Faculty Policies & Procedures – FPPC Meeting

Date: October 20, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.




Members Present:   Dr. Kathleen Berecek, Dr. Eli Capilouto, Dr. Madelyn Coar (Vice-Chair),  Dr. Joan Grant, Dr. Donna Handley, Ms. Audrey Harris, Dr. Jeanne Hutchison, Dr. Philip Musa, Dr. Eduardo Neiva,  Mr. Timothy Pennycuff,   Dr. Om Srivastava,  Ms. Carolyn Walden (Chair), Dr. John Waterbor


Alternates Present:   Dr. Catherine Fuller (Joint Health Sciences)


Members Absent With Notice: 

Dr. Peter Anderson, Mr. Edward Kennedy, Dr. Mark Lockhart, Dr. Rose Scripa, Dr. Uday Vaidya 


Members Absent Without Notice:  

Dr. Loucrecia Collins


Ex-Officio Members Present:

Dr. Pat Greenup (Past Chair)


Representative to FPPC: Mr. Kris Findlay (HR Executive Director of Business Operations)


Agenda Items:


A. Call to Order: 


The meeting was called to order at 7:38 a.m.


B. Adoption of September 2006 Minutes:


The minutes were approved without corrections or additions. 



C. Chair Report:


Chair Walden discussed the following:


Approval by the Senate of the internal document, Guideline Summary Policy

Document and the In-State Travel Policy (Section 6.1.1).  The Travel Policy should move to the Provost Office for approval. 

 At the Senate Executive Committee meeting, the Diversity Plan was discussed. Dr. Dale had commented to the Senate Chair that the “plan” was really a framework with a detailed plan to follow.  The Executive Committee decided to table discussion until more details were available.


 The Chair distributed a list of resources of various catalogs for students, graduate students, etc. If the FPPC thinks that information in these resources needs to be changed based on revisions of the Faculty Handbook or other policies, it will be helpful to have a list off contacts and catalogs assist in any changes. 


The revisions to Section 2.10.2 re operating rules and membership of the FPPC have not been changed. Dr. Scripa has been responsible for changes and the past revisions have been sent to her office.  


Dr. Vaidya is not present today because of the loss of his mother.


D. Senate Report (Past-Chair of Senate)


Pat Greenup (Senate Chair-Elect) reported for Peter Anderson:


Summary minutes are posted on the Senate web page


The survey of best practices for annual faculty evaluations has been completed,

and is being discussed with Deans.  Cheryl Locke will provide a report at

the November 14 Senate meeting.


The Senate approved the Summary Guidelines for Policy Development and the revisions to In-state Travel Section 6.1.1.


Pat Greenup expressed appreciation to Chair Walden for writing a summary each month of the meeting of the FPPC. The Senate representative for the FPPC gives the committee report each month and the summary has been helpful in reporting information. The current representative for the FPPC is Past-Chair Peter Anderson but he has a class conflict and is unable to attend the FPPC meetings. Pat Greenup as Senate Chair-Elect is making the reports in his absence this year and encouraged the FPPC Chair to continue to provide monthly reports.


E. Old Business


1.  Subcommittees


            Annual Faculty Evaluations – Donna Handley


            REDLINE VERSION  Annual Faculty Evaluations


The department chair or division director (School of Medicine only) is responsible for conducting an annual, written evaluation of all regular faculty (non-tenure earning, non-tenured, tenure-earning and tenured) to provide feedback concerning performance and productivity,[dh1]  to discuss professional development of the faculty member, to discuss departmental and school goals and to discuss ways in which the department and the faculty member can work cooperatively to assist the faculty member in achieving his/her professional goals.        The Annual Faculty Evaluation Process[d2] 


The annual faculty evaluation process must follow the approved and written guidelines for promotion and tenure (as applicable).  The department chair has ultimate responsibility for conducting the annual evaluation, and may use his/her discretion to appoint an advisory committee for assistance in the evaluation process.[d3]  Revisions to the departmental faculty evaluation process must receive the approval of all full-time regular[d4]  departmental faculty members (as applicable) as well as the Dean and the Provost.  The approved revisions are to be implemented in the following academic year.        The Faculty Activity File and Faculty Member Rights[d5] 


The written annual evaluation is designed to provide both documentation of the faculty member’s productivity[d6]  and progress.  A copy of the written evaluation should be provided to the faculty member, and placed in the faculty member’s department activity file.  It is the right of every faculty member to have access to his/her department activity file. The faculty member has the right to read and discuss the evaluation and the right to provide feedback to the department chair regarding the evaluation.[d7]        Responsibilities of the Department Chair in Annual Faculty Evaluations[d8] 


The chair is responsible for maintaining a written activity file for each faculty member, which shall document faculty activities in the areas of teaching, research/scholarly activity, and service.  This file is to be updated at least once a year on the basis of information furnished by the department chair and the faculty member.




Minor editorial changes were discussed. Dr. Capilouto addressed

He felt that approval by all faculty, deans and the Provost was unlikely

and should not be mandated; he also felt the evaluation should not be

limited to promotion and tenure guidelines, raising the question of the

relevance of the process for tenured professors. There was extensive discussion with questions from several faculty.  Pat Greenup asked whether and how merit increases should be part of the annual evaluation discussion, and if the annual evaluation is intended to be a part of the promotion and tenure process. Chair Walden suggested that the subcommittee consider adding consideration of the merit increase, and reducing the number of sections.  It was suggested and agreed that the discussion be tabled until the Senate receives the best practices report from Cheryl Locke and reviews the presentation at the November meeting.  Dr. Capilouto was asked for and gave the composition of the review committee: Cheryl Locke served as chair with 2 deans, 2 chairs and 1 faculty senate representative.


 Intellectual Property-Student Seminars – Kathleen Berecek


The subcommittee has not yet met. There was no report. Chair Walden asked that the subcommittee review how the copyright policy may need to be included in other sections in the Faculty Handbook and student handbooks (ex. Intellectual Ownership, etc.) and make recommendations to the full FPPC.


Family Friendly SubcommitteeMadelyn Coar


The subcommittee is reviewing the tenure and tenure-track part-time and short-

term work load reduction issues and the policies in place at other universities.

A report is anticipated by the November or December meeting.


2.      Year 1 of the Handbook Review Cycle


Group 2 Reviewers Joan Grant and Jeanne Hutchison reported on their review of assigned sections. The Personal Services Approval and Payment Policy—UAB Employee (2000) makes reference to the same policy for a Non-UAB Employee but does not include the actual policy or a link. They recommend that a link be added or the actual policy included in this section (Section 8) so there is no blind reference for faculty who need to read the policy. Chair Walden suggested including the actual policy in Section 8 since a link would only bring you to the entire Policy Manual and still require that the faculty member search specifically for the Non-UAB Employee reference. Since this would only be a minor editorial addition to the Faculty Handbook, it should not require approval from the Senate or Provost Office. Other sections in Group 2 are currently under review in the Office of the Provost and so additional revisions should wait until FPPC see changes from the Provost.


Joan Grant noted that the Nepotism policy (Sec. 3.7) does not mention nephew or niece in the listing of “immediate family members”, and suggested they be added as immediate family for nepotism.  Kris Findlay suggested the HR look at the suggested changes before finalizing any recommendations.












According to the FPPC Operating Rules, the following sections of the Handbook and related Policies from Section 8 should be reviewed in 2006-2007 for Year 1 of the 5 Year Policy Review Cycle.








Section 1

Revision by Office of

 Provost 8/1/06



Group 1


Tim Pennycuff

Rose Scripa


Section 2.10

Section 3.1

Section 3.2

Section 3.3

Section 3.4

Changes Submitted 2005/06

2.10.2 Approved 6/06



Changes Submitted 2005/06

Changes Submitted 2005/06

Acceptance of Benefits, Awards (1998)

Indirect Cost  Reimbursement (1999)

Political Activities of University

Personnel (Board Rule 304, 1997)


Group 2

Joan Grant

Jeanne Hutichison

Section 3.5

Section 3.6

Section 3.7

Changes Submitted 2005/06


Maintenance of High Ethical Standards in Research (1997)       

Personal Services Approval (2000)  

Under Review by VP


Group 3


Mark Lockhart

Loucrecia Collins

Section 3.8

Changes Submitted 2005/06


Consensual Romantic Relationships(2001)

Drug Free Workplace (1992)

Employee Falsification of UAB  Records (1998)

Firearms (1994)     


Group 4


Om Srivastava

Uday Vaidya

Section 3.8

Section 3.9

Changes Submitted 2005/06

Changes Submitted 2005/06


Conflict of Commitment

Conflict of Interest

Nonsmoking Policy

Use and Consumption of Alcoholic Beverages (1986)

Sexual Harassment (1999) 

Under Current Review

Approved April 2005

Approved 2004

Group 5


Audrey Harris

Philip Musa

Section 3.10

Section 3.11

Section 3.12

Section 3.13

Section 3.14

Changes Submitted 2005/06

Changes Submitted 2005/06

Changes Submitted 2005/06

Changes Submitted 2005/06

Changes Submitted 2005/06


Patent Policy (Board Rule 509, 1997)

Computer Software Copying (1999)

Computer Software Development  And Ownership (1986; 1996)

Electronic Data Processing Security Policy (1985)


Any changes submitted during the 2005-2006 are revisions that had been completed during the years 2002-2005. Some of these sections will overlap with review sections for Year 1 of the 5 year review cycle for academic year 2006-2007.


Year 1 Policy Review




F.  New Business      


Section 7.1 (Holidays) Revision

Kris Findlay had requested last month in an e-mail t o the Chair that the FPPC review the Holiday Section 7.1 and make changes to adapt to the You & UAB Handbook. There seemed to be differences in how units handle holiday prorated time for Part-Time Faculty. Questions were raised as to the practicality of having the prorated time for part-time faculty since this required more efficient record keeping than for vacation and sick time for regular faculty. No final decisions were made as to changes but the Holiday Time is a prorated benefit for part-time faculty whether taken or not. 


Update Page for Online Faculty Handbook


Chair Walden asked Dr. Capilouto for clarification of the process for tracking updates and revisions to the Handbook, and maintenance of a table of substantive changes, namely, who will be responsible and how will the FPPC interface with that person.  Dr. Capilouto indicated that his office had centralized this function and that individuals from IT would handle the actual inputting of information, but that the information would originate from the Provost’s office. It was noted that recent changes for Section 2.10.2 had not been changed.



G._Presentation of Informational Items:


Sick Leave Donation Policy


Kris Findlay noted changes now in the Policy Manual, allowing a donation of 10 days at retirement to a specific individual.  Donating faculty must keep 4 weeks of vacation before donating.  Faculty in the DROP program cannot donate sick time below the time they have reported is available when signing for the DROP program since the sick time is a part of a retirement package.         


Copyright Policy


Chair Walden noted that the policy was approved September 18th, 2006.


UAB Diversity Plan


Dr. Dale will further develop the original diversity plan and submit changes to the Senate for their review.


H.  Review of Action Items for October, 2006 FPPC Meeting


The Subcommittee on Annual Evaluations will review the presentation by Cheryl Locke at the November Senate meeting before finalizing recommendations for the Faculty Senate.


The Subcommittee on Intellectual Ownership-Student Seminars will meet to look at recommendations for including information in various handbooks concerning copyright and Intellectual Ownership.


The Family Friendly Policies Subcommittee will finalize recommendations for revisions to the Handbook concerning tenured and tenure earning faculty.


Groups of 2 for the Year 1 Review assigned sections will continue to review material for recommendations for changes.


I. Review of Actions Items from Previous Monthly FPPC Meeting (s) for

identification of pending items


 When the Revised Introduction section is approved, FPPC will recommend that the page preceding the Table of Contents be removed to avoid duplication of information.


 J.  Materials Distributed to FPPC Members Electronically Prior to Meeting:


Draft Agenda

Draft Minutes

Annual Evaluation Section Revised 

Section 7.1 Holidays

Meeting Schedule


K.    Materials Distributed at Meeting:  


Annual Evaluation Section Revised

Section 7.1 Holidays

FPPC Resource Sheet: UAB Policy Manuals, Handbooks


L.  Announcements:


Next FPPC meeting November 17, 2006 (Penthouse CR1)

Senate Meeting November 14, 2006   


M.  Adjournment:


The meeting adjourned at 9:25 am by Chair Carolyn Walden.



The minutes were prepared by Vice-Chair Madelyn Coar on October 25, 2006 with selected additions by Chair Carolyn Walden on November 13, 2006.  




 [dh1]Feedback comments reorganized to be listed as first component of the evaluation.

 [d2]New section added.

 [d3]New wording to emphasize a committee is at the discretion of the chair.  The chair has ultimate responsibility, regardless of whether or not a committee is assembled for the review.

 [d4]Comments regarding whether this should be tenured faculty instead of all full-time regular.  Consensus for the process of evaluations was for all full-time regular.

 [d5]New Section Added

 [d6]I deleted "while emphasizing how the faculty member's activities fit into the departmental goals."

 [d7]This was moved from proposed section (entitled “Faculty Member Rights” so that it is combined with this section –

 [d8]New Section Added