POLICY 06:12:05

PERSONNEL TRANSACTIONS AND RECOMMENDED FORMS

This policy is consistent with Tennessee Board of Regents Guideline P-010

This policy is consistent with Tennessee Board of Regents Guideline P-010 and the Pellissippi
State Recruitment Guidelines.

Purpose

The purpose of this guideline is to supplement provisions of the Tennessee Board of Regents
General Personnel Policy (No. 5:01:00:00) and Pellissippi State Community College Policy
General Personnel Policy (No. 06:01:00), as it relates to personnel transactions, procedures for
college appointments, budgetary and position considerations, required forms for implementation
procedures, processing of forms, employment agreements, contracts, letters of agreement,
records and reports.
Consistent with the general personnel policy, any exceptions to this guideline are subject to
approval by the President.

Policy/Guideline

Personnel Transactions
1. The President is expected to follow Board policies, affirmative action plans, and
  fair employment practices when making appointments.
  1. Appointments requiring the Chancellor’s approval will be reviewed in
    light of these expectations.
  2. All appointments, regardless of salary, including promotions and transfers,
    must be reviewed and certified by the Executive Director, Equity &
    Compliance prior to action.
  3. Other appointments not requiring approval of the Chancellor will be
    reviewed periodically by the TBR System Affirmative Action Officer or
    Assistant Vice Chancellor for Human Resources or designee to ensure
    compliance.
2. Appointments Requiring Approval by the Chancellor
  1. No offer of employment can be made for positions requiring the
    Chancellor’s approval until the appointment form has actually been signed
    by the Chancellor or designee and the monitor, where required.
  2. The college must submit the following positions for approval:
    1. All vice presidents (academic, business, external, student affairs,
    etc.) or other executives reporting directly to the President
    including all interim appointments.
    2. Directors and chairs of the centers of emphasis and excellence,
    including interim appointments.
    3. Any other positions which may be designated by the President.
3. Appointments Not Requiring Approval by the Chancellor
  1. All appointments not listed in I.B. may be approved at the college by the
    President, or any properly approved designee.
  2. The hiring procedures outlined in the following sections will be followed
    with the records being maintained at the institution. Records must be
    maintained as described in Section VI, A.2. of this guideline.
  3. The president shall be responsible for assuring compliance with the
    guideline.
  4. The Executive Director, Equity & Compliance shall be responsible for
    monitoring the recruiting and employment process to assure compliance
    with the guideline and the college’s Affirmative Action program and
    objectives.
  5. For Affirmative Action purposes, institutional records will be reviewed
    periodically by the System Affirmative Action Officer.
    vi. All promotions and transfers not requiring approval of the Chancellor
    must be approved by the president and reviewed and certified by the
    Executive Director, Equity & Compliance in compliance with TBR Policy
    5:01:00:00, General Personnel Policy and PSCC Policy 06:01:00 General
    Personnel.
4. Minimum Requirements for All College Appointments
  1. The following actions or procedures are mandatory, to:
    1. Establish an Affirmative Action Plan which sets goals for all
      categories of employment.
    2. Develop appropriate recruitment and selection procedures to
      ensure fairness in employment.
    3. Determine in a discussion with the Executive Director, Equity &
      Compliance whether the college has met the affirmative action
      goal for the area or department (job group in which the vacant
      position occurs).
      1. Even if the college has met the overall institutional goal in
        an employment category, i.e.,
        executive/administrative/managerial; faculty; professional
        non-faculty; secretarial/clerical/technical and
        paraprofessionals; skilled crafts; service/maintenance, there
        may be a goal for the area or department (job group) in
        which the vacant position is located which has not been
        met.
        
        For example, the overall college faculty goal of
        4.5% black representation has been met, but the
        vacancy is in the job group of Arts and Sciences.
        
        Availability data in Arts and Sciences supports the
        affirmative action plan’s goal of 7.0% black
        representation, which is higher than the overall
        institutional goal.
        
        In this case, the efforts to recruit for the Arts and
        Sciences position will be directed toward qualified
        black candidates since the availability data shows
        the applicant pool should contain some qualified
        black candidates.
      2. A second example relates to the availability of women in
        the particular job group vacancy.
        
        The total institutional faculty goal for women is
        40%, but a higher number of women are available
        in the particular job group category.
        
        Therefore, in both examples cited above affirmative
        action recruitment must occur.
        
        In summary, the college has an obligation to use the
        availability figures applicable to the particular vacancy to
        recruit qualified minorities.
  2. Prior to taking any recruitment action, the person directing the hire and/or
    the search committee must submit to the office of Human Resources and
    Equity & Compliance a written recruitment plan.
    1. There may be a standard plan for any EEO category which has
      been approved in advance.
    2. EEO categories 4, 5, 6, and 7 may be more easily standardized.
    3. There may be a need for occasional modification to this standard
      plan, depending on the nature of the position and the availability
      data.
    4. The plan includes, but is not limited to:
      1. The proposed job description, which has been reviewed by
        the Executive Director, Equity & Compliance;
      2. Method of directing the hire, i.e., individual supervisor or
        search committee;
      3. Composition of the search committee and responsibilities
        of the members, i.e., direct contacts, references, interviews,
        etc.;
      4. An advertising plan, which provides the following:
        
        Advertisement of the position on bulletin boards,
        and/or in appropriate publications, and/or
        newspapers and/or professional discipline-specific
        journals and/or the Tennessee Employment Security
        Office; and/or the internet;
        
        Requests for nominations, from professional
        organizations, discipline-related groups, and
        organizations devoted to leadership training for the
        position;
        
        Diverse membership on all search, selection, or
        advisory committees, when practicable; and,
        
        Direct contacts to assure that underrepresented
        groups are aware of the vacancy and are encouraged
        to apply.
        
        Approval of the recruitment plan must be granted by the Executive
        Director, Equity & Compliance prior to the commencement of the
        recruitment process.
        
        The applicant pool must generally reflect the availability data for the
        defined vacancy in that discipline or field as determined by the appropriate
        job group in the college’s affirmative action plan. Direct contacts will be
        required to assure the diversity of protected groups in the applicant pool.
        
        The Executive Director, Equity & Compliance must review all applicant
        pools and approve their composition prior to the scheduling of interviews.
        Upper level hires as defined in Section I.B.2.b., require the submission of
        Form A-1, Certification of the Search Pool, to the Vice Chancellor for
        Academic Affairs or the System Affirmative Action Officer as outlined in
        Section III of this Guideline.
        
        After a candidate has been identified as a possible hire for positions
        defined in Section I.b., Form A-2, Approval of Appointment, must be
        submitted to the Vice Chancellor for Academic Affairs or the Assistant
        Vice Chancellor for Human Resource Development as outlined in Section
        IV of this Guideline.
        
        In the case of appointments of adjunct faculty, equal employment
        opportunity efforts must include advertisement to establish and build
        diverse pools from which adjunct employees are chosen.
        
        IMPORTANT: If the college has met its affirmative action goals, equal
        employment opportunity is required. Race or sex cannot be used as a plus
        factor in hiring. However, affirmative action efforts are appropriate in the
        recruitment process to assure a representative pool. Discrimination on the
        basis of race, religion, color, national origin, age, handicapped status,
        veteran status, or other illegal basis is a violation of law.
        
        The Tennessee Board of Regents and Pellissippi State Community College
        believes that it is important to check references to limit employer liability
        verify information and reduce cost of rehiring and retraining. Checks will
        produce authenticity of information as it relates to such areas as work
        history, credential problems and criminal backgrounds.
        
        The college shall conduct appropriate and timely checks in conjunction
        with each employment offer.
        1. As an option, the college may choose to participate in a system
        wide contract with a third party vendor who conducts background
        screening and checks.
        2. The college is required to develop procedures which will include
        the specific types of checks and specific positions included.
        3. The college is required to forward the procedures to the system
        office for review and approval prior to implementation of the
        program.
        4. When using the third party vendor, the college shall notify the
        applicant that a background check will be conducted prior to
        conducting the background check.
Budgetary Considerations
1. Pursuant to Section II.A. of the General Personnel Policy (5:01:00:00), where a
  transfer of funds is necessary for appointments with compensation in excess of
  funds available, the transfer is subject to confirmation by the Chancellor.
  1. No approval is necessary unless the transfer of funds is from one
    functional area to another; adjustments of line item salary amounts within
    a functional area may be made by the president if sufficient funds are
    available, subject to applicable guidelines and limitations.
  2. Where a transfer of funds between functional areas is necessary, the
    president is to submit a letter of recommendation to the Chancellor
    identifying the amount and source of transfer.
2. Pursuant to Section II.C. of the TBR General Personnel Policy (5:01:00:00), any
  new administrative positions and major changes in administrative organization
  must be approved by the Chancellor.
  1. If the proposed position or organizational change is submitted as part of
    the proposed operating budget or October 31 revision, it should be
    identified, justified, and documented, but separate approval is not
    required.
  2. If the proposed position or organizational change does not coincide with
    the budget cycle, it should be recommended by the president in the form
    of a letter to the Chancellor which includes a full description, justification,
    fiscal implications, and other pertinent information.
Required Forms for Implementation of Procedures for Approvals
1. Information to support transactions that require the approval of the Chancellor or
  designee is requested in Forms A-1 and A-2.
2. Approval for the certification of the search pool for upper level administrative
  vacancies is shown on Form A-1 (processed through DocuSign, at this link:
  https://www.tbr.edu/hr/paperless-workflow-forms).
3. Where a search committee is formed to search for a college administrator at the
  level of dean of higher, the search committee MUST be racially diverse.
  1. Where a search committee is formed, candidates for hire must first be
    screened by the search committee before an offer can be extended.
  2. The Chair of the search committee must certify that each candidate
    considered by the committee meets or exceeds the criteria published in the
    job description. (See Form A-1).
  3. Supporting documentation for Form A-1 vice presidents and upper level
    academic positions must be submitted to the System Affirmative Action
    Officer.
4. Approval for an appointment recommendation is shown on Form A-2 (processed
  through DocuSign, at this link: https://www.tbr.edu/hr/paperless-workflowforms).
  1. Assurance by the Affirmative Action Officer that an approved process has
    been followed and the qualified other-race applicants have been contacted
    and fully considered is mandatory.
  2. Supporting documentation for vice presidents must be submitted to the
    Assistant Vice Chancellor of Human Resources. Upper level academic
    positions requiring approval must be submitted to the Vice Chancellor for
    Academic Affairs.
Transaction Forms, Employment Agreements, Contracts and Letters of Agreement
1. Transaction Forms
  1. Section V.B. of this guideline provides recommended transaction forms to
    be used for all personnel transactions, unless alternate forms have been
    approved by the Chancellor.
  2. The college may develop internal personnel transaction forms for
    administrative purposes. These forms may relate to management
    information system and contain fiscal and personnel data deemed
    necessary by the institution.
2. Employment Agreements, Contracts and Letters of Agreement
  1. Pursuant to Section II.B. of the General Personnel Policy (5:01:00:00), the
    Chancellor must approve employment agreements, contracts, and letters of
    agreement used in the appointment and employment of college personnel.
    1. Approved provisions for personal, professional, consultant, and
      dual service agreements are addressed in TBR System Guideline
      G-030.
    2. The college may modify the forms or develop alternative and
      additional forms; however, any forms with provisions substantially
      different from the recommended forms should be submitted for
      review and approval by the Office of the Chancellor.
  2. The EEO tagline must be included on all forms.
  3. The language concerning the Drug Free Workplace Act must be included
    on all initial employment contracts.
  4. In order to comply T.C.A. § 49-7-133 the following sentence must be
    included on all contracts:
    1. “It is a Class A misdemeanor to misrepresent academic
      credentials.”
3. The college is advised to exercise extreme caution in connection with
  employment letters to personnel and any cover letters which are used to transmit
  personnel transaction forms, to ensure against inconsistent statements or
  commitments. Moreover, all personnel transactions at the college shall comply
  with the principles and provisions of the Board policy on equal employment
  opportunity and affirmative action (5:01:02:00).
Immigration Expense Allowance
1. New employees may receive reimbursement for immigration expenses when
  considered to be in the interest of the college and when such payment is a part of
  the employment negotiation with a new employee or the relocation of a current
  employee from another employer or institution.
2. Reimbursement/fee allowance for immigration fees must be approved in advance
  by the President or designee.
3. This provision applies only to candidates who are required to pay immigration
  fees to work and live in the U.S.
4. No TBR and/or PSCC employee may receive reimbursement more than once.
5. No payment shall be made unless the employee agrees in writing to remain in the
  service of the college for a period of twenty-four (24) months following the
  effective date of the employment agreement, unless separated for reasons beyond
  their control and acceptable to the college.
6. The service agreement statement should be maintained in the employee’s
  personnel file. In case of a violation of such an agreement, any funds expended by
  the college for such allowance shall be recoverable from the employee as a debt
  due to the college in the same manner as educational allowance payments.
7. Reimbursement shall be in the maximum amount of $4500 and shall not exceed
  the employee’s actual, documented expenses. The allowance cannot be used to
  defray non-immigration-related costs or any costs not associated with the
  individual employee’s immigration expenses.
8. Reimbursable fees include:
  1. Fees charged by a licensed immigration attorney retained in connection
    with the application;
  2. Filing fee;
  3. Permanent residence fee;
  4. Fee for any application to enter the U.S.;
  5. Fee for application to remain in the U.S.; and
  6. Associated fees required in the application process, such as medical
    examinations, fingerprinting, photo identification, postal/courier fees, and
    costs of evaluating foreign academic credentials or translations of foreign
    documents.
9. The employee is responsible for making arrangements for representation,
  completion of paperwork, assistance in the immigration process, and submission
  of all bills and/or invoices for which reimbursement is sought.
10. Faculty may submit a claim for reimbursement by sending a request with original
  receipts to the Chief Academic Officer.
Transaction Records and Reports
1. Transaction Records
  1. The college shall develop and maintain adequate records to document all
    personnel transactions, including transactions which do not require the
    approval of the Chancellor.
  2. As provided in Section IX.A. of the TBR General Personnel Policy
    (5:01:00:00), all transaction records for an employee must be maintained
    as provided in TBR Guideline G-070, Disposal of Records.
2. Transaction Reports
  1. All college personnel transactions shall be incorporated as part of the
    college’s proposed operating budgets and October 31 budget revisions.
    TBR Board staff shall determine the appropriate form and medium for the
    information.
  2. Current personnel information may be reported periodically to the staff by
    the college for administrative purposes relative to the maintenance and
    operation of management information systems.
  3. Current personnel reports may be requested from the college at any time in
    response to requests for information for the Board staff, Board,
    Legislature, etc.
  4. Affirmative action compliance audit reports may be requested on an annual basis.

Sources: TBR Guideline P-010; T.C.A. § 49-8-203; T.C.A. § 49-7-122; T.C.A. § 8-42-101

Adopted by TBR: July 2, 1976 and August 19, 1976
Revised by TBR: September 16, 1980
Revised by TBR; July 1, 1984
Revised by TBR; August 16, 1984
Revised by TBR: July 1, 1985
Revised by TBR: February 16, 1988
Revised by TBR; May 15, 1990
Revised by TBR; September 21, 1990
Revised by TBR: November 13, 1990
Revised by TBR: November 11, 1991
Revised by TBR: November 12, 1996
Revised by TBR: August 5, 1997
Revised by TBR; February 16, 2000
Revised by TBR: May 21, 2001
Revised by TBR; February 13, 2002
Revised by TBR: November 5, 2003
Revised by TBR; November 8, 2006
Revised by TBR: February 13, 2007
Revised by TBR: August 19, 2008
Revised by TBR: May 12, 2009
Revised by TBR: May 18, 2013
Revised by TBR: August 20, 2013
Reviewed/Recommended: President’s Council, November 27, 2023
Approved: President L. Anthony Wise, Jr., November 27, 2023