Faculty Policies & Procedures – FPPC Meeting

Date: April 21, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.

 

 

Attendance:

 

Members Present:  Dr. Kathleen Berecek, Dr. Madelyn Coar, Dr. Donna Handley, Dr. Pat Greenup (Chair), Dr. Mark Lockhart, Dr. Philip Musa, Mr. Timothy Pennycuff, Dr. Rose Scripa, Dr. Om Srivastava, Dr. Uday Vaidya, Ms. Carolyn Walden, Dr. John Waterbor, Dr. Eduardo Neiva, Provost Eli Capilouto

 

Alternates Present: Dr. Loucrecia Collins

 

Members Absent With Notice: Dr. Ted Benditt, Dr. Jeanne Hutchison

 

Members Absent Without Notice: Dr. Joan Grant

 

Ex-Officio Members Present: Ed Kennedy

 

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 7:40 a.m.

 

B. Adoption of March 17, 2006 FPPC Meeting Minutes:

 

The minutes of the March 17, 2006 FPPC meeting were approved with corrections to the attendance listing.

 

C. Chair Report:

 

 

  1. Chair Greenup thanked FPPC members for participation at the President’s reception on April 17, 2006 and thanked Provost Capilouto for the members expressing appreciation from the Senate and the FPPC.
  2. Chair Greenup reported that the Senate approved the FPPC recommendations for changes to the UAB Faculty Handbook and Policies (Part I – Sections 1, 3, 4-7 and the Conflicts of Commitment Policy. There was one change made by the Senate to reinsert in Section 3.5 the statement “quarterly reports are to be submitted to the Provost.”
  3. Chair Greenup reported that the Nominations Committee had not yet been charged to pursue nominees because the FPPC needs to take action on the Operating Rules at this meeting.
  4. Provost Eli Capilouto presented the following comments prior to leaving for a conflicting meeting:

 

        Annual Evaluations memorandum (April 5, 2006) sent to Deans, Library Directors, and Department Chairs to remind all of the Section 2.6.3.7 of the Faculty Handbook and encourage that all departments comply with current policies (this memo was distributed to the FPPC members at this meeting)

        Annual Evaluation Audit Process – Ad Hoc Committee, Chaired by Cheryl Locke, Senate representative – Ted Benditt; this group is reviewing a random sample of annual evaluations (all identifiers removed) to determine “best practices” across the academic units.

        Family Friendly Policies – FPPC recommendations – explained concerns with the FPPC recommendations forwarded to the Senate related to benefits and conflicts with other sections of the Handbook and the problems of differentiating faculty and staff related to benefits. These recommendations have been returned to the FPPC for further review and revision of recommendations.

        Encouraging FPPC members to interact with Deans of academic units on topics under discussion by the FPPC to increase level of awareness about potential problems in academic units and to increase communication among faculty and administrators of academic units.

        Training modules related to copyright policies will be developed to assist in the implementation of the new UAB Copyright Policy when approved after Senate and administration review.

        Importance of policies and the need for compliance related to federal laws, effort reporting and other such requirements for faculty and oversight by administration.

 

D. Senate Report (Past-Chair of Senate)

 

In the absence of Ted Benditt, Chair Greenup (Secretary of Faculty) reported the following actions by the Senate at the April 11, 2006 meeting:

        Senate approval of the FPPC recommendations for the Handbook revisions (Part I Sections 1, 3-8, and Conflicts of Commitment Policy)

        Senate returned to the FPPC the two recommendations concerning Family Friendly Policies concerning tenure earning period and the loss of tenure if tenured faculty required part-time/half-time status for a limited period of time

        Quarterly Report to Senate – Grievance Procedure from Provost Capilouto – during the January – March 2006 period one grievance hearing committee was formed

        Periodic Career Review – Draft Proposal – the Senate Chair will be presenting this document to the Deans at a future APC meeting; all FPPC members were encouraged to continue dialogue with constituents and forward comments and concerns to Mark Lockhart – Chair of the Faculty Affairs Committee of the Senate. Mark reported that the document is now at Draft version 12.0 and that academic units have been submitting information and questions about the process.

 

E. Old Business

 

  1. Operating Rules

 

The April 15, 2006 version of the DRAFT Operating Rules including the proposed changes from the February 17, 2006 FPPC meeting were discussed. There was discussion of the potential need to include specific reference to the duties of the FPPC membership to define constituents as to include deans. The general consensus of the FPPC members was that there was no need to change any wording in the Operating Rules. Members determined that deans are faculty and when FPPC members utilize the channels of communication and reporting within each academic unit for FPPC representatives then deans should have access to topics and opportunity to have input and to identify specific problems created by proposals for specific academic units when benefits and policy topics are under discussion by the FPPC. It was recognized that deans do have the opportunity for input as faculty members and have input via the academic faculty presentation process for advising of deans. The FPPC representatives did not consider it necessary to change the Handbook, Bylaws or the Operating Rules to address FPPC representatives’ interaction with deans/library directors of academic units. The membership did not believe that individual members of the FPPC would have sufficient information to take directly to any dean when topics are under review and formulation as working documents. The decision was made not to change the Operating Rules and to make no recommendations for changes to the Constitution and Bylaws of the Senate or the UAB Faculty Handbook and Policies. Faculty members are constituents of FPPC representatives and thereby have access to information before the FPPC.

 

ACTION ITEM: A motion was made by Mark Lockhart and seconded by multiple members of the FPPC that the amended Operating Rules be approved as the current operating rules of the Committee. The motion was approved unanimously. The Chair will prepare the amended document for distribution prior to the May FPPC meeting.

 

The following document is the Operating Rules of the FPPC as amended on April

21, 2006.

 

ACTION ITEM:  Chair Greenup will prepare letter of charge to the Nominating Committee based on the amended Operating Rules April 21, 2006.

 

 

                                                                                                             Faculty Senate

 

May 1, 2006

 

MEMORANDUM

 

To: FPPC Nominating Committee - Dr. John Waterbor, Dr. Jeanne Hutchison

From: Pat Greenup, Chair of the FPPC

Re: Nominations for Election of Chair and Vice-Chair for the 2006-2007 Term

 

This memorandum is to follow up with the specific charge to the Nominating Committee as was approved in the amended Operating Rules of the FPPC on April 21, 2006.

 

  1. Nominating Committee

 

                  1.  Membership –Two currently serving members of

                       the FPPC identified by the March meeting. The chair of the

                       Nominating Committee shall be determined by the two members of the

                       committee.

               

                  2.  Duties of Nominating Committee members

 

·        Solicit nominations for the positions of Chair and Vice-Chair of the FPPC.

·        Seek two nominees for each position and complete ballot slate by May 15 of each year.

·        Request from nominees [Chair and Vice-Chair], a statement of background and interest in service and forward this information to the Senate Office Associate by May 31 of each year for distribution to FPPC members [returning and new] prior to June FPPC meeting.

·        Conduct the election at the June FPPC meeting using secret ballot and approval voting.

·        Report the results at the June FPPC meeting.

 

 

 

 

 

 

 

 

 

The defined duties of the Chair and Vice Chair as outlined in the April 21, 2006 amended Operating Rules of the FPPC are as follows:

 

               Duties of the Chair of the FPPC

 

3.      Appointment of Nominating Committee – Prior to the March Meeting, the Chair shall request from the FPPC membership the names of two FPPC members to serve on the Nominating Committee for the purpose of presenting nominations for the positions of Chair and Vice- Chair at the June Meeting.

 

6.      FPPC Chair Communications with Chair of Faculty/Senate – the FPPC Chair is responsible for preparing cover letter and copy of any recommendations that the FPPC is forwarding to the Senate. These documents must be copied to the Secretary of the Faculty, the Senate Office Associate (entered in the FPPC tracking log) and the Past-Chair of the Senate who is currently serving on the FPPC. The Chair must finalize all recommendations and proposed changes to any section of the Faculty Handbook prior to forwarding to the Senate. All FPPC letters (recommendations to the Senate) must be attached to the minutes of the FPPC meeting when the decision was made to forward the recommendation to the Senate.

 

8.   Chair Duties - The FPPC Chair elected at the June meeting of each year

       annually invites a representative of the Office of Legal Counsel (a

       permanent member of the FPPC as defined in Section 2.10.2 of the

       Faculty Handbook [see Section 6 of these Operating Rules] to serve as ex

      officio member of the FPPC during the June to May term.

 

9.   Chair Duties -The FPPC Chair adds the name of the current Chair of

                        the Faculty Affairs Committee of the Faculty Senate to the FPPC roster

                        and assures that the monthly meeting materials are mailed to the Chair of

                        the Faculty Affairs Committee. The Chair of the Faculty Affairs

                        Committee serves as an ex officio member of the FPPC and assures a link

                        of communication related to faculty affairs concerns addressed by the

                        Faculty Senate.

 

               10.   Chair Duties -The FPPC Chair is invited by the Chair of the Faculty to

                       serve as an ex officio member of the Executive Committee of the Faculty

                       Senate and attends the monthly meetings of the Executive committee and

                       the monthly meetings of the Senate Executive Committee with the

                       President and the Provost. (Refer to Senate Bylaws for this role of the

                       Chair in Section 6. II.2.b.)

 

 

The University of Alabama at Birmingham

200 Burleson Building – 909 South 18th Street

Birmingham, Al 35294-4370 (205) 934-6619 Fax (205) 934-6834

 

 

Duties of Vice-Chair

 

·        Serve as Chair in absence of Chair

·        Take minutes(using the Minutes Template described in Section 10 of these Operating Rules)  of the FPPC meetings and prepares the DRAFT Minutes to be reviewed by the Chair and the Office Associate before distribution to the FPPC members

·        Assist Chair with action items and follow up from meetings such as forwarding FPPC recommendations to the Senate Office Associate, Chair of the Faculty and the Senate Secretary; notify the Office Associate when items forwarded that need to be entered in the FPPC tracking log (such as letters to the Senate or other correspondence which needs tracking to assure that reply or feedback is received by the FPPC)

·        Monitor attendance of representatives and/or alternates at the FPPC meetings. Refer to Section A of these Operating Rules.

·        Assist with development of agenda for FPPC meetings

·        Monitor online UAB Faculty Handbook and Policies and the You and UAB Handbook to notify the FPPC of any updates to postings for each FPPC meeting.

                

I recognize that we are behind the prescribed schedule for identification of the nominees for the Chair and Vice Chair positions.

 

Please review the following listing of members from the roster for the FPPC to identify representatives who are eligible for nomination for either position:

 

Dr. Eduardo Neiva; Dr. Philip Musa (he is being reelected for 2006-2009); Dr. Madelyn Coar (has been reelected); Dr. Uday Vaidya; Mr. Tim Pennycuff; Dr. Mark Lockhart; Dr. Jeanne Hutchison; Dr. Joan Grant; Dr. Om Srivastava; Dr. John Waterbor; Dr. Donna Handley; Ms. Carolyn Walden; Dr. Kathleen Berecek

 

According to the amended Operating Rules, once the nominees are identified then you will request the nominees to prepare a statement of background and interest for service. This information should be available to email to FPPC members prior to the June 16, 2006 FPPC meeting. The June 16 meeting is the time for the voting process for completion of the election.

 

Please contact me if you have questions about the Nominating Committee charge for this year’s election of the Chair and Vice Chair.

 

ACTION ITEM: Following discussion of the newly defined tasks for the Vice-chair the suggestion was made that at the June meeting there be an “orientation” of newly elected FPPC representatives with a review of the Operating Rules, UAB Policy Development and Revision process and the interrelationship of the FPPC with the Senate.

 

OPERATING RULES

FACULTY POLICIES AND PROCEDURES COMMITTEE

Last Amended April 21, 2006

 

  1. Membership

 

    1. Attendance at Meetings – each member is expected to be present at each regular meeting and each called meeting of the Committee.

 

    1. Alternates for Members –

 

a.       When a member is unable to attend a meeting of the Committee and there were no other nominees on the ballot during the FPPC election process in each academic unit, the FPPC member may appoint an alternate from the constituency being represented provided the alternate holds regular full-time Faculty appointment. The member must give notice of appointment of an alternate to either the chair of the Committee or the Secretary in the Office of the Faculty Senate prior to the meeting at which the alternate will serve. At the designated meeting, the alternate will possess all the rights and privileges accorded to the member.

b.      When more than one name appeared on the Senate election process ballot for FPPC members, the approval voting process establishes that the person with the second highest number of votes is the next in line to serve as the FPPC representative and/or to serve as the alternate when the FPPC member is not able to attend/participate in the activities of the FPPC.

c.       NOTE: It is the responsibility of the FPPC member to identify an alternate who will communicate with the academic unit’s faculty to relay information about FPPC activities and to collect input on issues before the FPPC.

 

    1. Notice to Members for Excessive Meeting Absences- A member having two absences during any “Faculty Senate Year” (i.e., June to May) with no alternate present will be requested to identify an alternate to attend any future meetings that the elected member of the FPPC is not able to attend and will be reminded that the elected member serves as a representative of his/her school or library and representation requires an elected member or appointed alternate to be in attendance at the FPPC meetings. This is to assure that each academic unit has active representation at each of the FPPC meetings. Alternates are listed on the FPPC roster and receive the monthly mailings and email messages distributed to FPPC members.

 

 

                         Member duties and responsibilities include: (a) attendance at FPPC

                         meetings; (b) communication with constituents in his/her academic unit

                         on a regular basis; (c) reporting to, or communication with, the academic

                         unit’s Faculty Affairs Committee or comparable committee as defined in

                         each of the schools/libraries; (d) participation with the subcommittee

                         activities of the FPPC as needed. 

 

    1. Ex Officio Members

a.       The immediate Past Chair of the FPPC will serve a one year term as an ex officio member the year following the expiration of the term as Chair of the Committee. If the Chair serves a consecutive term, there will be no Immediate Past Chair serving as an ex officio member for that year.

b.      To assist in conducting the business of the Committee, the Chair may appoint ex officio members as required. These members will have the privilege of participating in the discussions of the Committee but may not make motions or vote. The ex officio members of the FPPC shall include a permanent non-voting representative from the Office of Counsel, the current Chair of the Faculty Affairs Committee of the UAB Faculty Senate and a representative responsible for UAB-wide human resource policy development.

 

    1. UAB Faculty Senate Constitution, Bylaws, and Standing Rules of the Faculty and Faculty Senate – August 2004 Edition – Section II.2. Faculty Policies and Procedures Committee

NOTE: The FPPC cannot independently modify the following section as the Senate Bylaws are responsibility of the Senate. The FPPC can make recommendations to the Senate for changes in the Section II.2 of the Senate Bylaws.

 

II.2. Faculty Policies and Procedures Committee

 

II.2.a. The Faculty Policies and Procedures Committee reviews existing university policies and procedures and considers changes to the UAB Faculty Handbook. Its recommendations concerning revisions to the UAB Faculty Handbook or to existing policies and procedures are forwarded to the Senate. The Senate must make final recommendations to the President and designee regarding changes to the UAB Faculty Handbook or to existing policies and procedures.

 

                        II.2.b. The Secretary of the Faculty, with the assistance of the Senate

                        Governance and Operations Committee, oversees the election of members

                        to the Faculty Policies and Procedures Committee. Membership of the

                        Faculty Policies and Procedures Committee will consist of the immediate

                        Past-Chair of the faculty, one person elected from each of the constituent

                        units, one faculty member selected by the President, and one faculty

                        member in the Provost office responsible for Faculty Affairs and

                        Development)  by the Provost.

                        Elected terms are three years, with approximately one-third of the

                        membership being

                        replaced each year. Appointed terms are one year. Committee members

                        may be re-elected to serve, at most, two consecutive terms. In the event of

                        a vacancy before the expiration of a term the Executive Committee shall

                        appoint the person who received the next highest number of votes in the

                        election for the position. If there is no such person, the Elections

                        Committee shall solicit nominations from each school whose

                        representative is no longer serving and shall conduct an election to fill the

                        vacancy for the balance of the term. The committee must meet annually,

                        or more frequently as agreed upon by committee members. Its

                        deliberations and recommendations must be reported to the Senate. The

                        Chair of the committee is a faculty member (without academic

                        administrator position above that of Department Chair) elected by the

                        FPPC members and shall serve as an ex officio member of the Senate and

                        the Executive Committee of the Senate during his or her term in office.

 

                        The current Chair of the Senate Faculty Affairs Committee shall serve as

                        an ex officio member of the FPPC during his or her term of office.

                        The FPPC maintains the Operating Rules for the FPPC and the Chair of

                        the FPPC is responsible for updating the Appendix E – FPPC Operating

                        Rules section of the Senate Bylaws document (See Appendix E of the

                        Senate Constitution and Bylaws)

 

                       II.2.c. Election of nominees to the Faculty Policies and Procedures

                       Committee shall take place at the same time as the election of the faculty

                       officers and senators.

 

    1. Section 2.10.2 – FPPC as described in the UAB Faculty Handbook and

      Policies

 

                       NOTE: The FPPC cannot independently modify this section of the FPPC

                       Operating Rules. However, the FPPC can make recommendations for

                        revisions to the Senate. The following is the approved 2005 Section 2.10.2

 

                        2.10.2 UAB Faculty Policies and Procedures Committee

 

                         The Faculty Policies and Procedures Committee is charged with the

                         responsibility of providing advice, through the Faculty Senate, to the

                         President on the basis of a periodic examination of current and proposed

                         faculty policies and procedures at UAB. It reviews existing UAB policies

                         and procedures, which affect faculty, and considers changes to the

                         Faculty Handbook and Policies.

 

                         Membership of the Faculty Policies and Procedures Committee will

                         consist of the immediate past-chair of the Faculty Senate; one person

                         elected from each of the following units: Lister Hill Library of the Health

                         Sciences, Mervyn H. Sterne Library, Schools of Arts and Humanities,

                         Business, Dentistry, Education, Engineering, Health Related Professions,

                         Medicine, Natural Sciences and Mathematics, Nursing, Optometry, Public

                         Health, Social and Behavioral Sciences, and the Joint Health Sciences

                         Departments; one faculty member selected by the President; and one

                         faculty member in the Provost office responsible for Faculty Affairs and

                         Development) selected by the Provost. The Legal Counsel to UAB is ex-

                         officio, a non-voting permanent member of this committee.

 

                         The Secretary of the Senate, with the assistance of the Senate Governance

                         and Operations Committee, oversees the election of members to the

                         Faculty Policies and Procedures Committee. Each constituent unit must

                         elect one member to serve on the committee. The current Chair of the

                         Senate Faculty Affairs Committee shall serve as an ex officio member of

                         the FPPC during his or her term of office.

 

                         Appointments are for a term of three years, with approximately one-third

                         of the membership being replaced each year. Committee members may be

                         reelected to serve a maximum of two consecutive terms. The committee

                         shall meet at least annually, or more frequently as agreed upon by the

                         committee members, and the committee shall elect its own Chair from

                         among its members.

 

                         Recommendations from the committee concerning revisions to the UAB

                         Faculty Handbook and Policies or to existing policies and procedures are

                         forwarded to the Faculty Senate. The Faculty Senate must make final

                         recommendations to the President regarding changes to the UAB Faculty

                         Handbook and Policies or to existing policies and procedures.

 

  1. Faculty Handbook Duties of the FPPC Membership

 

    1. UAB Faculty Handbook and Policies Review Process

 

(1)   The Handbook should be continuously reviewed

(2)   The process of continuous review should involve a review of several portions of the Handbook each year

(3)   The review of each portion should be carried out by a group of two members of the FPPC, one from each side of campus, who will report to the FPPC whether anything they have reviewed requires further consideration by FPPC

(4)   The portion that each group reviews should be a relatively short section of the Handbook, such as section 4 or section 6; or a subpart or subparts of longer sections, such as section 2.3 or section 2.6, or sections 3.1 through 3.6; or one of the appendices

(5)   The review process should be divided so that the entire Handbook will be reviewed over a 5 year period (for example, it might be divided into 15 parts, with 3 reviewed each year)

 

Quite apart from the regular cycle of reviews described above, the FPPC should review any matter in the Faculty Handbook that any member of the faculty who is covered by the Handbook, or any authorized member of the administration, asks the FPPC to review.

 

The discussion on November 18, 2005 included the following:

 

        That handbook revisions will be ongoing with an electronic format

        The 5 year cycle should accomplish the regular review with a goal of a section per year completed by a subcommittee of 2 FPPC members and report to the full FPPC for any recommendations

        The process should be established with a timeline for the review so that the cycle of review is completed and review process not be left to the annual membership of the FPPC

        The FPPC should consider academic unit issues when faculty members within a unit identify questions or concerns for a section of the UAB Faculty Handbook and then the FPPC review the concerns

        That academic units identify some approach to differentiation of policies and procedures that are specific to unit and are more restrictive than the UAB Faculty Handbook. Provost Capilouto indicated that some units use “italics” in their handbook to identify the sections that are more specific than the UAB level handbook.

 

   ACTION: Jeanne Hutchison presented a motion that the FPPC accept the report from 

   the subcommittee and that the FPPC implement the recommended process. Mark

   Lockhart seconded the motion. This motion was approved.

 

    1. UAB Faculty Handbook and Policies Review Cycle

 

The subcommittee recommends that the most recently reviewed portions of the Handbook be placed at the end of the five-year cycle.  This means placing most of Section 2 in later years. 

 

The subcommittee recommends that policies referred to in §8 be reviewed in conjunction with the sections of the Handbook in which they arise or are otherwise most suitable, with miscellaneous policies being assigned to the year in which the end of the Handbook is reviewed (which is year 2).

 

Year 1:  Introduction and Part (i.e., section) 1; sections 2.10 through 3.14, and the following policies referred to in §8:

 

Acceptance of Benefits, Awards, and Prizes from External Entities (§3.4)

General Policy Concerning the Use and Consumption of Alcoholic Beverages (§3.8)

Computer Software Copying and Use Policy (§3.13)

Computer Software Policy [Development and Ownership] (§3.11)

Conflict of Commitment Policy (§3.5.3)

Conflict of Interest Policy (§3.5.3)

Consensual Romantic Relationships Policy (§3.8)

Drug-free Workplace Policy (§3.8)

Electronic Data Processing Security Policy (§3.12)

Policy Concerning Employee Falsification of UAB Records and Documents (§3.8)

Policy Concerning Firearms, Ammunition, and Other Dangerous Weapons (§3.8)

Indirect Cost Reimbursement Policy (§§3.3, 3.5.1, 3.5.2; also §5.4)

Policy Concerning the Maintenance of High Ethical Standards in Research and Other Scholarly Activities (§3.6)

Nonsmoking Policy (§3.8)

Patent Policy (Board of Trustees Rule 509) (§3.10)

Personal Services Approval and Payment Policy-UAB Employees (§3.5.2)

Political activities of University Personnel (Board of Trustees Rule 304) (§3.2)

Sexual Harassment Policy (§3.9)

 

Year 2:  Sections 4 through 7, and the following policies referred to in §8:

 

Policy Concerning AIDS and HIV Infection

Policy Concerning the Use of the UAB Campus Mail System

Equipment Accountability Policy

Family and Medical Leave of Absence Policy (§7.5.2)

Employee UAB-related Foreign Travel Policy (6.1.3)

Health Care Policy for International Students and Scholars (§4.1)

Information Disclosure and Confidentiality Policy (§5.2)

Purchasing Policies and Guidelines

Sick Leave Donation Policy (§7.3)

Use of UAB Resources by External Entities

 

Year 3:  Sections 2.1 through 2.5, and the following policies referred to in §8:

 

Equal Opportunity Policy (§2.1)

 

Year 4:  Section 2.6, and the following policies referred to in §8:

 

Hiring Approval Policy (§2.6)

Applications for Labor Certification (§2.6)

Policy Concerning the Re-employment of UAB Retirees (§2.6)

 

Year 5:  Sections 2.7 through 2.9 and Appendices A, B, and C

 

ACTION:  A motion for approval of this recommendation was made by Tim Pennycuff and seconded by Madelyn Coar. The motion was approved.

 

 

  1. Chair – Election and Duties

 

    1. Term – The term of the Chair shall be from June Meeting to June Meeting at which meeting the retiring chair will serve until the new Chair is elected.

 

    1. Number of Terms – No person may serve more than two consecutive terms as Chair.

 

    1. Appointment of Nominating Committee – Prior to the March Meeting, the Chair shall request from the FPPC membership the names of two FPPC members to serve on the Nominating Committee for the purpose of presenting nominations for the positions of Chair and Vice- Chair at the June Meeting.

 

    1. Election of Chair – June Meeting

       Nominees will be asked to prepare a statement of background and interest

       in service to share with FPPC members prior to the June election meeting

       Members may make additional nominations at the June meeting.

       Nominees must be members of the FPPC and typically will have served at

       least the preceding year on the FPPC. 

 

    1. Balloting – election of the Chair shall be conducted at the June Meeting

      by secret ballot using approval voting. Tie votes shall be decided by the

      flip of a coin. Refer to the Section E. Nominating Committee below.

 

7.      Voting Privileges – Votes by the Chair will be in accordance with Robert’s Rules of Order (latest Revision).

 

8.      FPPC Chair Communications with Chair of Faculty/Senate – the FPPC Chair is responsible for preparing cover letter and copy of any recommendations that the FPPC is forwarding to the Senate. These documents must be copied to the Secretary of the Faculty, the Senate Office Associate (entered in the FPPC tracking log) and the Past-Chair of the Senate who is currently serving on the FPPC. The Chair must finalize all recommendations and proposed changes to any section of the Faculty Handbook prior to forwarding to the Senate. All FPPC letters (recommendations to the Senate) must be attached to the minutes of the FPPC meeting when the decision was made to forward the recommendation to the Senate.

 

8.   Chair Duties - The FPPC Chair elected at the June meeting of each year

       annually invites a representative of the Office of Legal Counsel (a

       permanent member of the FPPC as defined in Section 2.10.2 of the

       Faculty Handbook [see Section 6 of these Operating Rules] to serve as ex

      officio members of the FPPC during the June to May term.

 

9.   Chair Duties -The FPPC Chair adds the name of the current Chair of

                        the Faculty Affairs Committee of the Faculty Senate to the FPPC roster

                        and assures that the monthly meeting materials are mailed to the Chair of

                        the Faculty Affairs Committee. The Chair of the Faculty Affairs

                        Committee serves as an ex officio member of the FPPC and assures a link

                        of communication related to faculty affairs concerns addressed by the

                        Faculty Senate.

 

               10.   Chair Duties -The FPPC Chair is invited by the Chair of the Faculty to

                       serve as an ex officio member of the Executive Committee of the Faculty

                       Senate and attends the monthly meetings of the Executive committee and

                       the monthly meetings of the Senate Executive Committee with the

                       President and the Provost. (Refer to Senate Bylaws for this role of the

                       Chair in Section 6. II.2.b.)

 

  1. Vice-Chair – Election and Duties

 

    1. Term – The term of Vice-Chair shall be from June Meeting to June Meeting.
    2. Number of Terms – No member of the FPPC may serve more than two consecutive terms as Vice-Chair.
    3. Balloting – election shall be conducted by the Nominating Committee and at the same time as the Chair election.
    4. Voting Privileges – the Vice-Chair shall have full voting privileges as a member of the FPPC.
    5. Duties of Vice-Chair

 

·        Serve as Chair in absence of Chair

·        Take minutes(using the Minutes Template described in Section 10 of these Operating Rules)  of the FPPC meetings and prepares the DRAFT Minutes to be reviewed by the Chair and the Office Associate before distribution to the FPPC members

·        Assist Chair with action items and follow up from meetings such as forwarding FPPC recommendations to the Senate Office Associate, Chair of the Faculty and the Senate Secretary; notify the Office Associate when items forwarded that need to be entered in the FPPC tracking log (such as letters to the Senate or other correspondence which needs tracking to assure that reply or feedback is received by the FPPC)

·        Monitor attendance of representatives and/or alternates at the FPPC meetings. Refer to Section A of these Operating Rules.

·        Assist with development of agenda for FPPC meetings

·        Monitor online UAB Faculty Handbook and Policies and the You and UAB Handbook to notify the FPPC of any updates to postings for each FPPC meeting.

                

  1. Nominating Committee

 

                  1.  Membership –Two currently serving members of

                       the FPPC identified by the March meeting. The chair of the

                       Nominating Committee shall be determined by the two members of the

                       committee.

               

                  2.  Duties of Nominating Committee members

 

·        Solicit nominations for the positions of Chair and Vice-Chair of the FPPC.

·        Seek two nominees for each position and complete ballot slate by May 15 of each year.

·        Request from nominees [Chair and Vice-Chair], a statement of background and interest in service and forward this information to the Senate Office Associate by May 31 of each year for distribution to FPPC members [returning and new] prior to June FPPC meeting.

·        Conduct the election at the June FPPC meeting using secret ballot and approval voting.

·        Report the results at the June FPPC meeting.

 

  1. Meetings

 

    1. Regular Meetings – regular meetings of the Committee shall be held on the third Friday of each month except when the FPPC needs to attempt to avoid a meeting within the same week as the Faculty Senate.
    2. Cancellation of a Regular Meeting – the Chair may cancel a regular meeting, except in the month of June, when it is deemed that there is insufficient business to warrant holding the meeting.
    3. Called Meetings – The Chair or any five members of the Committee may call a meeting of the Committee upon ten-calendar days written notice to the other members of the Committee.
    4. Quorum for Regular Meetings – The members and alternates present at a regular meeting of the Committee shall constitute a quorum.
    5. Quorum for Called Meetings – The quorum for a called meeting shall be a majority of members and their alternates.
    6. Meeting announcements and packets with minutes/attachments shall be forwarded to all FPPC members and the administrative assistant for Associate Provost and Provost who request to receive the packets and meeting notifications.
    7. Meeting announcements via email shall be sent to all FPPC members at least 48 hours prior to the meeting to remind members of the meeting.
    8. Any updates that appear in the UAB Reporter related to UAB Policies and changes in the UAB Faculty Handbook or the YOU & UAB Handbook shall be retained in the files for the FPPC in the Faculty Senate office.
    9. FPPC Meeting Agenda template may include the following subheadings:

a.       Call to order

b.      Adoption of Minutes for pervious meeting

c.       Chair Report

d.      Senate Report – status of items submitted to Senate by FPPC – Senate Representative to FPPC

e.       Old Business- including action items from previous meetings

f.        New Business

g.       Presentation of Information Items

h.       Review of Action Items Resulting from Meeting – identify the action needed, who will perform and the date by which task is to be completed

i.         Action Items from Previous Meetings – Record of Status Related to Action – List Must Include Letters to be Prepared by Chair and Record of Action and Tracking

j.        Materials Distributed Electronically

k.      Materials Distributed as Hard Copy at Meeting

l.         Announcements – to include next meeting date, time and location

m.     Adjournment

               

    1. FPPC Meeting Minutes Template – The meeting minutes template should be similar to the agenda template (refer to item 9.0 above) as a guide and the minutes of each meeting should reflect the subheadings of the specific meeting’s agenda. All letters prepared by the Chair (sent to Senate and matters related to FPPC functions) must be attached to the minutes of the meeting when the decision is made for the request for action by the Senate for information required by the FPPC.

 

a.        Call to order

b.      Adoption of Minutes for pervious meeting

c.       Chair Report

d.      Senate Report – status of items submitted to Senate by FPPC – Senate Representative to FPPC

e.       Old Business- including action items from previous meetings

f.        New Business

g.       Presentation of Information Items

h.       Review of Action Items Resulting from Meeting – identify the action needed, who will perform and the date by which task is to be completed

i.         Action Items from Previous Meetings – Record of Status Related to Action – List Must Include Letters to be Prepared by Chair and Record of Action and Tracking

j.        Materials Distributed Electronically

k.      Materials Distributed as Hard Copy at Meeting

l.         Announcements – to include next meeting date, time and location

m.     Adjournment

 

 

 

 

 

Sections A-C were approved by the FPPC on June 18, 1999 by 2/3 votes of the members. Sections A and C were amended on April 19, 2002 by a 2/3 votes of the members. Sections A-C were amended by 2/3 votes of the FPPC members on April 18, 2003.

 

  1. Email voting

 

    1. The Chair may initiate an email vote when he/she deems that an issue requires action prior to the next regular meeting of the Committee.
    2. This procedure is not intended to replace a regular meeting of the Committee and should be used in rare situations.
    3. Email votes will be accepted from members (or alternates) but ex-officio members are encouraged to provide feedback to the Committee and/or to the Chair in the same sense that they participate in discussion at regular meetings.
    4. The deadline for members to respond to the vote request will normally be at least 2 weeks from the date the email is sent by the Chair.
    5. The Chair should attempt to ensure that all members receive notification of the email vote.
    6. In an effort to ensure that discussion will not be limited or circumvented by use of the email vote, if any member votes in the negative, the vote is halted. The issue is then placed on the agenda for discussion at the next regular meeting of the Committee.
    7. The vote will be tabulated and certified by the Chair and reported at the next regular meeting.

 

Section D Email voting was approved by the FPPC on March 16, 2001 by 2/3 vote of the members.

 

 

RESOLUTION by the FACULTY POLICIES AND PROCEDURES COMMITTEE

 

                        Whereas the Governance and Operations Committee of the Faculty Senate at its Meeting on April 7, 1999, in response to a request from the Faculty Policies and Procedures Committee by “Bylaw amendments to monitor absences and designate a ‘faculty alternate’,” did state that “it was within the prerogative of the Chair of any Senate standing committee, in conjunction with its members, to establish the committee’s operating rules” and

 

                         Whereas the Bylaws of the Faculty and Senate (Article II, Section 2, Sub-Section (c) provide for the election of the Chair of the Faculty Policies and Procedures Committee by the Committee and

 

                          Whereas the Bylaws of the Faculty and Senate (Article II, Section 2, Sub-Section (c) provides latitude to the Faculty Policies and Procedures Committee in the establishment of meetings,

 

                            NOW THERFORE BE IT RESOLVED that the Faculty Policies and Procedures Committee hereby establishes, by a two-thirds vote, the following Operating Rules relative to membership, Chair, and meetings and

 

                            BE IT FURTHER RESOLVED that amendment of these Operating Rules may be achieved only by a two-thirds vote of the voting membership of the Faculty Policies and Procedures Committee.

 

Passed the 18th day of June 1999.

 

 

  1. Annual Evaluation Procedures – Section 2.6.3.7

 

The following document was distributed to FPPC members and was the basis of discussions that identified areas of concern.

 

TO: FPPC Members

From: Pat Greenup, Chair of FPPC

Date: 2-18-06

RE: Topic Presented at the February FPPC meeting in conjunction with Periodic Career Review Proposal from FAC to Senate on February 14, 2006

2.6.3.7 Annual Faculty Evaluations

            The department chair or division director (School of Medicine only) is responsible for conducting an annual evaluation of all regular faculty (non-tenure-earning, non-tenured, tenure-earning, and tenured) to discuss such topics as the faculty member’s professional development, to provide feedback concerning performance and productivity, to discuss departmental 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 chair is responsible for maintaining an activity file for each faculty member that documents faculty activities in the area 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.

Questions for FPPC members to consider: Discussions will be held at future FPPC meetings.

 

  1. What are the criteria utilized for the evaluation process?
  2. Who writes and approves the criteria utilized for the evaluation process?
  3. How can this Section 2.6.3.7 be strengthened to support the proposed Periodic Career Developmental Review – Concept Proposal Draft?
  4. Does a chair have the right to independently establish criteria and/or change the criteria during the yearly cycle for evaluation?
  5. What is the process when a new chair is appointed during the yearly cycle?
  6. How can this evaluation process be improved to achieve procedural fairness and justice?

 

       Discussion of the above memorandum lead to identification of the following concerns or needs for revisions to the Section 2.6.3.7:

 

        The word “written” needs to be added on line 2 of first paragraph– to read “an annual written evaluation”; and to line 1 of paragraph two – to read “a written activity file)

        Statements should be added to support faculty to have a written copy of the annual evaluation and the materials added to activity file

        Statements should be added to support faculty to have access to the activity file

        This section of the Handbook should not be in conflict with the proposed Periodic Career Review DRAFT Proposal describing the role and function of the annual evaluation process

        The annual evaluation process must be conducted based on written and approved criteria that are based on promotion and tenure guidelines; any revisions to such guidelines are to be effective in the year following revision and approval for implementation; chairs do not have unilateral privilege to change criteria that must be written and approved by faculty and chair

 

        ACTION ITEM: The consensus of the members was that a subcommittee should

        be formed to review Section 2.6.3.7 in more detail and prepare recommendations for

        consideration by the full committee. The intended outcome is to prepare

        recommendations for revisions to the Section 2.6.3.7 of the Faculty Handbook.

 

         The Chair requested volunteers for this subcommittee. The members of the

         subcommittee will be Kathleen Berecek, Om Srivastava, Donna Handley, and Uday

         Vaidya.

 

         Chair Greenup requested that the four consider who might want to serve as chair

         and indicated that a “letter of charge” to the subcommittee would be prepared prior

         to the May FPPC meeting.

 

         ACTION ITEM: Chair Greenup will prepare a letter of charge and appointment

         and forward to the members of the Subcommittee for Review of Section 2.6.3.7.

 

 

                                                                                                             Faculty Senate

 

May 1, 2006

 

MEMORANDUM

To: Dr. Kathleen Berecek; Dr. Donna Handley; Dr. Om Srivastava, Dr. Uday Vaidya

From: Pat Greenup, Chair of the FPPC

Re: Charge to Subcommittee – Annual Faculty Evaluation Procedures – Section 2.6.3.7

 

This memorandum is to follow up the decision made at the April 21, 2006 FPPC meeting to have a Subcommittee to examine the Section 2.6.3.7 and to develop recommendations for changes to strengthen the section to assure equity for all UAB faculty. Please refer to the following section of the DRAFT Minutes of the FPPC April 21, 2006 meeting for further information:

 

 Annual Evaluation Procedures – Section 2.6.3.7

 

The following document was distributed to FPPC members and was the basis of discussions that identified areas of concern.

 

TO: FPPC Members

From: Pat Greenup, Chair of FPPC

Date: 2-18-06

RE: Topic Presented at the February FPPC meeting in conjunction with Periodic Career Review Proposal from FAC to Senate on February 14, 2006

2.6.3.7 Annual Faculty Evaluations

            The department chair or division director (School of Medicine only) is responsible for conducting an annual evaluation of all regular faculty (non-tenure-earning, non-tenured, tenure-earning, and tenured) to discuss such topics as the faculty member’s professional development, to provide feedback concerning performance and productivity, to discuss departmental 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 chair is responsible for maintaining an activity file for each faculty member that documents faculty activities in the area 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.

Questions for FPPC members to consider: Discussions will be held at future FPPC meetings.

 

  1. What are the criteria utilized for the evaluation process?
  2. Who writes and approves the criteria utilized for the evaluation process?
  3. How can this Section 2.6.3.7 be strengthened to support the proposed Periodic Career Developmental Review – Concept Proposal Draft?
  4. Does a chair have the right to independently establish criteria and/or change the criteria during the yearly cycle for evaluation?
  5. What is the process when a new chair is appointed during the yearly cycle?
  6. How can this evaluation process be improved to achieve procedural fairness and justice?

 

       Discussions of the above memorandum lead to identification of the following concerns or needs for revisions to the Section 2.6.3.7:

 

        The word “written” needs to be added on line 2 of first paragraph– to read “an annual written evaluation”; and to line 1 of paragraph two – to read “a written activity file”

        Statements should be added to support faculty to have a written copy of the annual evaluation and the materials added to activity file

        Statements should be added to support faculty to have access to the activity file

        This section of the Handbook should not be in conflict with the proposed Periodic Career Review DRAFT Proposal describing the role and function of the annual evaluation process; need to examine language of proposal

        The annual evaluation process must be conducted based on written and approved criteria that are based on promotion and tenure guidelines; any revisions to such guidelines are to be effective in the year following revision and approval for implementation; chairs do not have unilateral privilege to change criteria; any changes in criteria must be written and approved jointly by faculty and chair prior to the year of evaluation

        A new chair is obligated to utilize the existing and approved policies/guidelines until a jointly approved document is generated so that all faculty are aware of the “rules of engagement”

 

        ACTION ITEM: The consensus of the members was that a subcommittee should

        be formed to review Section 2.6.3.7 in more detail and prepare recommendations for

        consideration by the FPPC committee. The intended outcome is to prepare

        recommendations for revisions to the Section 2.6.3.7 of the Faculty Handbook.

 

         The Chair requested volunteers for this subcommittee. The volunteering members

         of the subcommittee will be Kathleen Berecek, Om Srivastava, Donna Handley, and

         Uday Vaidya.

 

         Chair Greenup requested that the four consider who might want to serve as chair

         and indicated that a “letter of charge” to the subcommittee would be prepared prior

         to the May FPPC meeting.

 

         ACTION ITEM: Chair Greenup will prepare a letter of charge and appointment

         and forward to the members of the Subcommittee for Review of Section 2.6.3.7.

 

I have requested that Donna Handley chair this Subcommittee via a voice mail message. If Dr. Handley is not able to chair the Subcommittee then as Chair of the FPPC I will appoint a chair.

 

I am requesting that the Subcommittee move forward with review of the current Section 2.6.3.7 and the concerns discussed at the April 21, 2006 FPPC meeting. Please include in your discussions the March 6, 2006 version of the Periodic Career Review Proposal DRAFT. If you require more up to date information on this proposal please contact Dr. Mark Lockhart.

 

I want to thank you for your willingness to serve on this Subcommittee. This annual faculty evaluation process is a critical to the fair evaluation of faculty activities and to the promotion and/or tenure for all UAB faculty members.

 

If you have questions, please contact me at greenup@uab.edu or 934-5995.

 

 

 

 

 

 

 

  1. Subcommittees

 

    1. Family Friendly Leave Policies

 

At the March FPPC meeting the action was taken to forward the following recommendations to the Senate.

                        

                                                                                                             Faculty Senate

March 29, 2006

 

MEMORANDUM

To: Chair of the Faculty Peter Anderson

From: Chair of the Faculty Policies and Procedures Committee, Pat Greenup

Re: Recommendations to the Senate from the FPPC for revisions to subsections of Section 2.0 of the UAB Faculty Handbook and Policies

 

At the March 17, 2006 meeting of the Faculty Policies and Procedures Committee (FPPC), the following changes to the Section 2.0 document of the UAB Faculty Handbook and Policies were approved so that recommendations would be forwarded to the Faculty Senate for review and approval and forwarding to the Provost.

 

These two recommendations have been discussed extensively in perspective of family-friendly concerns as related to faculty recruitment and retention concerns for the UAB university community.

 

  1. Extension of tenure-earning period – Section 2.6.6.4 Length of Tenure-earning Period

 

The FPPC recommends that following the fourth paragraph of Section 2.6.6.4 Length of Tenure-earning Period that the following subsection be added:

 

Section 2.6.6.4.1 Extension of tenure-earning period

 

“UAB recognizes that compelling circumstances might significantly impact an individual’s ability to fully pursue all of his/her teaching and scholarly activities, but not prevent continued paid employment or require the faculty member to take a leave of absence.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

-    significant professional opportunities

Interested faculty must present a request in writing to the appropriate chair and dean of their unit.  If approved at the unit level, such requests require final approval of the Provost.   Extensions will be for one year per circumstance.”

The University of Alabama at Birmingham

200 Burleson Building – 909 South 18th Street

Birmingham, Al 35294-4370 (205) 934-6619 Fax (205) 934-6834

 

        B.  Section 2.3.1 Tenure-earning and Tenured Faculty

 

              The FPPC recommends that following the current paragraph in Section 2.3.1 that

              a second paragraph be added to read:

 

“However, under special, exceptional circumstances, a tenured faculty member may require a temporary (short-term) reduction in work-load and may request a change in status from full-time tenured to part-time without loss of tenure.  Such circumstances could include but are not limited to:

-         childbirth , adoption of a child, or foster care placement

-         severe personal illness

-         significant obligations to a member of the family or household

Such a change to part-time status will involve a proportionate reduction in pay and associated benefits.  Part-time status may be granted for up to six months and upon request, may be reviewed and renewed for up to a total of one year.  All requests require approval by the chair and dean or library director, with final approval by the Provost.”

 

           

The FPPC recommends that the Senate after review and discussion give positive support to these two recommendations for changes to the Section 2.0 of the UAB Faculty Handbook and Policies so that these recommendations will be forwarded to the Provost. It is the position of the FPPC that these changes are needed to support current faculty and to support the academic units as faculty recruitment and retention issues are addressed.

 

If you require additional information please contact me at greenup@uab.edu or 4-5995. Your assistance to the FPPC is appreciated.

 

Cc: Ted Benditt, Past-chair of Senate/FPPC Representative 2005-06

 

Follow Up:

 

During the discussions on the Senate floor (April 11, 2006) there were many concerns and issues identified by Provost Capilouto and President Garrison for the proposed recommendations.

The Senate voted to return the recommendations to the FPPC for further consideration.

 

ACTION ITEM: The Family Friendly policy recommendations previously submitted to the Senate on March 29, 2006 are being returned to the FPPC Subcommittee for further discussions and revisions.

 

At the Senate meeting President Garrison encouraged the FPPC to review a possible recommendation for extending the tenure time to 10 years for all academic units. This topic was briefly discussed and the FPPC consensus was that each academic unit should have the right to make this decision as is currently prescribed in the UAB Faculty Handbook and Policies.

 

The subcommittee will review the tenure earning time as part of the discussions by the subcommittee.

 

It was decided that the FPPC would need to do better preparation of the recommendations with an educational process to make sure that the Senators and the President and Provost were aware of the context for the recommendations as related to Advance Grant institutions and the focus on recruitment and retention of faculty for UAB.

 

    1. Handbook Review Cycle

 

The following document (March 28, 2006 – Handbook Subcommittee) was discussed:

 

Proposed division of UAB Faculty Handbook so as to achieve complete review

over a five-year period.

 

The subcommittee recommends that the most recently reviewed portions of the Handbook be placed at the end of the five-year cycle.  This means placing most of section 2 in later years. 

 

The Handbook subcommittee recommends that policies referred to in §8 be reviewed in conjunction with the sections of the Handbook in which they arise or are otherwise most suitable, with miscellaneous policies being assigned to the year in which the end of the Handbook is reviewed (which is year 2).

 

Year 1:  Introduction and Part I and Sections 2.10 through 3.14, and the following policies referred to in §8:

 

Acceptance of Benefits, Awards, and Prizes from External Entities (§3.4)

General Policy Concerning the Use and Consumption of Alcoholic Beverages (§3.8)

Computer Software Copying and Use Policy (§3.13)

Computer Software Policy [Development and Ownership] (§3.11)

Conflict of Commitment Policy (§3.5.3)

Conflict of Interest Policy (§3.5.3)

Consensual Romantic Relationships Policy (§3.8)

Drug-free Workplace Policy (§3.8)

Electronic Data Processing Security Policy (§3.12)

Policy Concerning Employee Falsification of UAB Records and Documents (§3.8)

Policy Concerning Firearms, Ammunition, and Other Dangerous Weapons (§3.8)

Indirect Cost Reimbursement Policy (§§3.3, 3.5.1, 3.5.2; also §5.4)

Policy Concerning the Maintenance of High Ethical Standards in Research and Other Scholarly Activities (§3.6)

Nonsmoking Policy (§3.8)

Patent Policy (Board of Trustees Rule 509) (§3.10)

Personal Services Approval and Payment Policy-UAB Employees (§3.5.2)

Political activities of University Personnel (Board of Trustees Rule 304) (§3.2)

Sexual Harassment Policy (§3.9)

 

Year 2:  Sections 4 through 7, and the following policies referred to in §8:

 

Policy Concerning AIDS and HIV Infection

Policy Concerning the Use of the UAB Campus Mail System

Equipment Accountability Policy

Family and Medical Leave of Absence Policy (§7.5.2)

Employee UAB-related Foreign Travel Policy (6.1.3)

Health Care Policy for International Students and Scholars (§4.1)

Information Disclosure and Confidentiality Policy (§5.2)

Purchasing Policies and Guidelines

Sick Leave Donation Policy (§7.3)

Use of UAB Resources by External Entities

 

Year 3:  Sections 2.1 through 2.5, and the following policies referred to in §8:

 

Equal Opportunity Policy (§2.1)

 

Year 4:  Section 2.6, and the following policies referred to in §8:

 

Hiring Approval Policy (§2.6)

Applications for Labor Certification (§2.6)

Policy Concerning the Re-employment of UAB Retirees (§2.6)

 

Year 5:  Sections 2.7 through 2.9 and Appendices A, B, and C

 

 

ACTION ITEM: A motion was presented by Madelyn Coar to approve the Subcommittee report/recommendation for handbook review cycle as outlined. The motion was seconded by Tim Pennycuff and the motion was approved.

 

Note: The approved handbook review cycle has been incorporated into the Operating Rules as amended on April 21, 2006 by the FPPC in the duties of the members of the FPPC. This cycle of handbook review should be implemented during the 2006-2007 term of FPPC membership.

 

 

 

 

 

    1. Student Seminars – Intellectual Property

 

Chair Kathleen Berecek reported that the subcommittee has been reviewing resources and a meeting is to be scheduled in May.

         

F. New Business       

 

        The following DRAFT UAB Copyright Policy was forwarded to the FPPC from Chair Anderson of the Senate/Faculty for review and recommendations.

UAB COPYRIGHT POLICY

Purpose

The University of Alabama at Birmingham (the “University”) is dedicated to instruction, research and service to benefit society and encourages its faculty, staff and students to carry out scholarly endeavors in an open and free atmosphere, and to publish the results of such work without restraint, consistent with applicable law and policy.  The University is committed to complying with all applicable laws regarding copyright.  The purpose of this policy is to clarify individual rights and institutional rights associated with ownership of copyrights and with the distribution of benefits that may derive from the creation of various types of intellectual property.  This policy applies to creators of copyrightable works, whether such creators are University faculty, staff or students.

Information and Education

To carry out the purposes of this policy, the University shall:

          Provide the University community with information about copyright law, with emphasis on the application of fair use in academic setting, and such information shall be provided in accordance with the provisions of the Technology, Education and Copyright Harmonization (TEACH) Act and such other applicable laws and regulations.

          Provide web-based resources on copyright laws in general and on the application of fair use in specific situations.

          Make copyright and fair use informational resources available in the University’s libraries.

Ownership

Ownership of the various rights associated with copyright is dependent upon several factors, listed below. As a general rule, creator(s) retain all rights to copyrightable works, unless subject to the conditions discussed in this section.

            A. Individual efforts: The copyright in a copyrightable work produced by faculty, staff or students on their own initiative shall be the exclusive property of such individual(s) unless the work was specifically commissioned or assigned (refer to Section B), or unless the work was prepared under the terms of a contract or grant, or unless preparation involved substantial use of University resources.  Except in the cases covered in paragraphs B through E below, the ownership of books, scholarly articles/monographs, trade publications, maps, charts, articles in popular magazines and newspapers, novels, nonfiction works, supporting materials, artistic works, syllabi, lecture notes, and like works will reside with the creator(s) and any revenue derived from their work will belong to the creator(s).

            B. University assigned efforts: The copyright in a copyrightable work prepared by faculty, staff or students in the course of their regular employment duties or by special direction or commission shall be the property of the University. Such condition of employment or such directions shall be in writing and shall be agreed to in advance by both the University and the individual. A faculty member’s general obligation to produce scholarly and creative works does not constitute a University assignment in the context of this paragraph. Works created by students in the normal course of their coursework, such as a term paper, thesis/dissertation or similar scholarly work, does not constitute a University assignment in the context of this paragraph.  A copyright agreement providing for the sharing of royalties, as discussed later in this policy, may, at the discretion of the University, be entered into by the University and the individual in regard to the work.

            C. Sponsor supported efforts: Copyright ownership in copyrightable materials developed during work supported partially or in full by an outside sponsor, through a contract or grant with the University, is determined by the applicable provisions of such contract or grant. In the absence of any governing provision, the ownership of any copyright shall be determined in accordance with paragraphs A, B, D or E herein.

            D. University-assisted individual efforts: A copyrightable work that is developed with substantial use of University resources and is not sponsor-supported shall be the property of the University.  “Substantial use” of institutional resources may include the commitment of staff, faculty or material support in the creation of the copyrightable work, but does not include the ordinary use of the University’s libraries, faculty time, faculty offices, departmental office equipment, routine secretarial support or University owned personal computers. Should a question arise as to whether substantial use of University resources has occurred or may occur, a determination will be made by the Provost or his or her designee.

            E.  Distance Learning:  With respect to distance learning materials, ownership of such materials shall be determined in accordance with the provisions of paragraphs A through D above. 

            G. Shop Rights:  “Shop Rights” means a non-exclusive, non-transferable, royalty-free license to reproduce, distribute, publicly perform, publicly display, or make derivative works of the copyrighted work, for educational or research purposes only.  Except for textbooks and articles published in scholarly journals, the University shall have shop rights to copyrighted materials developed by its faculty, staff and students, pursuant to paragraph A above, and faculty, staff and students of the University shall have shop rights to copyrighted materials owned by the University, pursuant to paragraphs B and E above; provided, however, that no faculty, staff or student shall use any shop rights hereunder in competition with the University while such individual is employed by the University.

Disclosure

            There is no mandatory disclosure requirement for works created by faculty, staff or students for works that meet the criteria set for in paragraph A above.  For works that meet the criteria set forth in paragraphs B, C, or D, the creator must disclose the existence of the work during or immediately after its creation.  Disclosure shall be made in writing to the creator’s unit leader and to The UAB Research Foundation.  If any questions exist regarding whether disclosure is required, contact The UAB Research Foundation.

Commercialization/Distribution of Net Revenues

            All costs and revenues from the commercialization of any intellectual property hereunder, owned by the University, shall be distributed in accordance with the University’s Patent Policy (approved by the Board of Trustees on February 23, 1980, and revised on January 14, 1986).  Nothing contained in this policy shall be construed to supersede the University’s Patent Policy or Computer Software Policy (approved on January 14, 1986, corrected on May 28, 1986, and edited February 26, 1996), and the terms of the University’s Patent Policy and Computer Software Policy shall control in the case of any conflict between those policies and this policy.

The FPPC’s discussion of the Draft document was the basis of the following message forwarded to Chair Anderson of the Senate:

Pete, Jeff

At the Friday April 21, 2006 meeting of the FPPC the following questions were identified concerning the UAB copyright Policy:

 

  1. What are some examples to explain – Ownership B. University assigned efforts: The copyright is a copyrightable work prepared by faculty, staff or students in the course of their regular employment duties or by special direction or commission shall be the property of the University. Such condition of employment or such directions shall be in writing and shall be agreed to in advance by both the University and the individual.
  2. What are the criteria for differentiating what is UAB assignment versus individual effort if the work is part of UAB job?

 

These may be Ed Kennedy or John Daniel questions but he had to leave our meeting before we got to this topic.

This is an FYI and request for your feedback:

  1. FYI – the FPPC did NOT take official action on 4-21-06 because of the above questions. I indicated that I would forward to the Senate and raise these questions at the Wednesday FSEC meeting.
  2. Feedback - If there is an immediate need for this policy to move forward then please let me know this after the above questions are answered.
  3. The FPPC does have a mechanism to conduct Email voting on “hot issues that need to move forward before the next FPPC meeting” but I will need to know this.

Hope this makes sense. Look forward to your comments.

There are no official recommendations from the FPPC for the April 26, 2006 FSEC meeting.

The family friendly policies topics were referred back to Subcommittee and we will be more deliberate in our approach with education process attached to the recommendations sent to the FPPC Pat Greenup Chair of FPPC4-22-06

 

Note: Follow up to the FSEC meeting of April 26, 2006, Chair Anderson will communicate with John Daniels in Office of Legal Counsel and give feedback to the above questions.

 

ACTION ITEM: The FPPC Chair will communicate with Ed Kennedy to seek information to help respond to the questions identified by the FPPC concerning the current DRAFT Copyright Policy.

 

G. Presentation of Informational Items:

 

        No report was available for this meeting.

 

 

H. Review of Action Items for April FPPC Meeting:

 

        ACTION ITEM: A motion was made by Mark Lockhart and seconded by multiple members of the FPPC that the amended Operating Rules be approved as the current Operating Rules of the Committee. The motion was approved unanimously. The Chair will prepare the amended document for distribution prior to the May FPPC meeting.

 

        ACTION ITEM:  Chair Greenup will prepare letter of charge to the Nominating Committee based on the amended Operating Rules April 21, 2006.

 

        ACTION ITEM: Following discussion of the newly defined tasks for the Vice-chair the suggestion was made that at the June meeting there be an “orientation” of newly elected FPPC representatives with a review of the Operating Rules, UAB Policy Development and Revision process and the interrelationship of the FPPC with the Senate.

 

        ACTION ITEM: The consensus of the members was that a subcommittee should be formed to review Section 2.6.3.7 in more detail and prepare recommendations for consideration by the FPPC committee. The intended outcome is to prepare recommendations for revisions to the Section 2.6.3.7 of the Faculty Handbook.

 

                        The Chair requested volunteers for this subcommittee. The volunteer

                        members of the subcommittee will be Kathleen Berecek, Om Srivastava,

                        Donna Handley, and Uday Vaidya.

 

                       Chair Greenup requested that the four consider who might want to serve as

                       chair and indicated that a “letter of charge” to the subcommittee would be

                       prepared prior to the May FPPC meeting.

 

          ACTION ITEM: Chair Greenup will prepare a letter of charge and  

        appointment and forward to the members of the Subcommittee for Review

        of Section 2.6.3.7.

 

        ACTION ITEM: These family friendly policy recommendations previously submitted to the Senate on March 29, 2006 are being returned to the Subcommittee for further discussions and revisions.

 

        ACTION ITEM: A motion was presented by Madelyn Coar to approve the Subcommittee report/recommendation for handbook review cycle as outlined. The motion was seconded by Tim Pennycuff and the motion was approved.

 

        Note: The approved handbook review cycle has been incorporated into the Operating Rules as amended on April 21, 2006 by the FPPC in the duties of the members of the FPPC. This cycle of handbook review should be implemented during the 2006-2007 term of FPPC membership.

 

        ACTION ITEM: The FPPC Chair will communicate with Ed Kennedy to seek information to help respond to the questions identified by the FPPC concerning the current DRAFT Copyright Policy.

 

I. Review of Actions Items from Previous Monthly FPPC Meeting:

   

               All Action Items listed in the March FPPC meeting minutes have been

               completed or are ongoing.

 

J. Materials Distributed to FPPC Members Electronically Prior to Meeting

 

  1. Agenda
  2. DRAFT Minutes of March FPPC meeting
  3. Annual Evaluation Section 2.6.3.7
  4. Family Friendly Policies – recommendations to Senate
  5. Handbook – Review Cycle – March 28, 2006 version
  6. Draft UAB Copyright Policy
  7. Operating Rules – April 15, 2006 version

 

 

 

 

 

 

 

 

K. Materials Distributed at the Meeting

 

        April 5, 2006 Memorandum from Provost Capilouto to Deans, Library Directors and Department Chairs – Annual Faculty Evaluations

 

L. Announcements:

 

        Next FPPC meeting – May 19, 2006 – Penthouse CR1

 

M. Adjourned

 

        The meeting was adjourned at 9:25 a.m.

The first draft of these minutes was prepared by Chair Greenup on April 29, 2006 and revised on May 11, 2006.