FACULTY POLICIES AND PROCEDURES COMMITTEE MEETING MINUTES – EDITORIAL CORRECTIONS – JUNE 9, 2003

 

DATE:  April 18, 2003

 

TIME: 7:32 – 9:18 am

 

LOCATION: HOEN 120

 

MEMBERS PRESENT: Dr. Pat Greenup (Chair), Dr. Madelyn Coar, Dr. Lori Cormier, Dr. Joe Gauthier, Dr. Marcus Hickson III, Dr. Katharine Kirk, Dr. Warren Martin, Dr. Janice Patterson, Mr. Tim Pennycuff, Dr. Sonja Rieger, Dr. BJ Stephens, Ms. Carolyn Walden, Dr. Michael Wyss, Dr. Rose Scripa

 

Ex Officio Members Present: Mr. Ed Kennedy, Mr. James Lowery, Dr. Joseph Telfair

 

Members and ExOfficio Members Absent with Notification: Dr. Eli Capilouto,

Dr. Joan Turner

 

Members Absent: Dr. Hrudaya Nath, Dr. Om Srivastava

 

Guests: Ms. Tanta Myles for Dr. Matalon; Ms. Stephanie Hobe (Assistant to Dr. Scripa)

 

 

  1. Call to Order

 

Presiding Chair, Dr. Pat Greenup, called the meeting to order at 7:31 A.M.

 

  1. Adoption of Minutes of March 21, 2003 FPPC Meeting

 

The minutes of the March 21, 2003 meeting were approved as distributed.

 

  1. Chair Report

 

Dr. Greenup reported that summary reports for the FPPC proposed changes made to Section 2.0, and Appendices A, B, C were done at the request of the Faculty Senate Executive Committee. A chronology report was prepared because there were questions about the process of review.  Section 2.0, Appendices A, B, C (redline and no redline versions) have been posted on the Faculty Senate website. The chronology and the response report to the Faculty Senate are posted on the website at handbook review link.

 

 

 

 

  1. Presentation of Information Items (James Lowery)

 

Mr. Lowery indicated that no changes have been made to the handout since the last meeting of the FPPC.

 

  1. Senate Report (Dr. Mark Hickson)

 

Dr. Hickson indicated that discussion of Section 2.0 was started at the last meeting of the Faculty Senate on March 11, 2003.  A series of questions were discussed (see the Senate minutes on the Senate website.)  The Senate is planning to vote on Section 2.0 at their next meeting, which is scheduled for May 11, 2003.  Dr. Telfair suggested that other means of communication should be done for the faculty.  At the next meeting of the Executive Committee Dr. Hickson is going to make a recommendation that more time needs to be allowed on the Senate floor for discussion of these policies.

 

Dr. Greenup inquired about the status of the recommendation for the Sick Leave Policy.  Dr. Hickson indicated that he is in the process of drafting a letter for Dr. Heaven.

 

Dr. Greenup inquired about the status of the recommendation to the Faculty Senate concerning the recommendation that the UAB Faculty Handbook and Policies be accessible by persons outside of the UAB community. The status of this request is unknown and will need to be determined.

 

Dr. Greenup reported that the letters listed as items d and e for this meeting’s agenda have been forwarded to the Faculty Senate. The FPPC Chair presented a request to the Senate Executive committee that action on these requests be postponed until after the Senate votes on the Section 2.0 and Appendix A, B and C. This is to avoid confusion with the Senate’s action on the FPPC proposed revisions for Section 2.0 and Appendices A, B and C.

 

6.      Old Business

 

a.      Subcommittee A – (Dr. BJ Stephens)

 

A written report was submitted as a pdf and is part of the official minutes for the April 18 meeting.

Subcommittee A met on April 16, 2003 to continue discussions concerning assigned policies and sections of the handbook.

Subcommittee A made the following recommendations:

1.      Subcommittee A recommended that Section 5.2 Information Disclosure Policy be relocated to Section 3.0 as 3.15 of the faculty handbook. The new version of this policy deals with more than compensation.  (A renumbering of section 5 should be accomplished)

2.      Subcommittee A recommended NO CHANGES AT THIS TIME FOR THE FOLLOWING POLICIES: Nonsmoking Policy, Purchasing and Guidelines, Policies Concerning the Re-employment of UAB retirees.

3.      Subcommittee A recommended that an ad hoc committee be formed to consider questions about printed versions of the handbook both for distribution and archiving. Additionally, the ad hoc group should consider format and budget information as part of the discussion.

 

b.      Subcommittee B – (Dr. Mike Wyss)

Dr. Wyss indicated that the PROPOSED CHANGE TO THE FPPC/SENATE POLICY REVIEW PROCESS is still pending.  Dr. Wyss forwarded a proposed recommendation on March 21, 2003 to the Subcommittee B members. The Subcommittee members made no changes to the proposal.

Dr. Greenup indicated that the proposal will be distributed in the packet for the May meeting and the topic placed on the agenda for the May 23, 2003 FPPC meeting.

 

c.       Subcommittee C – (Dr. Pat Greenup)

The following written report was submitted.

                  Subcommittee C Meeting Minutes-April 11, 2003

 

  1. Review of Pending Sections in Part I of the UAB Faculty Handbook and Policies
    1. Section 3.2 – Political Activity

 

Ed Kennedy is reviewing existing documents to respond to questions about use of email when faculty are encouraged to send messages to legislators and attempt to sway a pending vote; a definition of ‘appropriate channels’; and a question about the actions necessary by faculty when they are performing activities related to political events but are not a candidate. This section is waiting for the completion of these questions.

Recommendation for the FPPC to request that the Provost office include the practice of including a general statement such as “UAB property such as letterhead, email and phone are not to be used for political action by UAB employees at any time.”

This type of statement was included on email messages from administration to faculty/staff in the past when Legislative Alerts and requests to contact legislators were distributed such as the “8 in 98” campaign. Because this message has not been used consistently since this campaign there is confusion about when email via UAB resources is appropriate.

 

    1. Section 3.5 – Consulting – pending for review and discussion.

 

    1. Section 3.6 – Ethical Standards – pending for review and discussion.

 

    1. Section 3.7 – Nepotism Policy (Edited for relevance to faculty and for publication in the Faculty Handbook) – four editorial changes are needed for this section – see the Table in this report/3.7

 

    1. Section 3.8 – Standards of Behavior – pending for review and discussion.

 

    1. Section 3.9 – Sexual Harassment – review of this section is completed there are no recommendations for changes to the text of Section 3.9. The Office of Legal Counsel is currently revising the “Investigator Guide to Sexual Harassment.” Subcommittee C is recommending to the FPPC that when the “Guide” is revised that faculty be notified of where to find the “Guide” and be made aware of the process when a student charges a faculty member with sexual harassment. See Section 3.9 in the Table in this report.

 

    1. Section 3.11 – Computer Software – no changes are recommended. This section was reviewed by the Interim VP for Information Technology and recommended no changes.

 

    1. Section 3.12 – Electronic Data – no changes in the text are recommended; however, Subcommittee C does recommend that the section be renumbered as Section 3.13, see the Table Section 3.12 in this report.

 

      The Interim VP for Information Technology reviewed this section  

      and recommended no changes at this time.

      However, Sheila Sanders, Interim VP indicated that a

      recommendation for a name or title change for the Policy now

      entitled Electronic Data Processing Security Policy (to reflect

      current terminology) possibly will be introduced at a later time.

 

    1. Section 3.13 – Computer Software – Copying and Use – no changes are recommended for this section with the exception to renumber the Section as Section 3.12.  Interim VP, Shelia Sanders for Information Technology reviewed this section and no changes were recommended.

To address the question about ownership of student-produced videos and electronic products with digital equipment, the recommendation is to review the  “Ownership of Intellectual Property Rights” sections in the undergraduate and graduate student catalogues for reference to intellectual materials produced by students in courses while utilizing UAB resources. Additionally, the Office of Legal Counsel needs to be consulted on this question.

                     

    1. Section 3.14 – Review of Contracts – this section is pending for further discussion.

 

    1. New Section 3.15 – move Section 5.2 narrative to Section 3 (narrative correlating with the December 2002 Information Disclosure and Confidentiality Policy. This recommendation also requires that the Table of Contents be modified to add Section 3.15 and delete Section 5.2 and change the numbers for Section 5.3 to 5.2 and 5.4 to 5.3.

 

  1. Review of Policies in Part II of the UAB Faculty Handbook and Policies
    1. Policy # 5 – Computer Software Copying and Use Policy.

 

VP for Information Technology reviewed this policy and recommended no changes at this time. “Wording is appropriate to cover concerns over file, music, video and other program violations becoming more prevalent through file-sharing technologies.”

      Subcommittee C questions to be examined - who owns student-

      produced films with the concern for products students produce

      in UAB courses; suggestions for follow up – review the student

      catalogues for policies related to intellectual property when

      students are involved and to consult Ed Kennedy.

 

    1. Policy # 6 – Computer Software Policy

 

Yes, the Computer Software Committee is still a functional committee when needed. No changes are recommended for this policy.

 

    1. Policy # 7 – Conflicts of Commitment – pending for further discussion.

 

    1. Policy # 8 – Conflicts of Interest – pending for further discussion.

 

    1. Policy # 10 – Electronic Data Processing Security  - The interim VP for Information Technology indicated that the content is still relevant and accurate. At a later time there may be a recommendation to change the name to reflect more current terminology.

 

    1. Policy # 22 – Ethical Standards in Research/Scholarly Activities – this policy review is pending and will require further discussion by the Subcommittee C.

 

  1. Ad Hoc committee of FPPC Report – Online Web-Based Education

 

In the fall of 2001, the FPPC Chair appointed B. J. Stephens, Joe Gauthier, Marilyn Kurata, Tom Norton and Warren Martin to review the June 9, 2001 request from the Faculty Senate concerning distance learning technologies and web-based education or online courses. The charge was to review issues such as conflict of interest, conflict of commitment, copyright issues, and policies concerning online technologies.

 

The Ad Hoc Committee report was submitted to the FPPC Chair February 8, 2002. The report was submitted as a recommendation to the FPPC and the report was then assigned to Subcommittee C to consider as discussions occurred for the policies on conflict of commitment and interest.

 

The report submitted to FPPC from the Ad Hoc Committee follows:

 

      Online education represents another medium through which the mission of teaching,

      research, and service can be accomplished. As another channel of communication,

      online material and conduct falls under all existing University Policies and

      Procedures.  For example, questions about intellectual property rights are covered in

      Section 3.10 Ownership of Intellectual Property Rights; Section 2.2 details specific

      Faculty Rights and Responsibilities; Section 2.5 discusses Specific Criterion for

      Appointment, Promotion and Tenure; and Section 3.8 addresses Standards of

      Behavior.  The sections mentioned only represent some of the important sections in

      the Faculty Handbook and Policies but certainly not all.   Additionally teaching,

      research, and service standards can be higher (i.e. more restrictive) for a given unit

      than the general university standard (but not less).   For example, each individual unit

      will have the responsibility of evaluating the worth (and contribution) of material

      published on the web.

      The same standards expected of traditional classroom material/presentations apply to

      e-courses: pertinent quality material; departmental standards of grading, numbers and

      types of assignments; and professional standards of conduct such as meeting class and

      responding to students’ work.

 

       Subcommittee C has not completed the review and revision of Section 3.5

      Consulting and Policies 7 and 8 related to conflict of commitment and

      conflict of interest.

       Based on discussion on April 11, 2003, the Subcommittee C is

      recommending no action at this time to specifically address online

      course policies or web-based education. However, this topic is still

      pending for the discussions related to commitment and interest conflicts

      as well as the need for the FPPC to remain alert to activities at the

      University and System levels concerning practices and policies related to

      web-based education.

 

The following table is a summation of the status of Section 3.0 and Policies (# 1,5,6,7,8,10,22,24,29, Consensual Romantic Relationship) assigned to Subcommittee C for review as of April 11, 2003.

 

Section 3 Faculty Rights and Responsibilities

Status of Each Section Based on Review by

Subcommittee C

 

 

 

3.1 Academic Freedom

No substantive changes recommended.

 

3.2 Political Activity

FPPC Chair will communicate with Office of Counsel to clarify interpretation and wording.

 

Pending information from Ed Kennedy – 4-11-03.

 

Subcommittee C is recommending to the FPPC that a request be forwarded to the Faculty Senate to recommend to the Provost that in the future when email messages related to legislative encouragements to faculty are forwarded with the request to take action that the email messages include the standard statement – “No UAB resources including phones, letterheads and email may be used to communicate with legislators.”

 

3.3 Extramurally

Sponsored Programs

No substantive changes recommended.

3.4 Fundraising

No substantive changes recommended.

Editing change will be done to correct name of guidelines to read

“See Fund Raising Policy and Gift Acceptance Guidelines from the UAB Alumni and Development Office”

 

 

 

 

 

3.5 Consulting

Still under review, review in progress – 4-11-03

Note: Review pending for any concerns related to conflict or commitment issues and policies/practices connected to online courses and web-based education.

 

 

3.6 Maintenance of High Ethical Standards in Research and Scholarly Activities

Still under review, review in progress – 4-11-03

3.7 Nepotism

No substantive changes are recommended. However, four editorial corrections are needed so that the Section 3.7 reads:

“No family member may interpret policy and procedures or make ANY work-related decisions regarding hiring, promotion, salary compensation level, job assignment, performance evaluation, discipline, termination, or any other SUCH issue affecting another member of his/her immediate family.

Immediate family includes spouse, son or daughter (including stepchildren), grandchild, son-in-law, daughter-in-law, parent (including stepparent), grandparent, father-in-law, mother-in-law, brother or sister (including stepbrother or stepsister), brother-in-law, sister-in-law.

Any exceptions to this policy must be approved in writing (in the case of faculty members by the Dean or Library Director and by the Provost) and must be submitted to the Associate Vice President for Human Resource Management. Future problems related to an approved exception should be referred to (in the case of faculty members to the Dean, or Library Director, Provost) or Associate Vice President for Human Resource Management, as appropriate.”

 

Changes are in CAPS and the location of the information in () related to in case of faculty members.

 

3.8 Standards of

Behavior

Still under review, review in progress – 4-11-03

 

 

 

 

 

 

3.9 Sexual Harassment Policy

Status of Faculty Investigator Guide to Sexual Harassment

Ed Kennedy reported on September 20 that the Office of Counsel has been working on revisions to the Faculty Investigator Guide to Sexual Harassment. The name of the guide will remain the same and no changes will be required in the 3.9 section of Part I of the Faculty Handbook

 

Subcommittee C is recommending to the FPPC that when the Guide is updated the Provost Office inform all faculty that the Guide has been revised and that faculty can review the Guide at an online site or identify where a paper copy can be reviewed. Faculty members need to know that the Guide does exist and more importantly be aware of the contents in the Guide.

The FPPC should prepare a request to the Faculty Senate that a recommendation is to be forwarded to the Provost to make this request of faculty notification when the Guide revision is completed.

 

 

3.10 Ownership of Intellectual Property Rights

No changes recommended. Previously published revision has been incorporated in on-line version.

 

 

3.11 Computer Software Policy

Office of VP for Information Technology has reviewed (April 2003) and no changes are recommended.

 

 

3.12 Electronic Data Processing Security Policy

Office of VP for Information Technology has reviewed (April 2003) and no changes are recommended.

 

Subcommittee C is recommending that section 3.12 be renumbered as 3.13 and then renumber 3.13 as 3.12. The rationale is to place the two computer software policies in consecutive order.

 

 

 

 

3.13 Computer Software Copying and Use Policy

Office of VP for Information Technology has reviewed (April 2003) and no changes are recommended.

 

Subcommittee C is recommending that section 3.13 be renumbered as 3.12.

Student catalogues have been checked to determine if statements are included about intellectual property related to student produced products while using digital equipment or other computer related UAB resources. The statements are based on UAB intellectual property policies and do not refer to student produced products using computer-based UAB resources. The Office of Legal Counsel must be consulted.

3.14 Execution and Review of Contracts for UAB

 

Still under review, review in progress. Question related to research agreement issue to be considered.   4-11-03

 

 

 

 

 

NEW SECTION 3.15

 

 

 

Note: Transfer of Section 5.2 to Section 3.0.

 

Subcommittee C is recommending that the Section 5.2 Information and Disclosure Policy as listed in the printed 2000 version and in the currently administratively approved version of the Faculty Handbook be moved to Section 3.0 and be added as 3.15.

 New Section 3.15 - title = Information Disclosure and Confidentiality Policy.

 

The narrative was revised to correlate with the December 20 2002 approved Information Disclosure and Confidentiality Policy and appears as revised in the currently administratively approved (online) version of the Faculty Handbook. This will be inserted as the narrative for Section 3.15 and deleted as Section 5.2.

 

 

 

 

 

 

Policy # in Printed

2000 UAB Faculty Handbook and Policies

Status for Policies

Part II Printed

Handbook – Policies

 

# 1Acceptance of Benefits, Awards and Prizes from External Entities

No recommended changes to the text.  Based on discussion by Subcommittee C it was recommended that a link to the Conflict of Interest Policy be added at the top of this policy in the online handbook.

 

Note: This addition of the recommended link has been completed.

 

# 5 Computer Software Copying and Use Policy and # 6

Computer Software Policy

 

 

No changes are recommended for either policy.

 

Note: Pending is the question about intellectual property and student produced products using UAB resources.

# 7 Conflicts of

Commitment and

# 8 Conflicts of Interest

 

Review in progress. Subcommittee awaiting recommendations from the UAB Conflict of Interest Review Board

 

4-11-03 – this policy review is pending.

 

 

Consensual Romantic Relationships Policy

No recommended changes.

 

 

 

# 10 Electronic Data Processing Security Policy

 

 

No recommended changes.

 

 

# 22 Policy Concerning the Maintenance of High Ethical Standards in Research and Other Scholarly Activities

Still under review, review in progress.

 

4-11-03 – this policy review is pending.

# 24 Patent Policy

 

No changes. Board Rule 509

#29 Sexual Harassment Policy

 

No changes recommended.

 

 

 

 

 

Dr. Greenup indicated that for the May FPPC meeting, a listing of recommendations is to be developed for action by the FPPC. A second listing will identify assigned policies and subsections of Section 3.0 for which the Subcommittee C is not recommending revisions.

 

 

 

d.      Nominating Committee for Chair of FPPC

The election of the FPPC Chair will be held at the June meeting.  Mr. Pennycuff requested that all nominations be sent to him. Mr. Pennycuff reported that one candidate has been identified.

 

e.      Recommendations to Senate

 

Chair Greenup reported that the letters to the Faculty Senate had been included in the agenda packets for the FPPC membership to be aware of the content of the letters.

.

1.      Recommendation to Senate (timelines for implementation of approved handbook changes – letter sent to Chair of Faculty March 25, 2003

2.      Recommendation to Senate – template for School and Library handbooks – letter sent to Chair of Faculty March 25, 2003.    

 

            Chair Greenup indicated that these requests to the Faculty Senate would be

            held for action by the Senate until after the Senate votes on the proposed

            revisions to Section 2.0 and Appendix A, B and C.

 

f.        Review of the FPPC Operating Rules

 

Dr. Greenup reviewed the proposed revisions document dated April 1, 2003 and distributed with the agenda packet for the April 18 meeting.

 

The proposed revisions were discussed and changes were recommended. A motion was presented by BJ Stephens and seconded by Mark Hickson to amend the Operating Rules with the recommended changes to include the discussed decisions at this meeting. The requirement for amendment of the rules for a 2/3 vote by the membership was met for this vote. The Operating Rules will be revised and distributed at the May meeting of the FPPC.

 

g.      Review Process for legal and technical writing accuracy for the revised sections of the UAB Faculty Handbook and Policies

 

Chair Greenup reported the information submitted by Ed Kennedy concerning the legal and technical writing review process for revisions to the handbook. There are two levels of legal review of revisions to the handbook, Ed Kennedy’s participation in the FPPC meetings and when the UAB President requests the Office of Legal Counsel to review the proposed revisions after the Senate submits the documents to the Provost and the President. Ed Kennedy will forward a written follow up to the Chair.

 

Discussion about technical writing and the need for a review process by persons not involved with the FPPC or the Faculty Senate lead to the decision by the FPPC that the FPPC has the responsibility to assure that the documents forwarded to the Senate are correct as to grammar, punctuation and format. The membership decided that technical writing experts might change the document or the intent of content and this would require another level of review within the FPPC.

 

h.      UAB Faculty Handbook AND Policies Archival Process

 

Chair Greenup appointed an Ad Hoc Committee to make recommendations about the archival process.  Dr. Greenup asked Mr. Tim Pennycuff, Ms. Carolyn Walden, Dr. Rose Scripa to serve on the committee.  The chair asked for a volunteer from the membership and Dr. BJ Stephens volunteered to serve on the committee. Dr. Greenup will prepare a letter outlining the charges to the committee. Items for the committee to review will include archival process, format (html or pdf), budget consideration of options about printed version, a recommendation about the effective date reference statement in the Introduction section of the handbook and recommendations to the FPPC about when printed copies should be made and who should receive the printed version of the handbook.

 

i.        UAB Faculty Handbook and Polices Approval Process

 

Chair Greenup had requested information from Mr. Lowery about the approval process relative to review by the Chancellor or Board of Trustees and the President. Mr. Lowery indicated that the approval process was the President’s responsibility. The written report submitted by Mr. Lowery is attached to the official minutes for this meeting maintained in the Senate office.

 

j.        FPPC Information Form

 

Information forms were distributed to each member of the FPPC.  This information was requested so that members of the committee will receive invitations from the President for Faculty Senate related UAB functions.

 

7.      New Business

No new business

 

8.      Review of Action Items Resulting From Meeting

 

1.      Chair Greenup will determine the status of the request sent to the Faculty Senate recommending to the Provost that the UAB Faculty Handbook and Policies be accessible by persons outside the UAB community.

2.      Chair Greenup will prepare a copy of the policy review recommendation from Subcommittee B and distribute this with the agenda for the May 23 FPPC meeting.

3.      Chair Greenup will communicate with Dr. Stephens to obtain a revised written report from Subcommittee A.

4.      Chair Greenup will communicate with Dr. Stephens and request that a listing of specific recommendations for action by the FPPC be presented to the FPPC for a vote at the May 23 meeting. The list should identify the sections and with specific recommended changes and a list of sections and policies for which changes are not recommended at this time.

5.      Chair Greenup will prepare a listing of recommendations for action by the FPPC based on the Subcommittee C report. This listing will identify the recommendations for changes and the sections and policies for which no recommendations for changes are being forwarded from the Subcommittee C to the FPPC.

6.      Chair Greenup will communicate with Ed Kennedy to request information about the ownership of videos and other electronic products produced by students in formal courses. Mr. Kennedy will be contacted for the follow up information about the legal review process when revisions are made to the faculty handbook.

7.      Chair Greenup will communicate with Dr. Matalon concerning Subcommittee C activities requiring Dr. Matalon’s participation.

8.      Chair Greenup will revise the approved/amended Operating Rules for distribution to the FPPC membership.

9.      Chair Greenup will prepare a letter outlining the charges to the Ad Hoc Committee for Review of Archival Process and other related items pertaining to the faculty handbook.

 

9.      Announcement

 

Next meeting date for the FPPC - May 23, 2003

 

10.  Adjournment

 

The meeting was adjourned at 9:07 A.M.

 

      Printed Materials Distributed at the April 18, 2003 FPPC Meeting:

a.       Subcommittee A report

b.      Subcommittee C report

c.       Information form