Faculty Policies and Procedures Committee

Meeting Minutes – Editorial Corrections Added – June 17, 2003



DATE: May 23, 2003


TIME: 7:28- 8:53 a.m.




Members Present:  Dr. Pat Greenup (Chair), Dr. Madelyn Coar, Dr. Dorothy Gauthier, Dr. Joe Gauthier, Dr. Marcus Hickson, Dr. Warren Martin, Mr. Tim Pennycuff, Dr. Sonja Reiger, Dr. Rose Scripa, Dr. BJ Stephens, Ms. Carolyn Walden, Dr. Michael Wyss


Ex-Officio Members Present:  Mr. Ed Kennedy, Mr. James Lowery


Members and ExOfficio Members Absent with Notification:  Dr. Eli Capilouto, Dr. Lori Corimer, Dr. Om P. Srivastava, and Dr. Joseph Telfair


Members Absent: Dr. Katherine Kirk, Dr. Hrudaya Nath, and Dr. Janice Patterson


Guest:  Ms. Tanta Myles for Dr. Matalon



  1. Call to Order


Chair Greenup called the meeting to order at 7:28 a.m.


  1. Adoption of Minutes April 18, 2003 FPPC Meeting


The minutes of the April 18, 2003 meeting were approved as distributed. Editorial changes suggested for inclusion will be made and a corrected version of the minutes will be filed with the FPPC records.


  1. Chair Report


Dr. Greenup reported that the revised FPPC Operating Rules as amended were distributed electronically.  A paper copy will be given to all members at the June meeting of the FPPC.


Follow up on April 18, 2003 Action Items – all items were acted on except for communication with Dr. Matalon about consulting section and the conflict of interest and conflict of commitment policies.




  1. Presentation of Information Items – James Lowery


Mr. Lowry 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 reported that a draft letter concerning the recommendation to review the sick leave policy had been forwarded to Dr. Tim Heaven. This letter will be sent to Mr. Margison for the Fringe Benefits Committee to request revision of the current sick leave policy.


Dr. Hickson reported that Section 2.0, Appendices A, B, and C as revised by the FPPC (2-21-03 versions) were approved by the Faculty Senate on May 13, 2003. The Senate will forward these documents to the Provost.


Dr. Hickson indicated that the Senate approved the FPPC recommendation that the online version of the UAB Faculty Handbook and Policies be opened to persons beyond the UAB community. This recommendation will be forwarded to the Provost.


Dr. Greenup asked about the status of the two recommendations related to use of the UAB Handbook as a template and a timeline for academic units to bring handbooks into compliance with the revised version of Section 2 and Appendix A, B and C (after approved by Provost and President).

Dr. Greenup asked the Senate Executive Committee to hold these recommendations until the Senate completed action on Section 2.0 and Appendix A, B, and C.  Dr. Greenup will request that these items be on the agenda for the June Senate meeting.


  1. Old Business


a.             Subcommittee A – Dr. B. J. Stephens submitted a summary of recommendations of Subcommittee A.

At this time the subcommittee recommends that the following policies are current and          that no action need be taken by the FPPC. The number refers to the policy number in the      2000printed version of the UAB Faculty Handbook and Policies.

2 Policy Concerning AIDS and HIV Infection

3 General Policy Regarding the Use and Consumption of Alcoholic Beverages

9 Drug-Free Workplace Policy

11 Equal Opportunity Policy

12 Equipment Accountability Policy

13 Policy Concerning Employee Falsification of UAB Records and Documents

15 Policy Concerning Firearms, Ammunition, and Other Dangerous Weapons

17 Health Care Policy for International Students and Scholars 21 Applications for Labor Certification

23 Nonsmoking Policy

27 Purchasing Policies and Guidelines

28 Policies Concerning the Re-employment of UAB Retirees

31 Policy Concerning Use of UAB Resources by External Entities

FPPC Action: A motion for the FPPC to approve this recommendation from the Subcommittee A was approved.

In addition to these policies, the committee also discussed several sections of Part I of the handbook and is forwarding certain sections to administrative groups for review and comment. At the present time the committee recommends:

1. Section 4.3 "On-the-Job Injury Illness Program" be moved to Part II of the Handbook and be included in the list of policies in Section 8.

2. Section 6.1.1 “In-State Travel”- The second sentence should be changed to the wording that was placed in the You and UAB Handbook on November 7, 2002.

"UAB employees use their personal vehicles on UAB business at their own option and at their own risk. UAB does not maintain primary insurance to cover losses incurred by employees when driving their personal vehicles. Employees who voluntarily operate their vehicles on UAB business should disclose that fact to their personal automobile insurance carrier. A higher rate may be charged for that type of use."

FPPC Action on Item 1 and 2: The FPPC approved the recommendation from Subcommittee A.

3. Replace the last paragraph on page 1 with

This Handbook is not the only document containing faculty-related and other policies of the University. Approved policies concerning UAB employees also are published in other handbooks and manuals, including on-line versions, such as the You and UAB Handbook, the Human Resource Management Personnel Policies and Procedures Manual, and the UAB Policy Reference Manual. Some employee policies which relate to faculty are contained either in Part II of this document or are appropriately referenced in

the body of this Faculty Handbook. There also may be older policies or recently approved policies which are not published in any manuals and which are not included in this document. This handbook should not be used as a sole indication of whether or not UAB has a policy covering a particular subject. If further clarification or information is needed concerning the existence of a specific policy, the Office of the Provost should be contacted.

UAB policies may be revised periodically, and such revisions may constitute a change to the UAB Faculty Handbook. It is the responsibility of the UAB Faculty Policies and Procedures Committee to review proposed Faculty Handbook and/or faculty policy changes and to make recommendations concerning such changes to the President through the Faculty Senate. Changes in policy approved by the President will be transmitted to each department/unit head for distribution to the faculty.

This handbook will be revised from time to time to provide up-to-date information including changes in policies and procedures. This handbook is available on-line through the UAB World Wide Web site. Every effort will be made to keep the online version updated with the most current policies and procedures; however, as with the hard-copy version, if the contents of the on-line version are in conflict with official policies and procedures of UAB, the official policies and procedures will take precedence.

This Handbook became effective (enter date here). The provisions of the Handbook apply to all faculty members, including those originally employed under the provisions of an earlier document, except in those unusual cases in which the application of a new provision will effect an arbitrary and unreasonable damage to, or loss of, any benefit to the faculty member.

    FPPC Action: Approved this recommendation with the deletion of possibly in

      the first paragraph.


4. The page immediately before the Table of Contents be omitted.




FPPC Action: The FPPC approved this recommendation.


5. Section 5.2 Information Disclosure Policy be relocated to section 3. This is due to the fact that the new version of this policy deals with more than compensation. (A renumbering of section 5 should be accomplished.)

FPPC Action: The FPPC approved this recommendation.

  1. An ad hoc committee be formed to consider the question of printed versions of the handbook both for distribution and archiving.

      FPPC Action: No further action required. An ad hoc committee has been appointed by

      the FPPC Chair to address this and other issues related to the Handbook


  1. That all forms be removed from the policies and that they be maintained by the Administrative Unit responsible for implementing the policy.

Dr. Wyss recommended that all forms be separated from the policies as soon as possible and that they be available online at a searchable and readily available database.

James Lowery cautioned that this can only be a recommendation because, for a form to be removed from a policy, the implementing department/unit must take responsibility for maintaining the form.

It was also recommended that an “All Forms” icon be created on the Provost web page and that information about various forms, processes for completion and where the completed forms are to be delivered be part of the materials located by this icon. An additional recommendation was that an “All Forms” icon be added to the UAB homepage. All forms accessed from that icon should indicate the appropriate administrative unit for each type of form.

FPPC Action: The FPPC approved this recommendation with the inclusion of the items listed in the previous paragraph.

Subcommittee A will continue to review the remaining assigned sections in Part I of the Faculty Handbook and policies not presented in this report.

b.      Subcommittee B- Dr. Michael Wyss

Subcommittee B presented the following recommendation as a revision to the

Policy Review Guidelines for Faculty-related UAB-wide Policies – Summary and to replace version dated March 23, 1998.

The section – “Finalized Version of Policy” would read as follows:


      Following approval of a policy by the Provost/Vice President/Director of the UAB Health

      System, the Policy Development Office will send the finalized version to the President for

      approval.  However, if the finalized policy significantly diverges from that which the

      Senate recommended, the Provost shall request that the UAB Faculty Senate re-review the

      policy as amended and make recommendations to the Provost prior to the policy going to the

      President.  In its re-review, the Senate may seek the advice of the FPPC.  If the Senate

      significantly dissents from the policy as amended, they may detail their objections to the

      Provost, who will forward the dissenting opinion to the President along with the finalized


FPPC Action: A motion for approval as amended was presented by Mike Wyss and seconded by Warren Martin. The motion was approved.

[NOTE: James Lowery made additional necessary editorial changes before the revision was forwarded to the Senate.]


c.       Subcommittee C – Dr. Pat Greenup

A written report was distributed to the FPPC membership with the agenda for this meeting.


The following table is a summation of the written report’s recommendations for vote by the FPPC from Subcommittee C concerning Section 3.0 and Policies (# 1,5,6,7,8,10,22,24,29, Consensual Romantic Relationship) assigned to Subcommittee C for review. Additions and revisions have been made to this table based on discussions at the May 23, 2003 meeting of the FPPC. The table also summarizes those sections and policies that are still under review.



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

A.      Information from Ed Kennedy  - May 19, 2003.

If a UAB employee decides to seek a political office then the individual must inform the President’s office of that decision. There is no defined protocol as to how the notice should flow to the president. If one pursues political interests then the employee must take vacation time.

B.      Use of University resources – Ed Kennedy response –May 19, 2003. “Should an employee wish to communicate his/her support or opposition to pending legislation, for example, such communications should not be by way of email generated from his/her University email service but should be from his/her non-UAN PC or telephone. “Political” use of University resources, including use of email, could subject an employee to a complaint by the Alabama Ethics Commission.

         C. Recommendation for Vote by FPPC

Subcommittee C recommends 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”



3.5 Consulting

Still under review, review in progress – 5-23-03

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 – 5-23-03




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


Still under review, review in progress – 5-23-03



3.9 Sexual Harassment Policy

A. Review in Progress – 5-23-03

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

May 23, 2003 – Ed Kennedy indicated that the guide is still under review and the revisions being considered address the need to include other types of harassment than sexual.

NOTE: Subcommittee C will continue to review this section 3.9 and Ed Kennedy will be invited to Subcommittee C meeting for further discussions when the revised guide is available.

B. Recommendation for Vote by FPPC

Subcommittee C is recommending to the FPPC that when the Guide is updated the Provost Office inform all faculty members 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 administratively approved version of the UAB Faculty Handbook and Policies.



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

A. Informational Item

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

B. Recommendation for Vote by FPPC

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.


NOTE: This change requires a change in the table of contents.


3.13 Computer Software Copying and Use Policy

A. Informational Item

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


B. Recommendation for Vote by FPPC

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

NOTE: This change requires a change in the table of contents.

C. Informational Item

Ed Kennedy was consulted about the ownership of student-produced materials for course requirements. May 14, 2003 response:

“First, I'm not sure what "etc." might include.  I assume you are talking about undergraduate films/videos submitted in satisfaction of a course requirement.  In most such instances, unless the student is also being paid by the University to perform work, the student would own the copyright to the work, even though the physical property submitted to his/her professor in satisfaction of the course requirement would be the property of the University, unless it is the policy of the professor to return the work to the student.  Generally, the student would retain intellectual property rights to the work.  The same may not be true if the work is done by a graduate student who is paid to produce a film or video. The Board's patent policy may also be implicated in the latter instance, and would be controlling.  Ownership of intellectual property often must be assessed on a case-by-case basis because a number of factors may be determinative.”

D. April Report

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.   5-23-03










Note: Transfer of Section 5.2 to Section 3.0.

A. Recommendation for Vote by FPPC

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.



NOTE: This change requires a change in the table of contents of the handbook.




Policy # in Printed

2000 UAB Faculty Handbook and Policies

Status of 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.



# 7 Conflicts of

Commitment and

# 8 Conflicts of Interest


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


5-23-03 – 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.


5-23-03 – this policy review is pending.

# 24 Patent Policy


No changes. Board Rule 509

#29 Sexual Harassment Policy


No changes recommended.







           FPPC Action on Subcommittee C report:


          The recommendation at this time was that no actions occur until after all of Section   

          3.0 is reviewed and recommendations then be submitted to the FPPC for vote.

          Action on the policies under review by Subcommittee C will be held until all of the

          assigned policies have been reviewed and/or revised as appropriate.

d.      Nominating Committee for Chair of FPPC – Tim Pennycuff

Tim Pennycuff requested that nominations be submitted to the members of the Nominating Committee.

Dr. Greenup reminded everyone that the election for the FPPC chair would take place at the June 20th meeting.

e.      Ad-Hoc Committee – Handbook Issues and Archival Processes

Chair Greenup reported that Tim Pennycuff had agreed to serve as the chair and that the membership of the committee is Tim Pennycuff, Carolyn Walden, Rose Scripa and BJ Stephens. Comments were made in reference to the letter distributed as attachment D. The Chair requested the FPPC members to review the letter to be sure that all of the issues and concerns were listed as part of the charge to the ad hoc group. The letter will be sent to the members as the official charge for the group.

f.        UAB Faculty Handbook and Policies approval process – Mr. Ed Kennedy

Attachment E was distributed as an information item indicating that the Handbook approval process related to approval or review by the Chancellor or Board of Trustees is the responsibility of the President.

7.      New Business

No new business items were presented.

9.      Review of Action Items

1.       Chair Greenup will correct the April minutes and will forward them to Stephanie Belcher.

2.       Chair Greenup will resubmit the two letters to the Senate Chair outlining the recommendations related to timeline for updating and the use of the UAB Faculty Handbook template by all academic units.

3.       Chair Greenup will communicate with BJ Stephens concerning the pending review assignments for Subcommittee A.

4.       Chair Greenup will revise the Subcommittee C report to integrate the information presented at this meeting and will include the report in the minutes for the May 23 meeting.

5.       Chair Greenup will prepare a letter to the Chair of the Faculty outlining the FPPC recommendation for revision to the policy review process.

6.       Nominations for Chair should be submitted to Tim Pennycuff.

7.       Questions and concerns for the Ad Hoc committee – Handbook Archival and Issues should be forwarded to Tim Pennycuff.

10.  Announcements

Next meeting of the FPPC – June 20, 2003 – HOEN 120

11.  Adjourned

      The meeting was adjourned at 8:53 a.m.