Section 1720-02-05-.06 - STUDENT CONDUCT PROCESS - INITIAL AND PRE-RESOLUTION STAGES(1) Initiation of the Student Conduct Process.(a) The University may initiate the student conduct process on the basis of written allegations received from any source including, without limitation, students, faculty members, staff employees, or law enforcement agencies. The University may also initiate the student conduct process in the absence of written allegations if the University becomes aware, through other means, of potential Code violations committed by a student. Notwithstanding any provisions of this Section .06(1)(a) to the contrary, the student conduct process for cases involving alleged violations of Standard of Conduct 7 under Section .04(7) of this Chapter is initiated in accordance with Section .06(1)(c).(b) Upon receipt of written allegations or other information concerning potential Code violations, the Office of Student Conduct, on behalf of the University, will review the information and determine whether or not to initiate the student conduct process. The Office of Student Conduct's determination of whether to initiate the student conduct process generally will be based on: (i) a preliminary investigation by the Office of Student Conduct or other University official(s) into the allegations or information received; (ii) a determination of whether the alleged conduct falls within the jurisdiction of the Code; and(iii) a determination of whether the alleged conduct, if true, violated the Code.(c) Notwithstanding any provisions in this Section .06(1) to the contrary, in cases involving alleged violations of Standard of Conduct 7 under Section .04(7) of this Chapter, the student conduct process is initiated upon the filing of a Formal Complaint by a Complainant or by the Title IX Coordinator. As soon as practicable after the filing of a Formal Complaint, the Office of Student Conduct will provide a Notice of Receipt of Formal Complaint to the parties who are known. The Notice of Receipt of Formal Complaint shall include the following information: (i) notice of the student conduct process that applies to the allegations;(ii) the identities of the parties involved in the incident;(iii) the conduct allegedly constituting the violation;(iv) the date and location of the incident, if known;(v) a statement that the Respondent is presumed not responsible for the alleged conduct;(vi) a statement that a determination regarding responsibility is made at the conclusion of the student conduct process;(vii) the parties' right to have an advisor of their choice, who may be, but is not required to be, an attorney; (viii) the parties' right to inspect and review evidence; and(ix) notice of the provisions of the Code that prohibit providing false information to a University official. In cases involving alleged violations of Standard of Conduct 7 under Section .04(7) of this Chapter, a Notice of Receipt of Formal Complaint shall be provided to the parties in lieu of the Respondent being provided a Notice of Allegations under Section .06(2).(2) Notice of Allegations. (a) If the Office of Student Conduct determines to initiate the student conduct process, it will provide a Notice of Allegations to the Respondent.(b) The Notice of Allegations will: 1. Inform the Respondent that the University has received allegations that the Respondent has violated the Code and that the University has begun or will begin an investigation of the alleged violations;2. Provide a brief description of the alleged Code violation(s);3. Notify the Respondent of his or her right to be assisted and/or supported by an advisor at all stages of the student conduct process;4. Instruct the Respondent to contact the Office of Student Conduct within five (5) business days of the effective date of the notice to schedule a Preliminary Meeting as provided under Section .06(3) of this Chapter;5. Inform the Respondent of the consequences for failure to schedule or appear at a Preliminary Meeting, as provided under Section .06(3) of this Chapter; and6. Advise the Respondent to review the Code for information about the student conduct process.(c) Notwithstanding any provisions of this Section .06(2) to the contrary, in cases which a Formal Complaint is filed alleging violations of Standard of Conduct 7 under Section .04(7) of this Chapter, a Notice of Receipt of Formal Complaint shall be provided to the Complainant and Respondent as provided under Section .06(1)(c) in lieu of a Notice of Allegations being provided to the Respondent.(3) Preliminary Meeting. (a) Preliminary Meeting. After a Notice of Allegations is issued to a Respondent, a Hearing Officer, appointed by the Office of Student Conduct, will hold a Preliminary Meeting with the Respondent, unless the Respondent fails to schedule a Preliminary Meeting as provided under Section .06(3)(a) of this Chapter or fails to appear at a scheduled Preliminary Hearing as provided under Section .06(3)(b) of this Chapter. If the Respondent fails to contact the Office of Student Conduct within five (5) business days of the effective date of the Notice of Allegations to schedule the Preliminary Meeting, the Respondent waives his or her right to a Preliminary Meeting and the right to select the type of Formal Hearing for resolution of the allegations, unless the Respondent's failure to contact the Office of Student Conduct is excused by the Office of Student Conduct upon a showing of good cause. If the Respondent waives his or her right to a Preliminary Hearing as provided under this Section .06(3)(a) and the Hearing Officer determines that charges should be issued based on the information available, the Hearing Officer will select the type of Formal Hearing for resolution of the charge(s) and provide the Respondent with a Notice of Charges in accordance with Section .06(5) of this Chapter. Notwithstanding any provisions to the contrary in this Section .06(3)(a), in cases in which the Respondent has the right to a UAPA Hearing, the Respondent waives his or her right to a UAPA Hearing only as provided under Section .07(1)(e) of this Chapter.(b) Failure to Appear at Preliminary Meeting. If the Respondent fails to appear at a scheduled Preliminary Meeting, the Respondent waives his or her right to a Preliminary Meeting and the right to select the type of Formal Hearing for resolution of the allegations, unless the Respondent's failure to appear at the Preliminary Meeting is excused by the Office of Student Conduct upon a showing of good cause. If the Respondent waives his or her right to a Preliminary Hearing as provided under this Section .06(3)(b) and the Hearing Officer determines that charges should be issued based on the information available, the Hearing Officer will select the type of Formal Hearing for resolution of the charge(s) and provide the Respondent with a Notice of Charges in accordance with Section .06(5) of this Chapter. Notwithstanding any provisions to the contrary in this Section .06(3)(b), in cases in which the Respondent has the right to a UAPA Hearing, the Respondent waives his or her right to a UAPA Hearing only as provided under Section .07(1)(e) of this Chapter.(c) Appearance at Scheduled Preliminary Meeting. If the Respondent appears at a scheduled Preliminary Meeting, the Hearing Officer will conduct the Preliminary Meeting in the following general manner: 1. The Hearing Officer will inform the Respondent of the allegations against the Respondent and the potential disciplinary sanction(s) that could be issued against the Respondent.2. The Respondent may ask questions and seek clarification about the allegations and any other information regarding the student conduct process.3. The Hearing Officer will provide the Respondent with an opportunity to respond to the allegations through various means, including, without limitation, the presentation of any information for consideration by the Office of Student Conduct and/or the identification of any witnesses the Respondent believes have relevant information.4. If the Hearing Officer determines at the Preliminary Meeting that additional investigation is not needed and that charges should not be issued against the Respondent, the Preliminary Meeting will be concluded and the Hearing Officer will provide a Notice of Decision to the Respondent in accordance with Section .13(1) of this Chapter.5. If the Hearing Officer determines at the Preliminary Meeting that no additional investigation is needed and that charges should be issued against the Respondent, the Hearing Officer will inform the Respondent of the determination, the proposed disciplinary sanction(s) to be issued, and the applicable options available for resolution of the charge(s) provided under Section .07 of this Chapter. The Respondent will then be provided the opportunity to state whether the Respondent wishes to accept responsibility for the charge(s) and the proposed disciplinary sanction(s), or contest the charge(s) and/or proposed disciplinary sanction(s) in a Formal Hearing.(i) If the Respondent wishes to accept responsibility for the charge(s) and sanction(s), or otherwise not to contest the charge(s) and sanction(s) in a Formal Hearing, the Respondent may either: (I) Enter into a Resolution Agreement accepting responsibility for the charge(s) and sanction(s) in accordance with Section .07(2) of this Chapter; or(II) Sign a written waiver of Respondent's right to contest the charge(s) and sanction(s) in a Formal Hearing. In such case, the Hearing Officer will provide a Notice of Decision to the Respondent in accordance with Section .13(3) of this Chapter.(ii) If the Respondent wishes to contest the charge(s) and/or the sanction(s) in a Formal Hearing, the Preliminary Meeting will be concluded and the Respondent will be issued a Notice of Charges in accordance with Section .06(5) of this Chapter, except as provided under Section .08(3) of this Chapter.6. If the Hearing Officer determines at the Preliminary Meeting that additional investigation is needed before the Hearing Officer determines whether or not charges should be issued against the Respondent, the Preliminary Meeting will be concluded and the Office of Student Conduct will continue its investigation of the allegation(s).(d) The preceding provisions of this Section .06(3) do not apply to cases in which a Formal Complaint has been filed alleging violations of Standard of Conduct 7 under Section .04(7) of this Chapter. All Formal Complaints will be investigated by the Office of Student Conduct without any preliminary determinations as to whether investigation is needed or whether charges should be issued.(4) Investigations. (a) Investigations of alleged violations of the Code will be conducted by the Office of Student Conduct unless another person or organization is designated to serve as the investigator in accordance with University rules or policy.(b) Investigations will be conducted in a prompt, thorough, ethical, and equitable manner.(c) When conducting an investigation, the Office of Student Conduct (or other designated investigator) will act as a fair and impartial party rather than as a representative of the person, office, unit, or organization that submitted the allegations.(d) During an investigation, the Complainant(s), the Respondent(s), witnesses, or any other persons may be interviewed, and other relevant information and documentation will be obtained as applicable. The Office of Student Conduct (or other designated investigator) is not obligated to interview a witness identified by the Complainant or the Respondent if the Office of Student Conduct (or other designated investigator) believes the witness is not likely to possess relevant information, the information from the witness is not likely to lead to the discovery of relevant information, or the information the witness is likely to possess is cumulative of other information already gathered. The Office of Student Conduct (or other designated investigator) may re-interview the Complainant(s), Respondent(s), witnesses, and/or any other person at any time during the investigation in order to obtain additional and/or clarifying information.(e) Notwithstanding any provisions in this Section .06(4) to the contrary, in an investigation of a Formal Complaint alleging violations of Standard of Conduct 7 under Section .04(7) of this Chapter, the Office of Student Conduct will (i) ensure that the burden of proof and the burden of gathering evidence rests on the University and not on the parties; (ii) provide an equal opportunity for the parties to identify and present witnesses for interview, including fact witnesses and expert witnesses, and other inculpatory and exculpatory evidence; and (iii) provide written notice of the date, time, location, participants, and purpose of all investigative interviews and other meetings, with sufficient time to prepare to participate.(f) Notwithstanding any provisions in this Section .06(4) to the contrary, in an investigation of a Formal Complaint alleging violations of Standard of Conduct 7 under Section .04(7) of this Chapter, the Office of Student Conduct will provide both parties with an equal opportunity to inspect and review any evidence obtained as part of the investigation that is directly related to the allegations raised in the Formal Complaint. Prior to completion of the investigative report, the Office of Student Conduct will send to each party and the party's advisor, if any, the evidence subject to inspection and review. The parties shall have at least ten (10) business days to submit a written response, which the Office of Student Conduct will consider prior to completion of the investigative report. After the investigative report is completed, the parties shall have at least ten (10) business days to submit a written response to the report, and no hearing shall occur until that 10-day response period has lapsed even if the parties have submitted responses prior to the expiration of the 10-day period.(5) Notice of Charges. (a) If it is determined that a Respondent should be charged with violation of the Code, the Office of Student Conduct will provide the Respondent with a Notice of Charges, unless otherwise provided in this Chapter.(b) The Notice of Charges will include, without limitation, the following information: 1. A description of the conduct the Respondent is charged with committing, the specific Code violation(s) charged with violating, and the recommended disciplinary sanctions;2. The types of Formal Hearings available for resolution of the charge(s);3. That, if the Respondent wishes to contest the charge(s) and/or proposed disciplinary sanction(s), the Respondent must request one (1) of the available Formal Hearing options in writing within five (5) business days of the effective date of the Notice of Charges or otherwise waives the right to contest the charge(s) in a Formal Hearing; and4. The Respondent's right to be assisted and/or supported by an advisor at all stages of the student conduct process. In cases in which the UAPA requires the University to offer the Respondent a UAPA Hearing, the notice shall notify the Respondent of his or her right to be assisted or represented by legal counsel if the Respondent decides to contest the charge(s) through a UAPA Hearing.(c) The preceding provisions of this Section .06(5) do not apply to cases in which a Formal Complaint is filed alleging Title IX Allegations. All such Formal Complaints will proceed to a Title IX Hearing unless resolved through Informal Resolution, in accordance with Section .07(4) of this Chapter.Tenn. Comp. R. & Regs. 1720-02-05-.06
Original rule filed September 15, 1976; effective October 15, 1976. Repeal filed August 22, 1980; effective November 5, 1980. Repealed by Public Chapter 575; effective July 1, 1986. New rule filed May 27, 1986; effective August 12, 1986. Amendment filed June 22, 2006; effective October 27, 2006. Repeal and new rule filed April 17, 2012; effective September 28, 2012. Emergency rule filed August 27, 2015; effective through February 23, 2016. Amendment filed September 14, 2015; effective December 13, 2015. Emergency rules filed June 29, 2018; effective through December 26, 2018. Amendment filed June 29, 2018; effective September 27, 2018. Repeal and new rule filed September 30, 2019; effective December 29, 2019. Emergency rules filed August 13, 2020; effective through February 9, 2021. Emergency rules expired effective February 10, 2021, and the rules reverted to their previous statuses. Amendments filed December 17, 2020; effective 3/17/2021.Authority: T.C.A. §§ 4-5-101, et seq., 49-7-122, 49-7-1704, and 49-9-209(e); Public Acts of Tennessee, 1839-1840, Chapter 98, Section 5; and Public Acts of Tennessee, 1807, Chapter 64.