Faculty Policies & Procedures – FPPC Meeting

Date: May 19, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.





Members Present: Dr. Theodore Benditt, Dr. Eli Capilouto, Dr. Madelyn Coar, Dr. Donna Handley, Dr. Pat Greenup (Chair), Dr. Mark Lockhart, Dr. Philip Musa, Dr. Eduardo Neiva, Dr. Om Srivastava, Dr. Uday Vaidya, Ms. Carolyn Walden

Alternates Present: Ms. Jerry Smith for Dr. Scripa


Members Absent With Notice: Mr. Timothy Pennycuff, Dr. Rose Scripa, Dr. John Waterbor


Members Absent Without Notice: Dr. Kathleen Berecek, Dr. Jeanne Hutchison, Dr. Janice Patterson


Ex-Officio Members Present: None – absent with notice – Mr. 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 7:45 a.m.



B. Adoption of April 2006 Minutes:


      The minutes of the April 21, 2006 FPPC meeting were approved as










C. Chair Report:


1.      Chair Greenup reported an overview of the Annual Report to the Senate from the FPPC

Faculty Policies and Procedures Committee

FPPC – Annual Report - May 2006

Report Prepared by Chair Pat Greenup


  1. Topics/Issues Before the Committee During June 2005-May 2006

·        FPPC Operating Rules – last amended in 2003 have been reviewed and amended as of  April 21, 2006

-         Addition of Vice Chair position to assist Chair of FPPC

-         Addition of HR Representative as ex officio member

-         Change in number of members selected by the Provost to serve on the FPPC – this recommended change (based on change requested by Provost)  is pending approval by Senate, Provost and President

-         Duties of Chair defined for documentation processes

·        UAB Faculty Handbook and Policies – review process and timeline approved and added to Operating Rules of FPPC

·        Advance Grant – Family Friendly Policies – faculty recruitment and retention policies

·        Distance Learning Copyright Rules

·        Ownership of Student Produced Products/Data – Intellectual Property Awareness Training

·        Contribution to Implementation Process materials for Section 2.0 and Appendixes A, B and C – posted online September 2005

·        Review of DRAFT UAB Copyright Policy

·        Periodic Career Review – Draft Proposal Presented by Senate

·        Section Annual Faculty Evaluation – process and supportive infrastructure to the proposed periodic career review process

·        Tenure earning period – as related to Family Friendly Policies

·        Tenure status of tenured faculty who require temporary part-time status


  1. FPPC Recommendations Forwarded to Senate During June 2005-April 2006
    • Review of Senate election cycle timeline; related to election timeline for Chair of FPPC and role of new members to FPPC – submitted September 2005
    • Revisions to Draft Copyright Policy – submitted January 21, 2006
    • Family Friendly Policies – recommendations for clarification of HR policies as to terminology and definitions across various policies describing policies for UAB employees; recommended name change to You and UAB Handbook to include the word faculty in the title – submitted January 21, 2006
    • UAB Handbook recommendations for revisions – Introduction, Sections 1, 3-8 and the Conflicts of Commitment Policy – submitted January 21, 2006
    • Section 2.10.2 of Faculty Handbook – concerning membership of FPPC – submitted March 2006
    • Section of Senate Bylaws II.2.b – membership of FPPC – President and Provost representatives to FPPC – submitted March 2006
    • Section – recommended revisions – submitted March 2006
    • Section 2.3.1 – recommended revisions – submitted March 2006


  1. Action Items Implemented – June 2005-April 2006


·        FPPC Tracking Log – electronic and paper trail documentation for communications from FPPC to Senate and to track Senate communications to the FPPC

·        Use of agenda and minutes template as outlined in the Operating Rules; to standardize the records of the FPPC which are official records maintained by Senate and submitted to Archives

·        Letters sent by the Chair of FPPC are added electronically to the minutes of the meeting when the action item was identified; to assure access to minutes with complete record of FPPC communications

·        Approval of Operating Rules amendments to include Vice Chair position to assist Chair with committee activities

·        Inclusion of HR representative as ex officio member of the FPPC



  1. Pending Topics – May 2006 – 2007


·        Subcommittee for Review of Section Annual Faculty Evaluations

·        Family Friendly Policies – tenure earning period; tenure status

·        Implementation of Handbook review cycle now that the UAB Faculty Handbook and Policies is an online document

·        Student Awareness – Intellectual Property and Ethical Standards




2.      Chair Greenup reported that activities during April and May were related to the ongoing activities of the Subcommittees of the FPPC. Other activities have been related to preparation for transition to new Chair in June and updating the FPPC tracking log. The pending items before the FPPC will be identified in the minutes of the June meeting.






D. Senate Report (Past-Chair of Senate)


Past chair of Senate Ted Benditt was not able to attend meeting. Chair Greenup reported that the Senate had approved the FPPC recommendations concerning membership of the FPPC. These recommendations will be sent to the Provost.


E. Old Business


1.      Operating Rules of FPPC – The Operating Rules were officially amended at the April 21, 2006 meeting. The final document is pending the approval by the Provost for the membership statements in Section 2.10.2 of the Faculty Handbook and the Section II.2 of the Senate C&B document.

2.      Nominations Committee Report – Chair Greenup reported for John Waterbor and Jeanne Hutchinson that there was one nominee for the Chair position and two nominees for the Chair-elect position. Other members were encouraged to consider nominations. The election will be conducted at the June meeting.

3.      Subcommittee Student Seminars Intellectual Property – Kathleen Berecek

Om Srivastava reported that the subcommittee had discussed items before the subcommittee.

The following written report was submitted May 23, 2006.




DATE:            May 23, 2006


TO:                 FPPC Members


FROM:           Kathleen H. Berecek, Chair



Charge 1: 


To review existing policy on student ownership-intellectual property as in the undergraduate, graduate, and Direction Student Handbook.


Result:  After reviewing all handbooks (i.e., UAB Postdoctoral Educational Guide, UAB Graduate School Handbook, and the UAB Direction Student Handbook), we failed to find any clear descriptions of rules and policies for student ownership of data, the right to publish data, or student ownership of teaching materials.  The current handbooks consider only policies concerning inventions, patents, and incomes acquired from these endeavors.  The Faculty Senate is in the process of developing clear-cut copyright and student ownership policies.  Once they are approved, we assume (and recommend) that they will be added to each handbook.


Charge 2:


To review the content of the GRD717 course “Principles of Scientific Integrity” (Dr. H. Kincaid). 


Result:  We have reviewed this course and feel that student ownership was covered as one topic among several on one day of class.


Charge 3:


To identify any existing and ongoing activities that enhance awareness of faculty, students, and staff related to ownership of intellectual property with specific focus on products that students produce for course projects or any activities related to their time as students at UAB. 


Result:  We could not find anything other than what is embedded in Dr. Kincaid’s course.


Charge 4:


To develop recommendations for the FPP related to development of new materials by the UAB Graduate School.


Results:  We recommend the following:  (1) That UAB develop materials that can be reviewed by graduate students and postdoctoral fellows during their orientation concerning UAB and NIH policies regarding student ownership.  Sara Vollmer has met with our committee and is willing to put together a PowerPoint demonstration dealing with UAB policies regarding mentoring, authorship, note/lab books, and teaching materials.  (2)  That each mentor provide a letter of understanding/agreement concerning the handling and ownership of materials produced by the student which should be signed by both mentor and student prior to starting the lab experience.  We recommend that UAB (FPPC and Legal Department) draft a standard letter of agreement for eventual approval by the Provost.  We also suggest that individual schools or departments be given the flexibility to make their letters more stringent, in accordance with general UAB policies.  (3)  An additional mandatory requirement for graduation should be the return of all lab notebooks and data files to the mentor in an organized fashion. 


Charge 5:


To review information posted for the Ethics Center Guide and case studies for the DVD “In the Lab: Mentors and Students Behind the Scenes” by Sara Vollmer.


Results:  We reviewed these materials and feel that this is a highly comprehensive course concerning mentoring, scientific conduct, and integrity for the student, their peers, and their mentors.  We feel that this course should be mandatory for all incoming graduate students who will be going into research disciplines.  It also would be highly helpful and important for postdoctoral fellows as well as junior faculty in terms of information about issues in the lab, how to run a lab efficiently, and how to mentor students.  We were all so impressed with the material that we’ll share it with our Chairs and colleagues. 


Charge 6:


      Identification of other issues.


Result:  We narrowed our focus to student ownership; however, we feel that the larger issue of academic/scientific integrity and ethics should be further studied by the FPPC.



The subcommittee on student ownership and intellectual property issues will continue the ongoing work examining issues outlined in the charge to the group with future reports to the FPPC.



4.      Subcommittee Family Friendly Leave Policies – Chair Madelyn Coar


The subcommittee met on May 10 and submitted the following minutes.               

                       DRAFT   MINUTES

FPPC Sub-committee on Family Friendly Policies

Wednesday, May 10, 2006, 7:30 AM

Administration Bldg. Room 901


Present:            Madelyn Coar, Chair                            Rose Scripa

                        Pat Greenup, FPPC Chair                    Philip Musa


Following presentation of our two tenure-related recommendations to the Faculty Senate (April 11, 2006), there were objections voiced by Dr. Garrison and Dr. Capilouto.  The recommendations were referred back to the FPPC for discussion, and subsequently, back to the subcommittee.  The following changes were made:



The subcommittee recommends the following family-friendly amendments to current policy language: 


I)          Following Section Length of Tenure-earning Period,


add Section Extension of tenure-earning period



UAB recognizes that rare and 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)   -- deleted

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.   Approved extensions will be for up to one year.  (per circumstance.)  -- deleted


II.         To Section 2.3.1, Tenure-earning and Tenured Faculty, following the last sentence, add the following paragraph:


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 regular part-time (See You and UAB, 2.1) (half-time or more) 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 regular 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.


Further discussion included the following points:


1.      Suggestions for presentation of the rationale for the above policy changes to the full senate, including time for discussion.


2.      Request for information on retired faculty – are education benefits continued after retirement?


3.      Based on Dr. Garrison’s comments at the last senate meeting, should the FPPC recommend 


a.       All UAB units move to a 10 year tenure clock;

b.      Emphasize that faculty may initiate review for award of tenure at any appropriate point in the tenure-earning process.


4.      Active service-modified duties will be addressed at future subcommittee meetings.


Respectfully submitted,

Madelyn Coar, M.S., D.M.D.

Subcommittee Chair


Discussion on the topic of a possible recommendation from the FPPC for all UAB academic units to have a 10 year tenure earning period to minimize requests for “extensions” for any reason lead to the decision by the FPPC that “NO ACTION” is needed by the FPPC to make such a recommendation. After thorough vetting of the pros and cons of this topic it was decided that the decision is that of the academic units. The current Handbook does permit academic units to make this decision.


The proposed revisions to the Section and Section 2.3.1 were discussed in detail without any specific decisions.


The Subcommittee will continue deliberation and work with Dr. Scripa on the development of a proposal for modified service duties.




The subcommittee on family friendly policies will meet on May 31, 2006 to continue deliberations on the proposed revisions to Section and Section 2.3.1 to address the suggestions and concerns that were identified in this meeting of the FPPC.


Chair Coar will communicate with Kris Findlay to determine the eligibility of UAB retirees for education benefits. The concerns identified by Provost Capilouto on the pay issues for the two sections as proposed will require further deliberations.


5.      Subcommittee Annual Faculty Evaluations – Chair Donna Handley


Chair Handley reported that the group has initiated its work to address the charges to the subcommittee as outlined in a letter to the subcommittee membership and in the minutes of the April 21, 2006 FPPC meeting. The academic units have been contacted to obtain information about the annual review forms currently being used. The subcommittee will have a report for the June FPPC meeting.


                                        ACTION ITEM: The work of the group is ongoing to prepare

                                        recommendations for revisions to Section of the

                                        Handbook concerning annual faculty evaluations.





F. New Business       


1.      Date for implementation of the Handbook Review Cycle – it was decided that the review cycle should be implemented in the 2006-2007 term. The incoming Chair of the FPPC will identify the timeline and process in detail for the coming year.

2.      Orientation for Officers and New FPPC Members

Chair Greenup requested clarification as to the process that needs to occur at the June meeting. Chair Greenup will prepare an orientation for new members and assist the newly elected officers to make the transition for the July meeting. The past chair will continue to serve on the FPPC as an ex officio member and assist the officers as requested.


G. Presentation of Informational Items:


        No report was available for this meeting.



H. Review of Action Items for Current Month FPPC Meeting:


Action Items Identified at the May 19, 2006 Meeting


        ACTION ITEM:

            The subcommittee on student ownership and intellectual property issues will    

            continue the ongoing work examining issues outlined in the charge to the group

            with future reports to the FPPC.


        ACTION ITEM:

            The subcommittee on family friendly policies will meet on May 31, 2006 to

            continue deliberations on the proposed revisions to Section and Section

            2.3.1 to address the suggestions and concerns that were identified in this meeting

            of the FPPC.

           Chair Coar will communicate with Kris Findlay to determine the eligibility of

            UAB retirees for education benefits. The concerns identified by Provost Capilouto

            on the pay issues for the two sections as proposed will require further



        ACTION ITEM: The work of the group is ongoing to prepare recommendations for revisions to Section of the Handbook concerning annual faculty evaluations.



I. Review of Actions Items from 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. COMPLETED


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


        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. TO BE PLANNED


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


                        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   COMPLETED


        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.   ONGOING/PENDING


        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.   COMPLETED


        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.  PENDING REPLY FROM JOHN DANIEL TO PETE ANDERSON; then report by Pete Anderson to Chair of FPPC



J. Materials Distributed to FPPC Members Electronically Prior to Meeting



1.      Agenda

2.      DRAFT Minutes – April 21, 2006 FPPC meeting

3.      Chair of FPPC Annual Report to Senate

4.      Amended Operating Rules of the FPPC – April 21, 2006 – version pending approval by Provost for changes to Section 2.10.2 and Bylaws II.2


K. Materials Distributed at the Meeting


1.      Subcommittee Family Friendly Policies – Minutes of May 10, 2006 meeting


L. Announcements:


1.      The next FPPC meeting is June 16, 2006 – Penthouse CR1

2.      The election of Chair and Vice Chair will occur at the June 16 meeting; statements of interest by the nominees will be distributed with the meetings announcements materials



M. Adjourned


            Meeting adjourned at 9:30 a.m.



These minutes were prepared by Chair Greenup on June 10, 2006.