Appendices

The appendices contain administrative policies approved by the Chancellor of The University of Tennessee, Knoxville. They are not approved by the Board of Trustees, are not legally binding upon The University of Tennessee, and are superseded by any policies of the Board of Trustees with which they may conflict. These policies are subject to change without notice, and a copy of the most recent versions of each appendix may be obtained from the following offices:

• Appendix 1 Director of Diversity Resources and Educational Services
• Appendix 2 Office of the Vice Chancellor for Academic Affairs
• Appendix 3 Dean of Admissions and Records
• Appendix 3 Dean of Admissions and Records
• Appendix 5 Office of the Vice Chancellor for Academic Affairs
• Appendix 6 Office of Chancellor
• Appendix 7 Office of the Vice Chancellor for Academic Affairs
• Appendix 8 Office of Research Administration
• Appendix 9 Office of Research Administration

Appendix 1 - Equal Employment Opportunity Policy

Issued February l4, l969;
Revised, l970, l972, l974, l976, l978, 1985

Objective: To set, define, and communicate broadly the policy of The University of Tennessee, Knoxville, concerning fair employment practices and equal employment opportunity for all UTK employees and applicants for UTK employment.

The University of Tennessee, Knoxville, offers equal employment opportunity to all its employees and to all applicants for UTK employment without regard to race, religion, sex, age, national origin, or veteran status, as required by federal, state, and local laws, executive orders, and regulations pertaining to fair employment practices. UTK is also prepared to make reasonable accommodations to allow employment of handicapped individuals and for religious observances of employees and applicants for employment. Additionally, sexual harassment is a direct violation of UTK policy. This policy extends to recruitment, employment, promotion, UTK-sponsored training programs, educational opportunities, compensation, leave, tuition assistance, transfers, lay-offs, return from layoffs, demotions, terminations, social and recreational programs, use of University facilities, and treatment as individuals. This policy is binding on all UTK employees engaged in any of the processes or programs listed above.

UTK views this policy as basic to the institutional commitment, not as merely a means of complying with orders, laws, and regulations to which it is subject.

Appendix 2 - Teaching/Learning Guidelines

Introduction. The brief statement which follows is intended to provide some guidelines for the faculty member (all members of the university’s academic teaching staff) with regard to the teaching/learning process. We hope that the guidelines will be especially useful to members of the faculty who have just entered the profession, although more experienced teachers may also reflect on these guidelines.

The guidelines are offered in the form of advice and counsel; they are not so comprehensive as to cover every possible eventuality in the teaching/learning experience. There would be other equally good ways of handling some of the circumstances mentioned here. These guidelines are mainly a reminder of some of the principal aspects of the teaching/learning process which should be observed by the university teacher.

Course Organization. It is the responsibility of the faculty member to organize class material as efficiently and effectively as possible at the beginning of each term of instruction. Course objectives should be made clear at the first session. The teacher should discuss such matters as required readings; the approximate number of tests; the basis for the final grade with regard to the value to be placed on class recitation, major tests, minor tests, research papers, etc. At this time the students should be informed if the course is not adequately described in the General Catalog, the Graduate Catalog, or publications of the various colleges and departments.

Conducting the Course. The faculty member should set an example for students in being faithful in attendance and punctual in starting and ending classes. Students should be informed of all planned absences as early as possible. When a faculty member must be away from class to attend a conference or deal with other professional matters, he/she should arrange for a colleague to substitute for him/her. In an emergency, the faculty member should have the class notified through the agency of the departmental office that he/she is compelled to be absent.

In presenting course content, the faculty member should endeavor at all times to adhere to his/her subject; the classroom should not be used as a theater for expression of personal views not germane to the course. The faculty member should take care that the tests and all other devices for student evaluation are appropriate instruments for measuring course content. The faculty member should return all tests as soon as possible and discuss them with the students so that the test remains an educational instrument; thus students can learn from testing as well as from other class activities.

Atmosphere for Teaching and Learning. It is very important that the faculty member create from the beginning, and preserve throughout the course, an atmosphere conducive to learning. Both teacher and student should feel that they have come together in the common cause of the pursuit of learning. The faculty member must be continually sensitive to students’ needs, desires, and expectations and should exercise the kinds of judgments which demonstrate this kind of sensitivity. It is in this atmosphere of friendly and serious scholarship that the cause of learning can be most appropriately advanced.

Teaching Expertise. The faculty member should strive not only to maintain minimum competency but to surpass this level by constant inquiry into contemporary trends, prospects and research. Faculty members who supervise graduate teaching assistants should take whatever measures may be necessary to ensure an appropriate level of competency in the classroom. Departments should not neglect to give students of all educational levels the privilege of instruction by teachers of all professional ranks.

Appendix 3 - Office of Disability Services

Disability Services (DS) seeks to eliminate the barriers that students with disabilities encounter and to work with them to achieve and maintain individual autonomy. The program’s primary objective is to provide these students with access to the academic, social, cultural, and recreational opportunities of the university.

Prospective students are encouraged to contact DS personnel so that they can be assured that the campus facilities and services are adequate to meet their needs. The staff can be of service to the students to the extent that their individual needs are made known. Contact with the students prior to registration enables DS staff to better assess the need for interpreters, readers, accessible facilities, and other support services. Van service is also provided to those individuals with mobility limitations, whether permanent or temporary. Documentation of disability from an attending physician or the Student Health Center is required.

Preparations for extra-curricular or course outings must include a plan to accommodate participants who have disabilities. Events open to the public must be made accessible to the entire community of individuals with disabilities. Program coordinators should contact the Director of Disability Services at 974-6087 to make the appropriate arrangements for accommodations.

Appendix 4 - Non-Sexist Language Guidelines

The following suggestions were prepared by the UTK Commission for Women as part of a continuing effort to make the University community aware of the many subtle ways in which traditional language can enforce a subtle sexism. The University does not and cannot impose uniformity of thought or of expression upon its faculty and students. At the same time, it is an abiding and even venerable mission of the University to challenge dull conventions and stereotypes both in language and in thought wherever they appear.

Sexism refers to discrimination on the basis of gender or sex. Sexist language reflects and creates discrimination. Since language is the basis for thought, sexist language is not only an indicator of but also a contributor to sexist attitudes and behavior. Thus, removal of sexual discrimination in language is necessary to eliminate sexism.

In all University settings, members of the University community should:

1. Use gender equivalent construction. Equivalent or parallel construction should be used for males and females. Thus, if males are referred to as “men,” females should be referred to as “women,” not as “girls” or “ladies.”
2. Use alternatives to the masculine singular pronoun for generic singular. The masculine singular pronoun traditionally has been used as the generic singular. Such usage fails to acknowledge the participation of women in human activity unless they are specifically identified. Alternatives to the use of “he,” “him,” and “his” for the generic singular are he/she, she/he, her/him, him/her, hers/his, his/hers or one’s. Some individuals may prefer to alternate the use of the male and female singular pronoun to indicate generic singular. While some alternatives may seem awkward when they are first used, they become comfortable with usage and will, as any other language construction, become second nature in time. It is this natural incorporation of women into language on an equal basis with men that is the purpose of non-sexist language usage.
3. Use person-oriented rather than gender-oriented words. Words which clearly refer to both sexes should be used in preference to words and titles which omit one sex. The terms, human(s), humankind, people, persons, individuals, humanity, or men/women should be used rather than the terms man or mankind. For example, a course titled “Man and Civilization” could be retitled “Humanity and Civilization;” reference to “mankind’s development” could read “human development,” and so forth.
4. Use person-oriented job and occupational titles. Many titles were developed by attaching “man” as a suffix to the job or occupation. Alternatives to such titles should be utilized, such as: chair, head, presiding officer, (not chairman);mail carrier (not mailman) etc.
5. Avoid sex-role stereotyping: provide parallel treatment of women and men.
   • (a) Women (as well as men) should be described on the basis of relevant characteristics rather than on the basis of gender.
   • (b) Jobs, tasks, and behaviors should not be characterized in a stereotypical fashion on the basis of sex. Avoid identifying all doctors, lawyers, pilots, researchers, and the like as males while identifying all secretaries, nurses, flight attendants, and cooks as women.
6. Exhibit non-patronizing, non-condescending ways of describing and addressing women, particularly women in traditional occupations, e.g., secretaries, clerks, nurses. Both men and women should be sensitized to the negative effects which result from usage of terms such as “girl,” “gal,” “coed,”, “girl Friday,” the “girls in the office,” and the like.

References:

“Guidelines for Nonsexist Use of Language,” American Psychologist (June l975): 682-4.
“Guidelines for Nonsexist Use of Language in NCTE Publications,” National Council of Teachers of English.
“Proposed Styles and Policies for the Elimination of Sex-Bias in the Media,” The Washington Press Club.
“Sexism in Language — A Deterrent to Equality,” Tennessee Commission on the Status of Women.

Appendix 5 - Part-time Appointments: Illustrative General Situations and Particular Stipulations

There are several grounds on which part-time appointments may be made:

1. A professional person in practice in the community may have expertise that is valuable or even indispensable to instruction or research in an academic program. Such persons may not be willing or able to accept full-time employment at the University but are able to accept such assignments on a continuing part-time basis negotiated so as to make the long-range term of service much like that of full-time faculty.
2. A person otherwise qualified for full-time academic appointment may have personal reasons for desiring continuing part-time service. Such reasons may include family obligations, independent academic projects, or other independent interests not related to academic work.
3. The varying demands of the academic program may require from time to time an addition of teaching or research faculty on a temporary basis. Such service may be unpredictable in length, scope, and frequency, and therefore is often negotiated on a semester basis. Under these circumstances it is not usually possible to establish a continuing part-time appointment. However, the University recognizes the value of such service and makes every effort to ensure that persons who accept temporary part-time appointments are able to take every possible advantage of the resources and benefits of University service. Where a consistent pattern of employment of such persons has emerged (for instance, when a person has repeatedly been invited to teach two semesters a year for several years and there is reasonable probability that such invitations will continue) a continuing part-time arrangement should be considered.

Any one of the following stipulations might be appropriate for a given part-time appointment, and there may be others:

• Assignment to teach a specified course (or courses), with no published research, committee work, or public service expected.
• Assignment to teach a specified course (or courses) and in this connection to carry on such research for publication as is necessary for continuing academic credibility; committee work and public service are encouraged and possibly even required.
• Assignment to specified research only carrying no teaching, public service, or committee responsibilities.
• Assignment to the full range of normal academic duties, scaled down to a proportion of full-time service.

Appendix 6 - Financial Exigency Plan

Prologue: Facing Exigency

It is not easy for the administration and faculty of an institution of higher education to consider a time when lack of financial resources would require not only the cutting away of programs but the layoff of some of the faculty members which the university community has worked so diligently to recruit and has added to its ranks with great pride. A university is composed of people. Its lifeblood is the interaction of people (administrators, faculty, students and support personnel) over a period of time. To plan for the removal of valued programs and bright, capable people for purely financial reasons is an odious task at best.

Nevertheless, the times require that a plan for facing financial exigency be available should it ever become necessary that such a state be declared at the University of Tennessee, Knoxville. While it is hoped that the plan contained in the following pages will never have to be implemented, it is obvious that facing the traumatic decisions necessary in a time of financial exigency without a plan would be disastrous to all segments of the university community.

When following detailed guidelines and implementing procedures specified in a master plan, it is easy to lose sight of the spirit and intent behind the details, guidelines and procedures. If the plan for financial exigency outlined in these pages should ever have to be implemented, it must be remembered that its spirit and intent are to maintain the dynamic quality of The University of Tennessee, Knoxville, which is generated through the diversity and quality of its programs and faculty. The mission of the University is to maintain in all circumstances excellence in teaching, research and service. While all parts of the institution work together to fulfill this mission, no part of it can be accomplished without capable faculty and the programs which they represent. The purpose of the plan presented here then is not to retain jobs in the face of financial exigency, but rather to preserve the energy, viability and strength of the University. To this end, it is the intent of the plan to preserve as many of the programs and faculty of the University as possible in even the most dire financial circumstances. (2)

(2) It is recognized that there are other groups on The University of Tennessee, Knoxville campus (specifically non-faculty) whose existence both in number and quality are vital to accomplishment of the goals of the institution. The plan presented here does not specifically address their needs or circumstance in a declared state of financial exigency because these are governed by existing university policies and procedures dealing with reduction in force which are included in the University Personnel Manual on file in the office of the Director of Personnel.

Those faced with the implementation of financial exigency decisions will be faced with certain moral obligations and the responsibilities. For example, the spirit and intent of affirmative action should ever be present in their minds as they wrestle with decisions of program terminations and faculty layoffs. They will also need to remember that such concepts as faculty retraining cannot be viable concepts unless the University maintains its capacity to provide retraining programs. It is imperative that offices and programs essential to this function not be terminated in retrenchment or exigency proceedings. Having articulated these thoughts and concerns, the following plan for alleviating circumstances of financial exigency is presented.

1. Introduction

1.1 Averting exigency. The procedures of this document are to be implemented only as a last alternative to balance the budget of the University. Every effort shall be made to maintain the University’s solvency by such means as (a) seeking new sources of income; (b) maintaining maximum student enrollment and optimum mix of students; (c) developing ways to increase the flexibility of faculty to fulfill essential teaching and research opportunities (through provision of faculty retraining programs and other developmental activities); (d) implementing retrenchment plans which do not directly influence the educational mission of the University.

1.2 Retrenchment. Retrenchment efforts shall be defined as all cost-cutting measures prior to and other than the abrogation of continuing faculty contracts. The Chancellor has the authority to effect a wide range of retrenchment actions without explicit authorization by the Board of Trustees. The two principal exceptions are the discontinuation of an academic program and the layoff of tenured faculty members or of probationary faculty members before the end of their appointment term as specified in the University’s tenure policies. Methods of retrenchment which would affect academic programs shall be considered through the normal channels of faculty consultation. Such alternatives might include (a) general salary freezes or reductions, (b) teaching overloads without additional pay, (c) elimination of released time, (d) reduction or elimination of faculty support services, (e) development or research leaves without pay, (f) voluntary retirement, etc.

1.3 Communication. The existence of adverse financial conditions and the need for retrenchment planning shall be communicated early to all faculty so that an atmosphere of cooperative and shared decision-making may be established. The Faculty Senate shall be regularly involved in retrenchment efforts. Such involvement of faculty will establish credibility for any later declaration of a state of financial exigency.

2. Authority

In the event of financial exigency, the Chancellor as authorized by the Board of Trustees may lay off a tenured faculty member or a probationary faculty member, prior to the end of his or her term of appointment. Such layoffs may be made only in accord with the provisions of this plan and those of the Faculty Handbook. Faculty rights, as described in this document shall be guaranteed.

3. Financial Exigency

3.1 Definition. Financial exigency shall be defined as an imminent financial crisis which threatens the survival of the institution as a whole, and which cannot be alleviated by means less drastic than the termination of an appointment with continuous tenure, or of a probationary or special appointment before the end of the specified term. (3)

• (3) AAUP definition. (See AAUP Redbook, 1977 ed., p. 17.) Neither the AAUP statement nor court decisions appear to interpret exigency as meaning bankruptcy or financial ruin. General agreement prevails that financial exigency should be declared as a last resort following a series of alternative actions designed to bring the institution’s budget into balance.

3.2 Conditions. Exigency should not be declared until all cost-cutting procedures (except those which would endanger the safety, health and welfare of the University community) have been implemented to a point beyond which further reductions will seriously impair the central mission of the University.

4. Layoff and Termination

For the purposes of this document, “termination” refers to the elimination of a specific position or the discontinuation of a program.

“Layoff” refers to the indefinite suspension of a faculty member’s employment by The University of Tennessee, Knoxville. A laid-off faculty member retains the rights specified in Section 12.

5. Identification of a State of Financial Exigency

5.1 Responsibility. The primary responsibility for identification of a condition of financial exigency rests with the Chancellor. On the basis of information provided by the administrative staff and after consultation with appropriate committees of the Faculty Senate (at least the Executive, Budget and Faculty Affairs Committees), the Chancellor shall recommend to the President that the Board of Trustees be requested to declare a state of financial exigency.

5.2 Communication. The Chancellor shall communicate to the faculty a summary of the reasons and evidence supporting the declaration of a state of financial exigency once that declaration has been made by the Board.

6. Committee on Financial Exigency

6.1 Creation. Once the Board has declared a state of financial exigency a committee shall be formed to make recommendations to the Chancellor concerning reductions in programs and personnel which will alleviate the financial emergency.

6.2 Composition. The Committee on Financial Exigency shall be the Chancellor’s Advisory Committee on Planning and Budgeting.
The Vice Chancellor for Business and Finance shall serve as an ex officio non-voting member.

6.3 Responsibilities. The committee shall review documentation evaluating institutional priorities, administrative organization, academic priorities and programs in order to identify colleges, schools, departments or program areas in which reductions will be made. (4) Primary responsibilities of the committee shall be to determine the magnitude of cuts which are needed and to assure that factors prescribed by applicable state or federal laws regarding fair employment practices are upheld. The recommendations for program reductions shall be communicated to the Chancellor, who will then instruct the Deans as to his decisions for program reduction.

• (4) Such documentation will normally include departmental and college budget requests, program reviews conducted by the Graduate or Undergraduate Councils, and any other evaluative materials which may be available. It is a primary responsibility of the faculty to establish criteria for academic program evaluation. It is an on-going responsibility of the institution to engage in program evaluation in all areas and at all levels.

6.4 Individual Designations. Deans and Directors, in consultation with department heads and faculty, shall select the means for implementing recommended cuts in programs and/or personnel or otherwise respond to the Chancellor’s instructions. Specific implementation plans with data indicating the appropriateness of such choices or other response shall be returned to the committee for review. The recommendations of specific individuals to be laid off shall normally follow seniority, as provided in Section 6.5, unless a clear and convincing case is made that program needs dictate other considerations. A faculty member with tenure will not be laid off in favor of a faculty member without tenure except in extraordinary circumstances. Other factors to be considered in layoff decisions include the effectiveness of those programs whose continuation is determined to be essential, the institution’s continuing capability to meet its goals, undue effect on the institution’s affirmative action plan, and the performance of individual faculty members.

6.5 Seniority. Seniority shall be first established by academic rank and then within academic rank according to total years of service in the institution.

6.6 Implementation. The Financial Exigency Committee shall prepare a list of recommended reductions in programs and personnel along with all pertinent documentation. Every effort should be made to avoid a program discontinuance in the midst of an academic year. The Financial Exigency Committee shall forward its recommendations to the Chancellor.

The Chancellor shall prepare recommendations for the President and the Board of Trustees. The Chancellor shall communicate program discontinuations to all faculty affected.

7. Notification of Layoff

Each faculty member selected for layoff shall receive prompt written notification from the Chancellor. This statement of notification shall be sent by registered mail and shall include:

1. A statement of the basis on which the individual was selected for layoff (if on the basis of seniority, the criterion used and the date supporting the choice: if on another basis, the data and reasons supporting that choice);
2. A statement of the date on which the layoff is to be effective (consistent with the provisions of Section 8); and
3. A copy of the Chancellor’s formal statement of financial exigency as defined in Section 5.2, a copy of the Financial Exigency Plan and such other information as the Chancellor shall deem appropriate.

8. Notification Period

8.1 Faculty With More Than One Year of Service. Tenured faculty and non-tenured faculty in their second year of service or beyond shall be given notice of their intended release as soon as possible, with a normal minimum time of twelve months between notification and layoff. If the magnitude of financial exigency dictates a shorter notification period, the Chancellor, in consultation with the Executive Committee of the Faculty Senate and the Financial Exigency Committee, may reduce the period to not less than six months. (See Section 12 regarding alternative employment, retraining and reappointment rights.)

8.2 First Year Faculty. Non-tenured faculty in their first year of service shall be notified at least three months in advance of the layoff date.

8.3 Faculty Prerogatives. The faculty member can terminate his/her employment with the University, with a subsequent termination of salary, at any time prior to that specified in the notice of layoff.

9. Appeals

9.1 Appeals of Program Elimination. Appeals of program discontinuation by individuals, program faculties, or departments shall follow the existing route of programmatic evaluation and review, i.e., department head, dean, Vice Chancellor for Academic Affairs, and the Chancellor. An appeal of program discontinuation shall be made to appropriate administrative personnel within three weeks after the date of notification.

9.2 Appeals of Faculty Layoff. The faculty member has the right to appeal a layoff decision. The appropriate route of appeal shall be to the individual’s program director or department head, dean, and Vice Chancellor for Academic Affairs. (5) At each level an appeal must be initiated within two weeks of the notification of layoff or response from an appeal at the previous level. Decisions at each administrative level shall be communicated to the faculty member. If after review at the Vice Chancellor’s level, the individual wishes to carry his/her appeal further, he/she has a right to a hearing before the Faculty Affairs Committee of the Faculty Senate. (6) The Faculty Affairs Committee or a sub-committee thereof shall conduct a hearing and forward a written report of its findings and recommendations to the faculty member and to the Chancellor for final action. The by-laws of the University (Article V, Section 7) provide that any individual may appeal the Chancellor’s decision to the Board of Trustees through the President.

A request for a hearing before the Faculty Affairs Committee must be made within three weeks after receiving notice of action taken by the Vice Chancellor for Academic Affairs. The faculty member shall be given at least two weeks notice of the date of the hearing; such hearing shall be held not later than three weeks after the request except that this time limit may be extended by mutual consent of the parties or by order of the hearing committee.

(5) Once an appeal has reached the level of the Vice Chancellor, he/she may refer it to the Faculty Affairs Committee of the Faculty Senate for consideration before rendering a personal decision. If this route is taken, the decision of the Faculty Affairs Committee will then be subject to review by the Vice Chancellor for Academic Affairs. Should the decision of the Vice Chancellor conflict with the recommendation of the Faculty Affairs Committee, the faculty member may then appeal directly to the Chancellor.

(6) Individuals involved in recommendations for specific personnel terminations shall not take part in hearing appeals of such terminations.

9.3 Grounds for Appeal of Faculty Layoff. Appeal of layoff by a faculty member can be made only on the following basis:

1. that established procedures were not followed; or
2. that appropriate criteria were not applied, including but not necessarily limited to the following:
   1. that selection for layoff constitutes a violation of the individual’s academic freedom; or
   2. that available data bearing materially on role or seniority of the faculty member in the institution were not considered; or
   3. that unfounded or arbitrary assumptions of fact were made.

9.4 University Rights. In spite of any appeal of a decision concerning program discontinuation and/or layoff of a faculty member, the University has the right to continue actions leading to program discontinuations and/or layoff of faculty.(7)

(7) For program or personnel eliminations other than during a declared state of financial exigency, see the Faculty Handbook regarding notification periods.

10. Hearing Procedure

Reviews conducted by the Faculty Affairs Committee are non-judicial in nature and necessarily informal. Strict rules of procedure (e.g.) confrontation, cross-examination, and formal rules of evidence) may not be required. However, any individual making a presentation to the Committee may obtain the assistance of an adviser or legal counsel of his or her choice. If legal representation is desired, the faculty member must notify the chairperson of the committee at least one week before any hearing that may be scheduled, so that the University also may schedule the presence of legal counsel. Postponements may be granted so that those who desire counsel may have counsel present. The University will be obliged to notify the individual in the same way.

The committee will ensure that appropriate persons are notified of its review and given an opportunity to present to the committee evidence they deem appropriate. Any objection to the review procedures or composition of the reviewing committee must be made in writing to the committee chairperson. All objections will be reviewed by the committee and its decision will be final.

A verbatim record of the hearing, which might be a sound recording, will be maintained and made available to any person with legitimate interest in the proceeding.

11. Layoff Status

11.1 Conditions. A faculty member whose position has been selected for layoff shall, at the end of the appropriate notice period, be placed on layoff status, unless the layoff notice has been rescinded prior to that time.

11.2 Definition of Layoff Status. The faculty member whose notice period has expired is placed on layoff status which shall be defined as follows:

1. for probationary faculty, layoff status shall continue for one year;
2. for tenured faculty, layoff status shall continue until one of the following occurs:
   1. reappointment is made to the position from which laid-off. Failure to accept such reappointment offered in a letter sent by registered mail would terminate the faculty member’s association with the University of Tennessee, Knoxville.
   2. an alternative, continuing position at The University of Tennessee, Knoxville is accepted. Failure to accept an alternative appointment would not terminate the faculty member’s layoff status.
   3. there is failure by the affected faculty member to notify the Chancellor not later than July 1 of each year while on layoff status as to his/her location, employment status, and desire to remain on layoff status. Failure to provide such notification by registered letter shall terminate the faculty member’s layoff status.
3. The period officially designated as layoff status for tenured faculty shall be three years. At the end of that time, a faculty member not reinstated shall have no further obligations to the University nor the University to him/her. However, the University may attempt to re-employ the faculty member after the three year period has elapsed as resources and position openings become available.

12. Rights of Tenured Faculty Members on Layoff

12.1 Alternative Employment. The University shall endeavor to make faculty members laid off aware of openings within the University system, and the University’s placement service shall make its resources available to affected faculty members.

12.2 Retraining. (8) The University shall provide support and limited financial assistance, where possible and mutually beneficial, to enable faculty to readapt within the department or within another department of the institution.

(8) The University recognizes its responsibility toward tenured faculty, and, in a period of retrenchment or impending financial exigency, should develop reeducation programs and make its services available to begin the retraining process for faculty before exigency proceedings become necessary.

Examples of appropriate university support include:

1. Provide remission of tuition and fees for course work taken at UTK by a faculty member as part of a retraining effort.
2. Provision of available resources to assist a faculty member in the preparation of grant applications or identification of other sources of external funding which will assist in his/her retraining.
3. faculty member’s reasonable use of University facilities in his/her retraining.
4. A period of apprenticeship in another department or agency of the campus, at full or partial salary, shall be considered in the retraining of a faculty member.
5. Assistance to the faculty member in his/her attempts to develop new skills useful to the University under the auspices of external local agencies.

12.3 Reappointment Rights. In all cases of layoff because of financial exigency, no person may be employed at the University within three years to perform reasonably comparable duties to those of the faculty member laid off unless the released faculty member has been offered reinstatement and a reasonable time in which to accept or decline it. The three-year period shall be computed from the effective date of layoff as specified in the original notice.

12.4 Rights During Layoff. A faculty member on layoff status has the following minimal rights:

1. such participation in any fringe benefit programs which may be allowed by state regulation governing rights of laid off state employees;
2. such continued use of campus facilities as is allowed by policies and procedures established by the department and institution; and
3. such participation in departmental and institutional activities as is allowed by guidelines established by the department and institution. However, participation shall not include participation in judgments (e.g., teaching assignments, curriculum revision) which themselves might affect the faculty member’s layoff status.

13. Continuation or Termination of Exigency

13.1 One-Year Limitation. No later than one year from the date of the declaration of a state of financial exigency, the Board of Trustees, upon recommendation of the Chancellor who in turn has consulted with appropriate committees of the Faculty Senate, and the System Administration, shall declare either the continued existence of exigency conditions or the termination of the state of financial exigency.

13.2 Continuation of Policies and Procedures. Should a state of financial exigency continue, the policies and procedures established in this document shall continue in effect.

13.3 Termination of Exigency. At the termination of a declared state of financial exigency, all policies, procedures and bodies created in this document for the sole purpose of making and implementing exigency decisions shall cease to exist.

Epilogue: After Exigency

Declaration that a state of financial exigency exists would come only in extraordinary circumstances. For that declaration to be made, two factors would have to be present:

1. The administration and faculty would not have been able, in conditions of increasing financial stringency to reallocate and redirect resources to handle the demands of the academic program, and
2. the chief external causes for the exigency would have been relatively sudden, unexpected and severe.

It follows that the first concern of administration and faculty following a declaration of exigency and an exercise of exigency decisions would be a review and evaluation of the patterns of management and decision that had led to the exigency, along with a more determined effort to anticipate external causes and conditions. In examining the dire situation occasioned by the declaration of a state of financial exigency, at least two questions would need to be addressed:

1. Are the stated mission, role and scope of The University of Tennessee, Knoxville, consistent with the resources likely to be available in the future?
2. Do institutions and persons responsible for decisions about state appropriations want, implicitly or explicitly to change in fundamental ways UTK’s mission, role, and scope?

Finally, The University should be concerned with maintaining the morale and confidence of the faculty by continuing to support good programs for faculty development and evaluation and for further retraining and redirection of competencies as needed. Recruitment and development policies should be reviewed with the experience of exigency decisions in mind.

12/18/95

Appendix 7 - UTK Policy on Consenting Romantic or Sexual Relationships

UTK’s educational mission requires an atmosphere of professional behavior based upon mutual trust and respect between faculty and students. Relationships between students and their teachers, advisors, and others holding positions of authority over them should be conducted in a manner that avoids potential conflicts of interest or exploitation. Given the inherent differences in power between faculty and students, all members of the university community should recognize the possibility of intentional or unintentional abuse of that power.

Commonly accepted standards of professional behavior and ethics require that faculty members not hold evaluative power over any student with whom they have a romantic or sexual relationship. Faculty members who engage in these relationships leave themselves vulnerable to charges of sexual harassment or conflict of interests. Even when both parties initially have consented, such a relationship renders both the faculty member and the institution vulnerable to possible later allegations of sexual harassment in the light of the significant power differential that exists between faculty and students. Thus, faculty members should not initiate or accept such a relationship with a student over whom they have an evaluative role. Should such a relationship develop between a faculty member and a student, faculty members should remove themselves from the evaluation of the student’s work.

Faculty members are therefore obliged to be aware of these problems and of their individual responsibility to protect themselves, their students, and the institution from the harmful effects of such relationships.

Appendix 8 - Policy on Misconduct in Research and Service

Institutions of higher education have maintained a centuries-old tradition of integrity and objectivity. The University of Tennessee is pleased with the overall support given by its faculty, staff, volunteers, and students in upholding this tradition and wants to ensure that the highest level of integrity in all academic activities is continued. In recent years, a few well- publicized cases of misconduct in research, including fabrication of results, plagiarism, and misrepresentation of findings, have aroused concern among institutions of higher education, individual investigators, sponsors of research, professional societies, and the general public. Although verified instances of such dishonest behavior are relatively rare, they do indicate the need to be diligent in protecting the integrity of academic work and the stewardship of public and private funds. Allegations of dishonesty by members of the university community must be dealt with carefully and thoroughly and with appropriately defined procedures if a university is to merit continued public confidence and trust. It is with the intent of formally defining the appropriate procedures for addressing allegations of misconduct in research and service that this Statement of Policy on Misconduct in Research and Service has been adopted.

Applicability

This policy applies to the research and service activity of the faculty, staff, volunteers, and students of The University of Tennessee. With respect to students, however, this policy does not apply to activities carried out in credit courses unless the associated or service activities involve external funding.

Definitions

For the purpose of this policy, the following definitions will be employed:

A. Faculty means anyone who has a paid or non-paid academic appointment with faculty rank at The University of Tennessee, as defined in Personnel Policy No. 105, Employment Status.

B. Staff means staff exempt, staff non-exempt, other academic and student employees of The University of Tennessee, as defined in Personnel Policy No. 105, Employment Status.

C. Student means any individual enrolled in courses for credit on a full- or part- time basis at The University of Tennessee.

D. Volunteer means any individual with a non-paid volunteer, clinical, non- clinical, affiliated, or honorary employment status.

E. Research and Service means research, scholarship, creative endeavors, public service activities, and related functions conducted by faculty, staff, volunteers and students in their capacity as employees, volunteers, or students of the University.

F. Misconduct means fabrication, falsification, plagiarism, or other serious unethical or illegal deviations from accepted practices in proposing, conducting, or reporting the results of research and service activities. It does not include honest error or honest differences in interpretations or judgments of data.

G. Inquiry means information-gathering and initial fact-finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.

H. Investigation means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred.

I. Campus means all campuses and independent budgetary units of the University of Tennessee and affiliated institutions in which research, scholarship, creative endeavors, or public service activities for the University are being conducted.

Responsibilities of the University

The University of Tennessee will instruct its faculty, staff, volunteers, and students to promote and encourage integrity in all research and service endeavors; will act vigorously to discourage and detect misconduct in research or service; will take appropriate disciplinary action against any of its faculty, staff, volunteers, or students who engage in such misconduct, as revealed by a careful investigation; and will inform and cooperate with appropriate sponsoring agencies, organizations publishing findings, and other appropriate organizations and institutions that appear likely to have been affected by such misconduct. The University’s faculty, staff, volunteers and students are to work collegially to create an environment where misconduct will not be tolerated.

Confidentiality

The University will make every reasonable effort to limit voluntary disclosure of information about an allegation of misconduct to those within and outside the University with a need to know. The University is subject, however, to the Tennessee Public Records Act, and the records of any inquiry or investigation do not fall within any statutory or judicially recognized exception to the Act.

Allegations

Any individual who has reason to believe that he or she has knowledge of an act of misconduct within the meaning of this policy by any University of Tennessee faculty, staff, volunteer or student is responsible for communicating this information to a supervisor or appropriate administrator. The supervisor or administrator will refer the allegation to the administration of the campus where the misconduct in research and service is alleged to have occurred. The University will make every reasonable effort to protect the confidentiality of an individual from retaliation by any University official. However, if the allegation is later shown to have been made maliciously and falsely, the University may take appropriate disciplinary action against the individual who made the allegation.

Inquiries and Investigation

A. Inquiry. When an allegation or evidence of misconduct is referred to the campus administration, the chief administrator of the campus will immediately initiate an inquiry. At the same time, the chief administrator of the campus shall give written notice to the individual against whom an allegation has been made of the nature of the allegation but not the identity of the person who made the allegation. The purpose of the inquiry is to determine if sufficient grounds exist for conducting an investigation. The chief administrator will determine on a case by case basis how the inquiry will be conducted. The chief administrator shall ensure that necessary and appropriate expertise is obtained to carry out a thorough and authoritative evaluation of the relevant evidence. The University will take careful precautions against real and apparent conflicts of interest on the part of those involved in the inquiry. An essential component of the inquiry will be for the individual against whom the allegation is made to present evidence orally or in writing as appropriate.

An inquiry must be completed within sixty calendar days of its initiation unless circumstances clearly warrant a longer period. The record of the inquiry should include documentation of the reasons for exceeding the sixty day period.

The University will maintain in a secure manner and for a minimum of three years sufficiently detailed report of inquiries to permit later assessment of reasons for determining that an investigation was or was not warranted. A report of the inquiry shall be made to the chief administrator of the campus and to the President of the University. The written report shall include a statement of the evidence reviewed, a summary of relevant interviews, and the conclusions of the inquiry. The individual against whom the allegation was made shall be given a copy of the report of the inquiry. If the individual comments on the report, the comments will be made a part of the record, Sponsoring agency officials will be informed within twenty-four hours if, after consultation with University legal counsel, an inquiry indicates possible criminal violation.

B. Investigation. If as a result of the inquiry, sufficient grounds exist for further investigation, the chief administrator of the campus will initiate a full investigation within thirty days and will notify the sponsor(s) and the individual(s) against whom the allegation has been made in writing on or before the date the investigation begins. At this point, the chief administrator shall disclose to the individual who will be the subject of investigation the identity of the person who made the allegation. The purpose of the investigation is to examine and evaluate relevant facts to determine whether misconduct has taken place.

This investigation will be conducted by a panel of at least (5) full-time University faculty and administrative staff. The panel will include a minimum of (3) University of Tennessee faculty members having expertise in the area of research or service under investigation and who do no hold administrative appointments. Additional individuals may be appointed to provide expertise according to the nature of the specific allegations or evidence in the case. If necessary, additional faculty members with required expertise may be drawn from academic institutions other than The University of Tennessee. All members of the panel must be free of any potential conflict of interest regarding any activity of the investigation. In the event that there are not 3 members from The University of Tennessee faculty that would meet the qualifications, the panel may be filled by faculty from other academic institutions. The University will take careful precautions against real or apparent conflicts of interest on the part of those involved in the investigation.

The panel of investigation will examine the final report of the inquiry, along with a full statement of allegations which shall be prepared by the chief administrative officer of the campus or his/her designee based upon agency notification and information, individual informants, and other sources. The individual who is the subject of investigation shall be given a copy of the full statement of allegations and an opportunity to comment on the allegations, at the outset of the investigation.

The investigation may also include: a review of files, reports, and other documents at the University or in the public domain; a review of procedures or methods and inspection of laboratories, laboratory materials, specimens, and records of the subject(s) of the investigation; interviews with witnesses; a review of any documents of other evidence provided by or properly obtainable form parties, witnesses, or other sources; and a review of records maintained by and properly obtainable form relevant funding agencies. Whenever possible, interviews should be conducted of all individuals involved either in making the allegation or against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegations; complete summaries of these interviews should be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file. The individual against whom the allegation has been made will be provided promptly with copies of all materials placed in the investigatory file, as they are generated, in order to permit timely response. The individual concerned will be allowed an opportunity to respond, in writing and in person, prior to the time that the panel makes a determination as to whether the allegation has been substantiated. Should the individual choose to respond in person, he or she may be accompanied by legal counsel or other person of his or her choice. The role of legal counsel and any other person shall be limited, however, to advising the individual and shall not include the right to make oral argument or otherwise speak for the individual.

The investigation must be completed within one hundred twenty days of its initiation. This includes conducting the investigation, preparing the report of findings, an obtaining comments from the subject(s) of the investigation. If the University determines that it will not be able to complete the investigation within one hundred twenty days, it must closely adhere to any applicable sponsoring agency regulations regarding the submission of interim reports, requests for extensions, and any other regulations. Documentation will be maintained throughout the investigation to substantiate the findings. This documentation is to be made available to appropriate sponsoring agencies after completion of the investigation.

Upon completing the investigation, the investigative panel shall prepare a final report containing a written statement of its findings and provide a copy of those findings to the individual accused of misconduct. The individual shall have an opportunity to comment on the findings before the investigative panel submits its final report. Comments from the affected individuals will be attached to the final report.

The investigative panel shall submit its final report to the chief administrator of the campus and the President of the University containing an assessment of whether the allegation has been substantiated, describing the procedures under which the investigation was conducted, and including the actual text or an accurate summary of the comments of any individual(s) found to have engaged in misconduct.

The University will strictly adhere to all requirements of sponsoring agencies, if any, including filing of interim progress reports and keeping all agencies apprise of any developments which may affect current or potential funding. Interim administrative actions will be taken, as appropriate, to protect involved sponsoring agency funds and ensure that the purposes of the funding are carried out. The University must notify each sponsoring agency as soon as it ascertains that any of the following conditions exist: (1) there is an immediate health hazard; (2) there is an immediate need to protect agency funds or equipment; (3) there is an immediate need to protect human or animal subjects of the research or service work; (4) there is an immediate need to protect the interests of the person(s) making the allegations or of the subject(s) or co-investigator(s) and associate(s) of the subject(s) of the allegations; (5) it is probable that the alleged incident is going to be reported publicly. Sponsoring agency officials will be informed within 24 hours if, after consultation with University legal counsel, an inquiry or investigation indicates possible criminal violations. Sponsoring agencies will be notified of the final outcome of any investigation including any sanctions taken against an individual.

Unsubstantiated Allegations: Restoration of Reputations

If an allegation of misconduct is not substantiated by an investigation, the chief administrator of the campus will undertake diligent efforts to give notice of that fact to all persons who participated in the inquiry and investigation and other persons or agencies who were informed of the allegation by the University.

Sanctions

If an allegation of misconduct is substantiated, the chief administrative officer of the campus shall initiate the applicable faculty, staff, or student disciplinary procedure, and sanctions, if appropriate, will be imposed under those procedures. If the individual is a faculty member, action will be taken as specified in the applicable Faculty Handbook; if the individual is a staff member, action will be taken as specified in The University of Tennessee Personnel Policies and Procedures; if the individual is a student, action will be taken as specified in the applicable Student Handbook; if the individual is a student and an employee, action may be taken as specified in the applicable Student Handbook and in The University of Tennessee Personnel Policies and Procedures; if the individual is a volunteer, sanctions will rest with the chief administrative officer of the campus.

Dissemination of Policy and Procedure

The chief administrative officer is responsible for ensuring that faculty, staff, volunteers, and students at his/her campus are informed of this policy and of its significance. Questions regarding a specific allegation, inquiry or investigation should be directed to the Office of the General Counsel.

Appendix 9 - General Policy: Conflict of Interest

This policy is applicable to all employees of The University of Tennessee.

A. General Policy

1. Purpose. Objectivity and integrity are essential qualities for employees of any organization, and particularly for those who are engaged in the service of a comprehensive public university. If a public university is to carry out its missions in the areas of instruction, research, and public service with unquestioned credibility, its employees must maintain the highest levels of integrity and objectivity as they perform their duties. The purpose of this policy is to provide guidelines to help the faculty and staff of The University of Tennessee maintain these qualities in situations that may involve a conflict of interests.
2. Definitions. For the purpose of this policy, an employee’s financial interest includes the interest of the employee’s spouse (whether or not they commingle assets) and the interest of the employee’s dependent children (including step- and foster children). In any given circumstance, an employee’s financial interest also may include the interest of nondependent children and parents. Note: A dependent child is under 24 and unmarried; a nondependent child is 24 and older or married.
3. General Principles. Faculty and staff of The University of Tennessee are expected to take all reason-able precautions to ensure that their outside financial interests do not place them in conflict with carrying out their duties and responsibilities as employees of the University. Generally, a conflict of interests exists when an employee:
   1. Allows outside financial interests to interfere with or compromise judgment and objectivity with respect to duties and responsibilities to the University and sponsoring organizations.
   2. Makes University decisions or uses University resources in a manner that results in or is expected to result in:
      • Personal financial gain or financial gain for his or her relatives; or
      • An unfair advantage to or favored treatment for a third party outside the University.
   3. Allows outside financial interests to affect the design, conduct, or reporting of research.
4. State Law. Certain conflicts of interests violate State law and may result in criminal and civil penalties (see Appendix A for applicable sections of Tennessee Code Annotated).
5. Related Policies. The University has additional policies addressing conflicts of interests. Such policies are in effect for the Board of Trustees and for consultants to the University (see Fiscal Policy Statement 05, Section 130). Note: Failure to comply with this policy may result in disciplinary action, which could include termination.

B. Examples of Conflicts of Interests

In accordance with the principles stated above, the following situations are examples of prohibited conflicts of interests and do not constitute an all-inclusive list of prohibited conflicts.Note: The financial interest of a spouse or dependent child is considered the employee’s interest. The financial interest of nondependent children and parents must be reported and in any given case may be considered the employee’s interest.

1. Serving as a member of the board of directors for, serving as a consultant to, or holding an office or a management position in an outside entity and:
   * The employee procures or influences the procurement of goods or services from that entity for the University; or * The employee uses his or her University position to obtain favored treatment for or to provide an unfair advantage to that entity.
2. Holding more than a 5 percent financial interest (or 5% combined interest of the employee, spouse, and dependent child) in an outside venture and:
   * The employee procures or influences the procurement of goods or services from that venture for the University; or * The employee uses his or her University position to obtain favored treatment for or to provide an unfair advantage to that venture.
3. Soliciting or accepting gifts, gratuities, benefits, or favors of monetary value from a person or an entity:
   * In return for influencing an employee in the discharge of his or her University duties; or * While being in a position to obtain favored treatment for or provide an unfair advantage to that person or entity.
4. Selling any products or services to the University or other State agency while an employee or within six months after termination of active employment with the University.
   This prohibition applies to sales by:
   * The employee,
   * A business in which the employee is the sole proprietor,
   * A business in which the employee is a partner, or
   * A business in which the employee has a controlling interest (owns or controls the largest number of outstanding shares owned by any single individual or business).
   
   This prohibition does not apply to:
   * The purchase of textbooks, stage plays, and other copyrighted literary property for which the employee receives royalties from a distributor in which the employee does not own a controlling interest.
   * Sole-source suppliers, unless the employee-supplier also procures or influences the procurement of the particular product or service for the University.
   
   Note: If the sole-source exception allows an employee to sell products or services to the University, the employee’s interest must be publicly acknowledged at the time of the sale.
5. Using confidential or official University information in any manner that results in or is expected to result in personal financial gain or financial gain for the employees relatives or that provides financial gain or an unfair advantage to a third party.

C. Employee Reporting Requirements

All employees are required to take the initiative and report in writing (e.g., memo, etc.) to their immediate supervisor any conflict of interests between their University duties and responsibilities and their outside interests. In addition, employees (except term and students) will be notified annually to disclose outside interests on the form provided by the University (see Appendix B). This form requires the disclosure of specific outside interests that may or may not represent conflicts of interests. Also, employees may be required periodically to complete a disclosure form whether or not they have interests or activities to disclose.

Reporting requirements are as follows:

1. All faculty and exempt staff must have a completed disclosure form on file whether or not they have interests or activities to disclose.
2. All employees (except term and student) will receive an annual notification to disclose outside interests and activities. Once an employee discloses any outside interests or activities, he or she must file a disclosure form annually as long as the interest or activity exists.
3. New employees (except term and student) are required to complete and file a disclosure form within 30 days of their effective employment date whether or not they have interests or activities to disclose.
4. Senior administrative personnel designated by the President or the Executive Vice President and Vice President for Business and Finance are required to file a disclosure form with the General Counsel’s Office by July 30 each year (see Appendix C).
5. Employees involved in research (e.g., PIs, co-PIs, researchers, administrators, etc.) must have disclosed outside interests that may be affected by the research before proposals are submitted to funding agencies. Employees must keep their disclosures updated for the duration of the project. Examples of such interests include, but are not limited to, receiving payments for services exceeding $10,000, having equity interest exceeding 5 percent or $10,000, and holding intellectual property rights.
6. Although not necessarily prohibited, certain outside interests or activities may be conflicts and must be disclosed, such as:
   • Engaging in a partnership, consulting relationship, employment relationship, or other outside venture with other University employees or students. Note: Personnel Policy 122 prohibits University supervisory staff from hiring employees in their line of authority for personal services.
   • Engaging in University research sponsored by an organization in which the employee has more than a 5 percent or $10,000 financial interest.
   • Having a financial interest (including, but not limited to, receiving payments for services exceeding $10,000, having equity interest exceeding 5% or $10,000, and holding intellectual property rights) in an outside venture that would reasonably appear to be affected by any research conducted by the employee.

Campus/Unit Requirements

Chief Business Officers are responsible for ensuring that their campuses or units:

1. Present and discuss this policy with new employees during their orientation.
2. Require all faculty and exempt staff to have an outside interests disclosure form on file whether or not they have interests or activities to disclose.
3. Notify employees annually of their obligation to disclose outside interests and activities and of where to file the disclosure form.
4. Provide instructions to department heads and supervisors to ensure that they understand their responsibilities in reviewing and identifying conflicts of interests.
5. Establish a committee(s) to review the information disclosed by employees; determine whether a conflict of interests exists; and notify employees of the results of the review.
6. Maintain employees’ disclosure forms in their personnel files.
7. Work with employees to prevent or resolve conflicts. Resolution can include eliminating such conflicts or managing conflicts that cannot be eliminated.Conflicts can be managed through independent reviewers, reassignment of responsibilities, modifying the research plan, or other methods to reduce or minimize the effects of a conflict.
8. Inform the Executive Vice President and Vice President for Business and Finance of conflicts of interests in the following ways: (1) report annually any conflicts of interests that were disclosed or became known over the past twelve months and their resolution and (2) report immediately any conflicts of interests that cannot be resolved.
9. Document the review of information disclosed by employees and the actions taken to resolve any conflicts (see Appendixes B and C). For sponsored programs, all documentation related to disclosures and the elimination or management of conflicts must be maintained for three years either after the close of the related awards or any government action involving these records.
10. Report immediately any conflicts of interests that cannot be resolved to sponsoring organizations according to their requirements.
11. Provide sponsoring organizations with required certifications that, for example, the University’s conflict of interests policy was implemented, disclosures were made, and identified conflicts are being managed satisfactorily, etc.