membership that will include an invited guest speaker and/or be open to persons outside group membership must be made through the procedures set forth in the institutional policy, established pursuant to this policy.  The sponsoring entity will be responsible for the conduct of both the speaker and non-affiliated guests at the event as well as for compliance with all laws, TBR and campus rules or policies while present on campus or using campus facilities or property.  An application for such access or use of campus facilities or property must clearly set forth the identities of both the affiliated individual/entity filing/sponsoring the application as well as the non-affiliated entity being sponsored.  The application will be subject to the same procedures and regulations applicable to all applications for use of campus facilities.
      10. Institutional policy may permit non-affiliated entities/individuals, conditioned on sponsorship by an affiliated entity or individual, to apply for use of, or access to, locations on campus specifically identified in institutional policy. 
      11. Institutional policy shall identify one (1) or more areas or facilities on campus for which non-affiliated entities/individuals, may apply for use or access individually, without sponsorship from an affiliated individual/entity.  Such applications shall be limited to those locations on campus specifically identified in institutional policy for access/use by unaffiliated individuals/entities. Such applications shall be subject to the same procedures and requirements.
      12. The application of this policy and all institutional policies are limited to one (1) time only events, short term, intermittent, and/or repeat use of campus facilities where access/use of facilities/property are permitted without an associated rental/lease or fee.  Such uses shall be limited to circumstances where an institution does not actually, or effectively, cede occupancy or control of any institution property.  Approval for repeated or intermittent use of any facility or property pursuant to this policy may not exceed four (4) months in length and may only be renewed or repeated after review to determine that such use does not conflict with an institutional need or another request for access/use of the facility/space by another eligible person/entity.
      13. Institutional policies shall specify that, in all cases where an application for access or use of campus facilities or property is approved, such use will be subject to the execution of an appropriate written agreement regarding the conditions applicable to the approved access/use, which shall include, but not be limited to, the terms and conditions set forth in this policy.  Institutions may utilize differing forms of agreement appropriate for the nature of the entity seeking access/use, or the nature of the event or facility associated with the access/use. A Sample Use of Campus Facilities Form (Long & Short Versions) is attached as Exhibit 1.
      14. Institutional policy shall permit access to and use of facilities consistent with the requirements of T.C.A. §8-50-1001.  Institutions may require that meetings, or other gatherings, conducted pursuant to this statutory provision be subject to an application for use pursuant to this policy, for the sole purpose of ensuring that administrative, educational, and/or workplace functions are not interrupted.  Institutional policy may permit repeated access, pursuant to this provision, without repeated application.
    2. Geographic Locations & Buildings
      1. Institutional policies shall establish and identify specific buildings and/or other areas of campus that will be made available for use by affiliated entities/individuals.  Where certain buildings or areas of campus, are available for use by affiliated entities/individuals, but not for unaffiliated entities/individuals, institutional policy will so specify.  Highest priority for use of institutional buildings, facilities, and/or property shall always be reserved for administrative and educational uses.
      2. Where appropriate, institutional policy shall identify certain categories of events or uses of campus facilities or property that will be limited to specific facilities or locations appropriate for the nature of the activity, e.g., concerts, athletic events, theatrical presentations, etc.
      3. Institutional policies shall specify, where appropriate, dates, times, periods in an academic term, etc., when identified facilities shall not be available for use/access pursuant to the requirements of this policy and/or institutional policy.
      4. Institutional policies shall provide that buildings, facilities, and/or property, not specifically identified as available for use are specifically unavailable for use other than for normal administrative or educational purposes.
      5. Institutional policies shall identify specific facilities, e.g. athletic facilities, auditoriums, theater buildings, etc., if any, that are available for lease or rental at market rates.  Such use shall be subject to application, approval, and an appropriate written lease or rental agreement, pursuant to the institutional policy established in compliance with this policy.
    3.  Application & Permitting Process - The policies and procedures related to the application for access/use of campus property/facilities shall include the following:
      1. Institutional policies shall require that all application(s) for access to, or use of, campus facilities or property must be submitted in writing at least five (5) working days in advance of the proposed use (excluding weekends and holidays) to the appropriate location/official at the institution.  Where an application for an event involving an outside speaker involves payment of a total fee and/or expenses in excess of $2,500.00 from institutional funds, the request must be submitted at least twenty (20) working days prior to the date of the proposed speaking engagement.
      2. Institutional policies shall permit Presidents, the Vice Chancellor for Colleges of Applied Technology, or their designees, to approve applications for registration filed less than five (5) working days, twenty (20) days in the case of a speaker paid from institutional funds, before the event, if it is determined that the use of property requested can be reasonably accommodated and that adequate cause exists for late filing of the application for registration. Approval of late applications shall be within the sole discretion of the official designated in the institutional policy. The decision of such official will be final.
      3. Institutional policies shall provide for written notice of approval or disapproval of the application for use of campus property or facilities.  Such notice shall be provided to the applicant within a reasonable time from the date an application is submitted.
      4. Institutional policies shall provide that, at minimum, notices of approval/disapproval will be made available at the office of the designated campus official.  Institutional policies may provide for additional forms of notice, e.g., electronic delivery.  It shall be the responsibility of the applicant to obtain notice of the approval or denial of any application submitted pursuant to this policy.
      5. Institutional policies shall require that notices of disapproval shall include a statement of the basis for disapproval.
      6. Institutional policies shall provide that any denial of a request to access/use campus facilities and/or property shall be based solely on factors related to reasonable regulations in light of the institution’s mission and the nature of the facility or property requested and rendered in a content/viewpoint neutral manner.
      7. Institutional policies shall publish a list of the various considerations potentially leading to a denial of an application. Such list shall include, at minimum, the following:
        1. The property or facilities have been previously reserved by another group, organization or individual with equal or higher priority,
        2. Frequency of previous use during an academic period in comparison to that of a contemporaneous applicant,
        3. Use of the property or facilities requested would be impractical due to scheduled usage prior to or following the requested use, or due  other extenuating circumstances,
        4. The applicant or sponsor of the activity has not provided accurate or complete information required on the application for registration,
        5. The applicant or sponsor of the activity has been responsible for violation of institutional policy during a previously registered use of campus property or facilities,
        6. The applicant has previously violated any conditions or assurances specified in a previous registration application,
        7. The facility or property requested has not been designated as available for use for the time/date,
        8. The anticipated size or attendance for the event will exceed building/fire codes, established safety standards, and/or the physical or other limitations for the facility or property requested,
        9. The activity is of such nature or duration that it cannot reasonably be accommodated in the particular facility or area for which application is made,
        10. A determination that the size and/or location of the requested use would cause substantial disruption or interference with the normal activities of the institution, the educational use of other facilities or services on campus or the flow of vehicular or pedestrian traffic,
        11. The activity conflicts with existing contractual obligations of the institution,
        12. Invasion of lawful rights of the institution's officials, faculty members, or students, the damage or destruction, or seizure and subversion, of the institution's buildings, other property, or for other campus disorder of a violent or destructive nature. In determining the existence of a clear and present danger, the responsible official may consider all relevant factors,
        13. A determination that the requested use would be contrary to local, state, or federal law, regulation, or the policies or regulations of the Board of Regents, or the institution.
      8. The office(s)/official(s) at each institution responsible for receiving and processing applications for use of campus facilities or property pursuant to this policy shall maintain a copy of the institutional policy for inspection by groups, organizations, and individuals interested in the use of campus property and/or facilities and shall provide a copy of such policy upon request.
    4. General Conditions for Use of Property or Facilities
      1. Institutional policies shall set forth the policies and conditions governing activities conducted pursuant to approved applications for access to or use of campus facilities or property.  Policies established at the institutional level will be limited to those that reflect reasonable regulations in light of the institution’s mission and the nature of the facility or property requested.  Such policies will be enforced uniformly to all uses of campus facilities and/or property in a content/viewpoint neutral manner.
      2. Violation of, or failure to comply with, the requirements set forth in this policy or institutional policy may result in the immediate revocation of previously granted approval for access/use of campus facilities or property.
      3. Institutional policies shall include, at a minimum, the following:
        1. Where applicable, institutional policies shall state limitations as to the number of persons who may attend in accordance with appropriate building and fire codes and safety standards applicable to particular facility and/or property at issue.
        2. Institutional policies shall require compliance with regulations, policies or rules for the conduct of assemblies, meetings and demonstrations as a condition for use/access to campus facilities and/or property.
        3. Institutional policies shall specify that sound amplification equipment may be used only when prior approval has been requested and granted by the appropriate official taking into account the institution’s mission and the nature of the facility or property requested, location, time of day, etc.
        4. Institutional policies shall specify the conditions applicable to the use of institution equipment in connection with the use of campus property and/or facilities, the required approvals as well as whether any additional agreements, leases or costs shall be associated with such use.
        5. Institutional policies shall specify that all groups, organizations and individuals, by making application for registration of an activity and by subsequent use after approval by the institution, agree to indemnify the institution and hold it harmless from any and all liabilities arising out of such use of the property and/or facilities of the institution, including, but not limited to, personal injury, property damage, court costs and attorney’s fees.
        6. Institutional policies shall specify that all persons operating motor vehicles in conjunction with an approved use/access of campus facilities and/or property shall be subject to institution, and TBR rules, regulations, policies and procedures regarding traffic and parking.
        7. Institutional policies shall specify that users of facilities or property and/or their sponsor(s) are responsible for all activities associated with the event.
        8. Institutional policies shall specify that use of the requested facility and/or property shall be limited to the declared purpose in the application for use/access to campus facilities and/or property.
        9. Institutional policies shall specify that access to, or use of, campus facilities and/or shall not be permitted overnight unless specifically requested and approved pursuant to the requirements of this policy and institutional policy.  Such use shall be limited to the specific time and location set forth in the notice of approval/ registration document.
        10. Institutional policies shall specify that all persons on the campus of any institution in conjunction with an approved application for use/access, shall provide adequate identification upon request to appropriate officials and security personnel of the institution. Persons or groups who refuse to provide such identification may be subject to immediate removal from campus and/or disciplinary action. In appropriate circumstances, such persons may become subject to arrest and/or prosecution.
        11. Institutional policies shall specify that the institution shall have the right to terminate the use of campus facilities or property by any group, organization or individual which violates any provision of this policy, Institutional policy, local, state, or federal law or regulation.
    5.  Certain Facilities, Fees, and Costs
      1. Institutional policies may establish a system of required fees or charges for specific costs and/or services (e.g., maintenance, janitorial, utilities, and/or security) related to the nature and uses of particular facilities and/or locations on campus as well as the anticipated event size or attendance for any use of campus facilities and/or property.
      2. Where such fees or costs are established, the fee/cost schedule, facilities and/or event/crowd size to which they apply shall be set forth in the institutional policy and applied to all similar uses on a content/viewpoint neutral basis.
      3. Payment of such fees/costs in advance of an event, if required, shall be stated clearly in the institutional policy.
    6.  Insurance/Indemnity
      1. Institutional policies shall require that individuals/entities using institutional facilities pursuant to this policy indemnify the institution and shall further set forth the circumstances and uses where the institution will require:
        1. Adequate bond or other security for damage to the property or facilities;
        2. Personal injury and property damage insurance coverage;
        3. A performance bond or insurance guaranteeing or insuring performance of its obligations under the contract; and/or
        4. Other types of insurance in such amounts as are designated by the institution
      2. Institutional policy shall identify specific facilities, uses, or events for which bond, security, and/or liability insurance will be required.
      3. In setting its policy, institutions may consider the nature and uses of particular facilities and/or locations on campus, and the anticipated event size or attendance for any use of campus facilities and/or property.
      4. Buildings, locations or events for which bond, security, and/or liability insurance will be required shall be set forth clearly in the institutional policy.
      5. Proof of compliance with this provision may be required in advance of an event.
      6. This provision shall be applied and enforced in a content/viewpoint neutral manner.
    7. Distribution of Leaflets, Literature, Pamphlets, Etc. - Commercial Use/Solicitation Prohibited
      1. Schools and institutions may establish locations where the sale or distribution of literature associated with an approved application for access or use of campus property or facilities may be allowed.
      2. Institutional policies shall specify that literature and/or advertisements may only be sold or distributed in conjunction with an approved application for use of campus facilities.  Requests to distribute or sell literature shall be included with the underlying application to use campus facilities and/or property, using the same form utilized for use of campus facilities or property.  Such applications shall be evaluated by the same standards established under this policy for the associated use/access of campus facilities and/or property.
      3. Institutional policies however, shall not permit such activity within:
        1. Classroom, library or other academic buildings or facilities;
        2. Administrative and employee offices and work areas; or,
        3. Student residence halls, dormitories or apartment buildings.
      4. Institutional policies may permit the distribution or sale of literature, non-commercial solicitations, or advertising in designated locations within the lobbies or other general use areas of the above buildings or other campus facilities designated for the placement of literature for distribution or sale.
      5. Institutional policies shall provide that any literature which is distributed or sold and any advertisement shall comply with all applicable local, state, and, federal laws and regulations, as well as the rules and policies of the institution, and TBR.
      6. Institutional policies shall specify that no obscene literature or material, as defined by law, shall be distributed on any property owned or used by a TBR institution.
      7. Institutional policies shall specify that campus property and facilities may not be used by any non-affiliated entity/individual for the conduct of profit-making activities except when engaged in a business relationship, pursuant to a contract, with the institution and/or when a rental or lease agreement is in place specifically for such temporary purpose.
    8. Miscellaneous
      1. Bulletin Boards/Posting
        1. Institutional policies may permit the establishment of bulletin boards or approved areas for posting for specific uses and/or entities,
        2. Institutional policies may identify individual boards/areas and  specify or limit the authorized uses and/or entities for such boards/areas as well as the types of materials which may be posted on a board or area, the maximum size and duration of any notice, and any other special conditions on use,
        3. Such limits shall be conspicuously posted on each board or posting area, and shall control the use of the board when posted,
        4. Institutional policies may require prior approval for the use of any or all bulletin boards or posting areas on campus, and if required, the name of the official authorized to approve use of the board shall be posted on the board. Use of a board may be denied on the basis of one or more of the following:
          1. The person or group is not authorized to use the board in question;
          2. The material is not the type authorized for the board in question, or fails to meet any special conditions as posted on the board;
          3. The material is obscene or otherwise violates any federal or state law or regulation of the institution; or
          4. There is insufficient space available for the material on the board in question due to the previous posting of other materials,
        5. Institutional policy shall provide that areas not specifically identified and/or authorized for posting are not available for such purpose for any individual or entity, whether affiliated or unaffiliated,
        6. Exceptions to this policy can be made upon approval of the Chancellor of the TBR.
      2. Food/Catering Policies
        1. Institutions may establish a food/catering policy to be utilized in conjunction with approved use of campus facilities and/or property.
        2. Institutional policies shall specify the facilities/property where such policy shall apply.
        3. Institutional policies shall specify any associated cost or inform users where such cost information may be obtained.
    9. Remainder
      1. Institutions may address any matter with regard to use/access to campus facility not specifically addressed in this policy, in its individual institutional policy, if it is not inconsistent with any provision of this policy and subject to the general requirement that such provisions are limited to reasonable regulations capable of implementation in a content/viewpoint neutral manner.
      2. Such policies are also subject to prior review and approval by the TBR.
Sources: 

TBR Meetings, December 8, 1978; March 10, 1979; March 18, 1983; September 30, 1983; September 18, 1987; March 16, 1990; September 21, 1990; Revised and renamed Policy 1:03:02:50 Access to and Use of Campus Property and Facilities Sept. 22, 2011. Effective on May 30, 2012.

Policy Number: 
1:03:02:20
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, System Office, Board Members
Purpose: 

The purpose of this policy is to provide guidance to the institutions in developing a campus policy for delegation of authority and signature authorization.

Policy/Guideline: 
  1. Scope
    1. This policy applies when exercising delegation of authority and signature authorization for any transaction that could create a financial liability for an institution.
    2. Examples include, but are not limited to, contracts, purchase orders, memorandums of agreement, and travel authorizations.
    3. Examples outside the scope of this policy include, but are not limited to, course overloads, student advising, and reductions in student course loads.
  2.  Delegation of Authority
    1. Every institution must develop a policy for delegation of authority and signature authorization.
    2. At a minimum, the institution’s policy must include the following items:
      1. Delegations/authorizations must be in writing, with level of authority, any restrictions on authority and period of authority, if any, clearly noted.
      2. Delegations should run from the official holding authority to act directly to the person exercising that authority.  The principle is that the person holding authority should have direct knowledge of who within the institution is exercising that authority on their behalf.
      3. Personnel with delegated authority should be qualified to do so by training and experience. Person making delegation is responsible for ensuring person to whom authority is delegated is qualified and understands the application of the authority delegated.
      4. The ramifications of exceeding or misapplying one’s delegated authority should be clearly understood and uniformly enforced.
      5. Delegations requiring the Chancellor’s approval must be properly obtained.
      6. Authority assigned to the Chancellor, Presidents, or Vice Chancellors by policy, guideline or statute cannot be delegated unless specifically allowed in the policy, guideline, or statute.
  3. Recommended Practice
    1. Personnel with delegated authority should sign the name of the person of authority followed by their name.
      1. For example: Chancellor John Doe by Jane Smith
    2. Periodic training should be provided to ensure persons with delegated authority have a clear, current understanding of their authority and its limitations.
Sources: 

TBR Board Meeting September 21, 2012

Policy Number: 
1:03:02:10
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities
Purpose: 

The following policy on approvals is adopted by the Tennessee Board of Regents (TBR) to delineate the approval process for procurements and agreements to be entered into by institutions governed by the TBR.

Definitions: 
  • Contract – An agreement between parties which obliges each party to take or not take certain actions. Contracts may be called, but are not limited to, agreement, memorandum of understanding, memorandum of agreement, purchase order, and terms and conditions.
  • Institution – means any of the universities, community colleges, colleges of applied technology and System Office departments within the Tennessee Board of Regents.
  • System Office – the administrative offices of the Tennessee Board of Regents.
Policy/Guideline: 
  1. Approval By Presidents of Universities and Community Colleges
    1. All agreements and contracts affecting a Community College or University must be approved and executed by the President or the President’s designee.
    2. Each Community College/University shall develop written policies and procedures which are in addition to TBR's policies and guidelines and which will further ensure that no contract or agreement is entered into without the approval of the President or the President’s designee.
  2. Tennessee College of Applied Technology Approvals
    1. All agreements and contracts affecting a Tennessee College of Applied Technology must be approved and executed by the Vice Chancellor for the Tennessee Colleges of Applied Technology, who for purposes of this policy shall have the authority and responsibilities of the presidents of other institutions. The Vice Chancellor for the Tennessee Colleges of Applied Technology may delegate the authority to approve and execute agreements to directors in writing.
  3. Approval By Chancellor
    1. The following agreements, contracts or procurements, in addition to being approved as set out above, shall be submitted to the System Office for approval by the Chancellor or the Chancellor’s designee:
      1. Agreements and contracts involving or related to the purchase or disposal of real property, insurance, and capital outlay projects.
      2. Agreements involving or related to the leasing (institution as lessee or lessor) of real property for more than five (5) years or more than $150,000 per year.
      3. Any agreement, including purchase orders, for two hundred fifty thousand dollars ($250,000) or more in annual revenue or expense.
      4. Agreements and contracts involving insurance or other benefits.
      5. Agreements in which the TBR is a named party.
      6. The primary operating agreement between an institution and its foundation and any other agreement between the institution and its foundation which does not conform to the requirements of TBR Guideline G-030 (Contracts Guideline).
      7. Contracts, including grant agreements, which do not conform to the requirements of TBR Guideline G–030.
      8. Banking, procurement card and other financial services agreements.
      9. Any agreement between a TBR institution and any other institution, agency, organization or entity which provides for the coordinated or cooperative offering of any credit or non-credit programs or activities or in which certificate or degree requirements are met or credit is given for coursework or activities offered by another institution.
        1. Examples of such agreements include provisions for either credit or non-credit academic programs or public service activities to private or state agencies and institutions in the fulfillment of that agency' s responsibility for state-wide services or governmental training, and
        2. Agreements which require consortia or cooperative arrangements with other institutions, agencies, or associations.
      10. Any noncompetitive contract with a potential term of more than one (1) year and a cumulative value of two hundred fifty thousand dollars ($250,000) or more. Institutions shall not enter into multiple one-year contracts, involving the same vendor for the same service, to circumvent this requirement.
    2. Renewals of the above agreements do not require approval by the Chancellor or the Chancellor’s designee if no changes have been made. However, a copy of the executed renewal shall be provided to the System Office.
    3. Purchase orders issued pursuant to purchase orders and/or contracts which have already been approved by the Chancellor or the Chancellor’s designee do not require additional approval to the System Office.
    4. The Chancellor may direct that certain or all agreements of any Institution be submitted for prior System Office review and approval.
  4. Other Approvals
    1. Certain agreements may be subject to additional review and/or approval processes as set out in TBR policies, i.e. Fiscal Review, State Building Commission, etc.
  5. Exceptions
    1. The Chancellor or designee may approve exceptions to the requirements of this policy in appropriate circumstances. Requests for exceptions must be signed by the President or Director and include sufficient justification documentation.
Sources: 

TBR Meetings, March 5, 1976; June 26, 1981; September 30, 1983; December 13, 1985; September 22, 1989; June 28, 1991; December 5, 1997; December 2, 2005. Revision approved by Board, September 15, 2016. 

Policy Number: 
1:02:11:00
Policy/Guideline Area: 
Governance, Organization, and General Policies
Applicable Divisions: 
TCATs, Community Colleges, Universities, Board Members
Purpose: 

The purpose of this policy is to set the conditions and procedures for appeals to the Chancellor or Board, and for appearances before the Board.

Policy/Guideline: 
  1. Appeals to the Chancellor
    1.  A student or employee of an institution in the Board of Regents system may appeal a final decision of the president or director of an institution to the Chancellor.
    2. UAPA hearings as outlined in Policy No. 1:06:00:05 are not appealable to the Chancellor.
    3. Appeals to the Chancellor shall be limited to alleged violations of state or federal law or institutional/board policy where the complainant has not filed a federal/state administrative appeal or a lawsuit in state or federal court.
    4. If, at any time during the pendency of the appeal, a complainant files a lawsuit or administrative action based on the same subject matter as the appeal, the appeal will be dismissed without further action.
    5. Unless there is a violation of state or federal law under the limitations described above, decisions which are not appealable to the Chancellor shall include, but will not be limited to;
      1. Termination of executive, administrative, professional, clerical and support employees during or at the end of the initial probationary period or pursuant to the terms of the contract of employment;
      2. Non-renewal of a tenure-track faculty appointment during the first four years of the probationary period;
      3. Denial of tenure unaccompanied by notice of termination in the fifth year of the probationary period;
      4. Non-renewal of a temporary faculty appointment;
      5. Salary determinations;
      6. Student academic matters, e.g., grade appeals, failure to meet retention policies, etc.;
      7. Performance evaluations of faculty or staff; and
      8. Residency classification of students for tuition and fee purposes.
    6. Appeals and supporting documents must be submitted in writing to the Chancellor within 20 calendar days following the date of a written decision by the president or director.
    7. The appeal must state the decision being appealed, the law and/or policy which is alleged to have been violated and the redress desired.
    8. The Chancellor shall review the decision on the basis of the record developed at the institution, with any new evidence which for good cause shown was not previously considered.
    9. The Chancellor may request a student or employee to appear and present arguments in support of an appeal.
    10. Complaints from students or prospective students regarding accreditation or violation of state or federal law may be submitted to the Chancellor's office for appropriate review and action, as required by 34 CFR 600.9(a))1).
    11. Any available institutional complaint procedure must be exhausted prior to consideration by the Chancellor or his/her designee.
  2. Appeals to the Board
    1. A student or employee who is dissatisfied with the decision of the Chancellor on his or her appeal may petition the Board of Regents for permission to appeal the decision of the Chancellor to the Board.
    2. The petition must be submitted in writing to the Secretary of the Board within 20 calendar days following the date of the Chancellor's written decision.
    3. The petition for appeal must present:
      1. A brief statement of the issues to be reviewed including a statement of the redress desired;
      2. A brief statement of the facts relevant to the issues to be reviewed, with appropriate reference to where such can be found in the record;
      3. A statement of applicable law/policy;
      4. A brief argument; and
      5. Citations of any applicable authorities, (such as policies, statutes, and cases).
    4. The petition for appeal must be limited to ten (10) pages, typed, doubled spaced, and on 8 1/2 X 11" paper.
    5. The appropriate standing committee of the Board shall review the decision of the Chancellor on the basis of the record submitted to the Chancellor, with any new evidence which for good cause shown was not previously considered, and determine whether the petition to appeal will be granted.
    6. The Board committee, in determining whether to grant an appeal, may consider the following:
      1. Whether Board policy or procedures have been followed;
      2. Whether or not there is material evidence to substantiate the decision appealed from; and/or
      3. Whether or not there has been a material error in the application of the law, which prima facie results in substantial injustice.
      4. The listing in 1 - 3 above is not exhaustive and, in the discretion of the Board committee, other considerations may be taken into account.
    7. If the petition to appeal is granted, the committee shall hear the appeal at a subsequent regularly scheduled meeting of the committee and may request the person appealing to appear and present arguments on his or her behalf.
    8. The committee shall recommend action on the appeal to the Board of Regents. The decision of the Board shall be final and binding for all purposes.
  3. Record
    1. The record on an appeal to the Chancellor or Board shall consist of all relevant documents, statements, and other materials submitted by the person appealing and by the president or director of the institution involved.
    2. In the event that the person appealing does not submit sufficient information to allow review of the decision being appealed, the Chancellor or the Board may require the person appealing to furnish any additional information which may be necessary.
  4. Standard of Review
    1. The following provisions shall govern the review by the Chancellor and Board of an appeal under this policy:
      1. A decision may be remanded for further consideration upon a finding that it was not made in accordance with applicable state or federal law or Board, institutional procedures; provided, however, that the decision should not be remanded if the procedural error was not material to the decision and therefore constituted harmless error;
      2. A decision may be modified or reversed only upon a finding that the decision constituted an abuse of discretion or was made in violation of applicable state or federal law or Board, institutional policies; provided, however, that the decision should not be modified or reversed if the violation of policy was not material to the decision and therefore constituted harmless error;
      3. A decision should be affirmed in the absence of a finding of abuse of discretion or material violation of applicable state or federal law or Board, institutional policies, or procedures.
    2. Notwithstanding any provision herein to the contrary, any decision may be remanded by the Chancellor or Board for a resolution of the matter which is mutually acceptable to the parties or which is, in the best judgment of the Chancellor or Board, a fair and equitable resolution.
  5. Appearances before the Board on Non-Appealable Issues
    1. Individuals may be allowed to address a committee of the Board of Regents concerning issues which are not appealable but which are of broad concern to an institutional community.
    2. Such appearances must be approved by the Chancellor or the Chairman of the appropriate Board committee prior to being placed on a committee agenda.
    3. Notwithstanding, the Chairman or Vice Chairman of the Board may authorize appearances before the Board on any matter deemed appropriate for Board consideration.
    4. Requests for approval to appear before the Board shall be submitted to the Chancellor 20 calendar days prior to the date that the committee is next scheduled to meet.
Sources: 

Board of Regents Bylaws, as amended; TBR Meeting September 30, 1983; TBR Meeting December 12, 1986; TBR Meeting March 17, 1989; TBR Meeting March 25, 1994; TBR Meeting June 24, 2011.

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