1. (1) Initiation of the Honor Code Process.

   1. (a) The University may initiate the Honor Code Process on the basis of written allegations received from a Complainant. The University may also initiate the Honor Code Process in the absence of written allegations if the University becomes aware, through other means, of potential Honor Code violations committed by a student.
   2. (b) Upon receipt of written allegations or other information concerning potential Honor Code violations, the Office of Student Conduct (or designee), on behalf of the University, will review the information and initiate the Honor Code Process by scheduling a Preliminary Meeting with the Respondent as provided under Section .06(3) of this Chapter.

2. (2) Notice of Allegations.

   1. (a) If the Office of Student Conduct (or designee) determines to initiate the Honor Code Process, it will provide a Notice of Allegations to the Respondent.

   2. (b) The Notice of Allegations will:

      1. 1. Inform the Respondent that the University has received allegations that the Respondent has violated the Honor Code and that the University has begun or will begin an investigation of the alleged violations;
      2. 2. Provide a brief description of the alleged Honor Code violation(s);
      3. 3. Notify the Respondent of his or her right to be assisted and/or supported by an advisor at all stages of the Honor Code Process;
      4. 4. Either notify the Respondent of the date, time, and location of the Preliminary Meeting, or instruct the Respondent to contact the Office of Student Conduct (or designee) within five (5) business days of the effective date of the notice to schedule a Preliminary Meeting;
      5. 5. Inform the Respondent of the consequences for failure to schedule or appear at a Preliminary Meeting, as provided under Section .06(3)(a) of this Chapter; and
      6. 6. Provide the website address where the Respondent can review a copy of the Honor Code and instruct the Respondent to review the Honor Code rules for information about the Honor Code Process.

3. (3) Preliminary Meeting. After a Notice of Allegations is issued to a Respondent, the Office of Student Conduct (or designee) will hold a Preliminary Meeting with the Respondent in accordance with Section .06(3)(b) of this Chapter, unless the Respondent fails to schedule a Preliminary Meeting or fails to appear at a scheduled Preliminary Hearing as provided under Section .06(3)(a) of this Chapter.

   1. (a) Failure to Schedule or Appear at Preliminary Meeting. If the Respondent fails to contact the Office of Student Conduct (or designee) within five (5) business days of the effective date of the Notice of Allegations to schedule a Preliminary Meeting or 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 schedule or appear at a 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)(a) and the Office of Student Conduct (or designee) determines that charges should be issued based on the information available, the Office of Student Conduct (or designee) 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)(d) of this Chapter.

   2. (b) Appearance at Scheduled Preliminary Meeting. If the Respondent appears at a scheduled Preliminary Meeting, the Office of Student Conduct (or designee) will conduct a Preliminary Meeting with the Respondent in the following general manner:

      1. 1. The Office of Student Conduct (or designee) will inform the Respondent of the allegations against the Respondent, and if requested, provide the Respondent with a reasonable opportunity to review the written allegations.
      2. 2. The Office of Student Conduct (or designee) 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 (or designee) and/or the identification of any witnesses the Respondent believes have relevant information.
      3. 3. Both the Office of Student Conduct (or designee) and the Respondent may ask questions and seek clarifying information about the allegations, possible sanction(s), and the Honor Code Process.
      4. 4. If, based on the available information provided by the Respondent, the Office of Student Conduct (or designee) determines that no additional investigation of the allegations is needed, the Office of Student Conduct (or designee) will inform the Respondent of the Formal Hearing options available for resolution of the allegations. The Respondent will then be provided with the opportunity to select the type of Formal Hearing through which to contest the allegations. Upon the Respondent's selection of the type of Formal Hearing, the Preliminary Meeting will be concluded, and the Office of Student Conduct (or designee) will provide the Respondent with a Notice of Charges in accordance with Section .06(5) of this Chapter.
      5. 5. If, based on the available information provided by the Respondent, the Office of Student Conduct (or designee) determines that additional investigation is needed, the Preliminary Meeting will be concluded, and the Office of Student Conduct (or designee) will continue its investigation in accordance with the applicable procedures under Section .06(4) of this Chapter.

4. (4) Investigations.

   1. (a) The Office of Student Conduct may delegate to and/or collaborate with the Office of Research Integrity or other designated University Official on the investigation of alleged Honor Code violations.
   2. (b) Investigations will be conducted in a prompt, thorough, ethical, and equitable manner.
   3. (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.
   4. (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, 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.

5. (5) Notice of Charges.

   1. (a) If the Office of Student Conduct (or designee) determines, either at the end of the Preliminary Meeting as provided under Section .06(3)(b) of this Chapter or at the conclusion of the investigation, that the Honor Code Process should proceed with respect to the allegations, then the Office of Student Conduct (or designee) will provide the Respondent with a Notice of Charges.

   2. (b) The Notice of Charges will include, without limitation, the following information:

      1. 1. A description of the conduct the Respondent is charged with committing, the specific Honor Code violation(s) charged against the Respondent, and the recommended disciplinary sanctions;
      2. 2. The types of Formal Hearings available for resolution of the charge(s);
      3. 3. That 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 select the type of Formal Hearing for resolution of the charge(s); and
      4. 4. The Respondent's right to be assisted and/or supported by an advisor at all stages of the Honor Code 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.

Authority: T.C.A. §§ 4-5-101, et seq. and 49-9-209(e); Public Acts of Tennessee, 1839-1840, Chapter 98, Section 5; and Public Acts of Tennessee, 1807, Chapter 64. Administrative History: Original rule filed September 15, 1976; effective October 15, 1976. Amendment filed August 31, 1982; effective November 15, 1982. Repeal and new rule filed May 27, 1986; effective August 12, 1986. Repeal and new rules filed September 30, 2019; effective December 29, 2019.