Faculty Policies & Procedures – FPPC Meeting

Date:  November 17, 2006

Location: Penthouse CR1

Time: 7:30 – 9:30 a.m.

 

Attendance:

 

Members Present:  Dr. Eli Capilouto, Dr. Madelyn Coar, Dr. Loucrecia Collins, Dr. Joan Grant, Dr. Donna Handley, Dr. Jeanne Hutchison, Dr. Philip Musa, Dr. Eduardo Neiva, Mr. Tim Pennycuff, Dr. Om Srivastava, Dr. Uday Vaidya, Ms. Carolyn Walden (Chair), Dr. John Waterbor

 

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

 

Members Absent With Notice:  Dr. Pete Anderson, Dr. Kathleen Berecek, Ms. Audrey Harris, Dr. Mark Lockhart, Dr. Rose Scripa

 

Members Absent Without Notice:  

 

Ex-Officio Members Present: Mr. Ed. Kennedy (Legal Counsel), Dr. Pat Greenup (Past Chair)

 

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

 

Agenda Items:

 

A. Call to Order: 

 

The meeting was called to order at 7:40 a.m.

 

B. Adoption of October 20, 2006 FPPC Meeting Minutes:  

 

The minutes were adopted with no corrections or additions.

 

C. Chair Report: by Chair Carolyn Walden

 

1.  Attended the Family Friendly subcommittee meeting and a report will follow.

 

2.  The Operating Rules, Section 2.10.2, is now in the Faculty Handbook.  There have been problems with the process of moving changes into the online version.  Currently the web communication center will actually enter the changes that come from the Provost’s office.

 

3.  Re the Holiday Policy, Kris Findlay indicated to the Chair that HR is looking at time tracking systems and “immediate family” and has asked that the FPPC wait for the HR results before making any changes to Holiday policy for part time faculty.  The FPPC has suggested adding “niece and nephew” to immediate family work related policies.  Chair Walden recommended that part-time faculty be given full days like the personal days given to full-time faculty, rather than tenths of days as is currently the practice.

 

 D. Senate Report: by Pat Greenup

 

1.  The presentation to the Senate by Dr. Noe of the Graduate School will be sent to the FPPC electronically.

 

2.      Copies of the presentation on faculty evaluations made by Cheryl Locke to the Senate were made available. 

 

3.  Senate passed a resolution commending Dr. Rose Scripa for her work as Associate Provost for Faculty Development and Faculty Affairs. 

 

E. Old Business

 

1.  Subcommittees

 

Annual Evaluation subcommittee:

Will meet following the report from Cheryl Locke.

 

Intellectual Property-Student Seminars:  No report

 

Family Friendly subcommittee: (See attached report)

 

FPPC Sub-committee on

Family Friendly Policies

Friday, November 10, 2006, 7:30 am

Administration Bldg. Room 374

 

Present:            Madelyn Coar, Chair                Carolyn Walden, FPPC Chair

                        Philip Musa                              Donna Handley

                        Joan Grant                                Eduardo Neiva

 

Next meeting date:  Friday, December 1, 2006,  AB 374, 7:30 – 9:30 AM

 

The recommendations for the UAB Faculty Handbook were revised as follows (new language is underlined):

 

I.  Add to Section 2.6.6.4 Length of Tenure-earning Period at the end of the third

    paragraph: “A school may establish a longer tenure-earning period … initial faculty

    appointment at UAB.”

 

Emphasis must be placed on the award of tenure based on the merit of the applicant’s achievements, and not years in pursuit of tenure.

 

II.  Move the last paragraph of Section 2.6.6.4 to the end of the proposed Section

     2.6.4.4.1 Extension of Tenure-earning Period (See III below.)

 

III.  Following UAB Faculty Handbook Section 2.6.6.4, add Section 2.6.6.4.1

      Extension of Tenure-earning Period:

 

     UAB recognizes that compelling life-altering circumstances might require a temporary (short-term) reduction in work-load, with a change in status from full-time tenure-earning to regular part-time (See You and UAB, 2.1) (half-time or more) without loss of tenure-earning potential .  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

 

Interested faculty may request a reduction in duties from full-time to not less than half-time, and a commensurate extension of the tenure-earning period.  Such reduction in duties will be accompanied by a proportional reduction in salary and related benefits, and a proportional extension of the tenure-earning period.  Interested faculty must present a request in writing to the appropriate chair or dean of their unit.  If approved at the unit level, such requests require final approval of the Provost.  The action of the Provost shall be communicated in writing to the faculty member and shall specify any revised date of tenure review, the termination date of the tenure-earning period, and (in the event the request is denied) shall specify the grounds for the denial.  Approved extensions will be for one semester (or quarter for the affected schools) or one year per occurrence/request.  A maximum of two years of extension of the tenure-earning period may be granted.  

 

Such extensions of the tenure-earning period shall be viewed without prejudice to the faculty member upon review and consideration for promotion and tenure, and these periods will not be considered as part of the tenure-earning period.  Emphasis must be placed on the award of tenure based on the merit of the applicant’s achievements, and not years in pursuit of tenure.

 

Place the last paragraph of current Section 2.6.6.4 here: 

 

“An approved continuous leave of 180 or more calendar days…Leaves taken prior to the effective date of this change may be used for requesting an extension of a faculty member’s tenure-earning period.”

 

 

IV.  To Section 2.3.1 Tenure-earning and Tenured Faculty, following the last

      sentence, add the following paragraphs:

 

     However, under compelling life-altering 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 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 reduction in duties will be accompanied by a proportional reduction in salary and related 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.  Interested faculty must present a request in writing to the appropriate chair or dean or library director of their unit.  If approved at the unit level, such requests require final approval of the Provost.   Approved reductions in job time status will be for one semester (or quarter for the affected schools) or one year per occurrence/request. 

 

 

V.  To Section 2.3.2 Non-tenure-earning Faculty,  add the following after the last  

       paragraph:

 

      Compelling life-altering circumstances may require a non- tenure-earning faculty member to seek a temporary (short-term) reduction in work-load and request a change in status from full-time to regular part-time (See You and UAB 2.1) (half-time or more) without loss of his/her position, or renegotiation of the contract in effect.  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 reduction in duties will be accompanied by a proportional reduction in salary and related 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.  Interested faculty must present a request in writing to the appropriate chair or dean or library director of their unit.  If approved at the unit level, such requests require final approval of the Provost.   Approved reductions in job time status will be for one semester (or quarter for the affected schools) or one year per occurrence/request.  The faculty member will resume full-time duties under the contract in effect before the reduction to regular part-time.

 

 

 

 

The subcommittee examined documents from several universities re policies on flexible schedules for faculty.    Relevant sections from several of these follow:

 

The Chronicle of Higher Education, 10/6/2006: 

 

“The Alfred P. Sloan Foundation announced last week the six universities (Duke,

Lehigh, U. of Florida, U. of Washington, Berkeley and Davis campuses of the U.

of California)  that won new grants in a program to help make faculty jobs more flexible so professors can meet the demands of the family lives without damaging their careers.”

 

 …the Sloan Foundation said “higher-education institutions can demonstrate a strong business case for providing flexibility for their tenure-track and tenured faculty.”

 

The Daily Princetonian.com, 5/26/2006:

 

Princeton University will automatically grant an extra year to pursue tenure for faculty members who are expecting or adopting a child.  Previously, tenure-seeking professors had to request an extension when they had a child.

 

Harvard announced a policy of granting one-year extensions for tenure to all faculty members who are having children.

 

MIT grants automatic one-year extensions to women who bear children.

 

From Princeton’s Family Friendly Policies and Programs for Princeton Faculty:

 

Personal Assistance and Work/Life Programs:  Faculty members are eligible for Backup Care Options when they experience temporary disruptions in their child, adult, and elder care-giving arrangements that would otherwise prevent them from fulfilling work or study obligations…The care can be requested for anyone for whom the faculty member is responsible, including children, spouses and partners, parents and grandparents; the person for whom backup care is requested does not have to live with the family member.

 

Upon request, faculty members who are the primary care-givers of a new child in the household are granted one semester of full workload relief from classroom teaching and administrative committee work, or two semesters of half relief from such duties (at full pay).  Responsibilities for research, student consultation and graduate student advising remain unchanged.

 

U. of Pennsylvania Faculty Handbook, II.E.3. Policy on Extension of the Probationary Periods that Apply to Granting of Tenure or Promotion to Assoc. Prof.:

 

A.                 A non-tenured member of the standing faculty shall be eligible for an extension of the tenure probationary period…corresponding to the semester or year during which any of the following events occurred:

1.  a child is born, adopted, or placed for foster care into the faculty member’s household;

2.  by reason of serious health condition …persisting for a substantial portion of the period for which the extension is sought, the faculty member is required to act as the primary caregiver for a parent, child, spouse, or domestic partner; or

3. by reason of a serious health condition …persisting for a substantial portion of the period for which the extension is sought, the faculty member is unable to perform the functions of his or her position.

 

The length of  the extension shall be one year unless the faculty member requests one semester instead and the department chair and the dean agree…

 

Normally, requests will be viewed favorable by the University and granted unless

specific and compelling factors require their denial.  The action of the Provost shall be communicated in writing to the faculty member and shall specify any revised date of tenure review and termination date of the probationary period and (in the event that the request is denied) shall specify the grounds for the denial.

 

University of Washington ADVANCE: Family Leave and Tenure Clock Extensions:

 

The UW has an official family leave and tenure clock extension policy that allows a faculty member to take a medical and/or family leave.  If a leave of six months or more is taken, faculty are automatically entitled to not count that year towards mandatory tenure review.  In the case that a faculty member did not take leave or did not take enough leave to trigger an “automatic” tenure clock extension, the faculty can still request a year tenure extension ANY TIME PRIOR TO THE YEAR OF REVIEW.

 

This tenure clock extension policy recognizes that faculty may be significantly distracted from their research and academic capabilities during medical or family leave…chairs must assure faculty that the time on leave will not be unfairly evaluated.

 

Given that the tenure clock generally coincides with the biological clock, women faculty face particularly difficult timing decisions regarding this balance.

 

University of California Family Friendly Policies for Faculty and Other Academic Appointees:

 

An appointment to a title in the Professor series is normally for full-time service to the University, although there may subsequently be a permanent or temporary reduction in the percentage of time of the appointment by agreement between the appointee and the University.

 

All academic appointees who have substantial responsibility for the care of a newborn child or a child under age five placed for adoption or foster care are eligible for one quarter (semester) of Active Service-Modified Duties…During this period normal duties shall be reduced.

 

Active Service-Modified Duties is not a leave of absence.  Normally, for faculty, the modification of duties will be either partial or full relief from teaching.  In the case of health sciences faculty, however, clinical duties may be reduced, as appropriate.

 

Any childbearing or parental leave…which is equal to or exceeds one semester or quarter and which is not greater than one year, shall automatically be excluded from service toward the eight-year probationary period.

 

Leave for childbearing shall be granted on request, with or without pay, to an academic appointee who bears a child, for the period before, during and after childbirth…During childbearing leave, no duties shall be required by the University.

 

The aggregate duration of all leaves plus periods of Active Service-Modified Duties granted for a given pregnancy may not exceed one year.

 

Time off the tenure clock for up to one year may be granted by the Chancellor for each event of birth or adoption during the probationary period provided that all time off the tenure clock totals no more than two years in the probationary period.  The tenure clock may be stopped more than one time during the probationary period.  For determining years toward the eight-year limitation of service, the combined total of periods of leave unrelated to academic duties and time off the tenure clock may not exceed two years.

 

”…may upon request be granted a temporary relief from duties (normally partial or full relief from teaching for one semester..”

 

“…clarifying that academic appointees shall not be arbitrarily disadvantaged in their promotion, advancement, or compensation because they have elected to take a childbearing or parental leave, to stop the clock, or to defer a personnel review.”

 

From Vanderbilt University: Chapter 4 Leaves of Absence: Section A: Parental Leave:

 

When a full-time faculty member who is tenured or tenure-track or that faculty member’s spouse or declared domestic partner, becomes the parent of a child, either by childbirth or by adoption of a pre-school aged child, the faculty member shall, upon written request to his or her Dept. Chair of dean, be entitled to a parental leave of one semester at full pay for purposes of serving as the child’s primary caregiver. 

 

A tenure-track faculty member who takes parental leave under this policy shall receive an automatic one-year extension of the tenure clock.  The total of all extensions to the tenure clock cannot exceed two years.


FPPC discussion of the report:

 

Discussion of the subcommittee report included comments from Dr. Capilouto and Ed Kennedy.  There was concern expressed for possible misinterpretations of the proposed policies.  The subcommittee will meet December 1st  to continue deliberations, and Dr. Capilouto and Cheryl Locke may participate. 

 

There was additional discussion of the possibility for early review for tenure, and the use of the letter of offer to delineate the tenure earning period.  It was suggested that this issue be included in future chair training.

 

Chair Walden summarized the work to be done by the subcommittee:  a) revise the proposed language and work to understand the context of the references to the tenure earning time in the Faculty Handbook revisions and to consider that even though unit policies may be “more restrictive”, they cannot contradict university policy.   Pat Greenup suggested the use of examples in the presentation of the final report to the Senate to add clarity.

 

2.  Year 1 of the Handbook Review Cycle

           

Chair Walden asked for recommendations from each subgroup by the December or January meetings.

 

F.  New Business:

 

  1. Report of the Committee on Handbook Issues and Archival Process (See attached report)

 

Report of the Committee on Handbook Issues and Archival Process

 

I. Electronic Version of the Faculty Handbook

 

The Office of the Provost shall maintain the electronic version of the UAB Faculty Handbook and Policies, which represents the current administratively approved version of the handbook.

 

The Office of the Provost shall develop a title page with effective date and include this with the current administratively approved version of the Faculty Handbook.

 

The Office of the Provost should maintain an introductory section prior to the title page of the current administratively approved version of the Faculty Handbook. This section, which may include copies of the President’s welcome, the UAB vision and mission statements, and other such introductory documents as deemed appropriate, is introductory to and not part of the actual handbook.

 

The Office of the Provost shall also maintain updates electronically to show changes to the current version.  The current version shall include a preliminary table with revision dates to document all changes occurring during the calendar year.

 

The Office of the Provost will notify all deans, library directors, and department chairs of the location of the current administratively approved version of the Faculty Handbook.  The deans, directors, and departmental chairs will refer present and potential faculty to the current handbook.

 

 

II. Printed Version of the Handbook

 

The Office of the Provost shall at the end of each calendar year print complete copies of the current administratively approved version of the Faculty Handbook and route to the directors of the Mervyn H. Sterne and Lister Hill libraries.  The Office of the Provost will include with the annual printing an update table listing all revisions made to sections of the Faculty Handbook during that calendar year.  The libraries will bind these copies and make them available for use.

 

Superceded issues of the Faculty Handbook shall be sent to the UAB Archives for permanent retention and use.

 

Printed copies of the Faculty Handbook for personal use may be downloaded from the faculty handbook website. 

 

In order to protect changes made in an electronic environment, the Office of the Provost will maintain an updated hard copy of the entire Faculty Handbook whenever a revision occurs during the calendar year.

 

 

III. Effective Date Statements

 

The title page of the current administratively approved version of the Faculty Handbook shall include the date for the calendar year (ex. January-December 2003).  Revisions made during the year to the sections of the current administratively version of the Faculty Handbook will be dated and tracked with an update table.

IV. Recommendations

 

To be consistent with other universities, including those in Alabama, the Committee on Handbook Issues and Archival Process makes the following recommendation.  The current administratively approved version of the Faculty Handbook should be maintained electronically by the Office of the Provost in both a standard, non-proprietary format (i.e. HTML) and as a PDF file.  The Committee also recommends that the electronic files be updated at the same time, but that the HTML file takes precedence over the PDF file.

 

To provide easier access to the Faculty Handbook for the University community and for prospective faculty, the Committee on Handbook Issues and Archival Process also recommends that the main UAB homepage have a link directly into a faculty resource and information site.  This site will be maintained by the Office of the Provost and may offer links to the numerous other University sites containing information relevant to the faculty.

 

 

Report submitted to the FPPC, September 19, 2003

Rose Scripa, Carolyn Walden, Nancy Clemmons,

B.J. Stephens, Philip Musa, and Tim Pennycuff

 

 

 

Summary of process:  The Provost makes/approves changes and sends these to the UAB web center.

Table of changes:  Tim Pennycuff suggested we follow the guidelines and print the table of changes along with the handbook each December for forwarding to the libraries for archiving.  A new table of changes would be maintained each year.         Joan Grant recommended that dates be added to revisions of Sections for clarity. Tim Pennycuff  suggested that we remind the Provost’s office 1) that the approved archival process policy asked for an html and pdf versions of the Handbook and  2) of the document tracking procedure.

 

2.  Student Related SUMMARY for Copyright (See attached handout)

 

Chair Walden noted that there are student summaries of policies in separate publications (Graduate Student Handbook, Directions, etc.), and had requested that Dr. Glenna Brown in Planning and Analysis consider this for the copyright policy. Dr. Brown discussed with John Daniel in Legal Office and both agreed such a summary would be beneficial. 

 

Copyright Policy


Policy Summary


UAB is committed to complying with all applicable laws regarding copyright and has adopted a Copyright Policy as of September 18, 2006.  As a general rule, if a UAB faculty member, UAB staff or UAB student creates a copyrightable work on their own initiative, the copyright to that work will be owned by the creator.  However, ownership of the copyright and the right to any revenues generated from a work may be held by other persons or entities in the following circumstances:

 

·        If the work is prepared by a UAB faculty or staff member or student while conducting their regular employment duties, if employed, or is prepared as a result of a special commission, assignment or requirement of UAB the copyright will be owned by UAB (“Assigned Works”).  Work created by a student during normal coursework, such as a term paper, thesis or dissertation, is not deemed to be as a result of a special commission, assignment or requirement of UAB, nor is any work created by a UAB faculty member when complying with the general obligation to produce scholarly or creative works.

 

·        If the work is developed in whole or in part with the assistance of an outside sponsor or with funds granted to UAB, ownership of the copyright and any resulting revenues will be determined by the applicable provisions of the sponsorship agreement or terms of the grant (“Sponsored/Grant Works”). 

 

·        If the work is not supported by a sponsor or a grant but is developed with substantial use of UAB’s resources, the copyright and any revenues generated therefrom will be owned by UAB (“Substantial Use Works”).  “Substantial use” of UAB’s resources generally refers to the extraordinary use of personnel and physical resources, not the use of UAB’s libraries, equipment or personnel in the ordinary course. 

 

UAB has a non-exclusive, non-transferable, royalty-free license to reproduce, publicly perform or display or make derivative works of any copyrighted works produced by a UAB faculty or staff member or UAB student as a result of such individual’s own initiative and not otherwise Assigned Works, Sponsored/Grant Works or Substantial Use Works, provided UAB uses such works for educational or research purposes only.  Faculty and staff members and students also enjoy similar rights to license any Assigned Works, Sponsored/Grant Works or Substantial Use Works, provided that such use is not competitive with the interests of UAB during such individual’s employment with UAB or course of studies at UAB.

 

Faculty or staff members and students are not required to disclose any works produced by their own initiative.  However, any works produced by a faculty or staff member or student which meet the criteria of an Assigned Work, a Sponsored/Grant Work or Substantial Use Work must be disclosed in writing to the unit leader and the UAB Research Foundation during its creation or immediately thereafter.

 

 

 G._Presentation of Informational Items:

 

1.  Diversity Plan:  No final copy is available to the Senate.

 

2.  Copies of Cheryl Locke’s presentation to the Senate, “Making Faculty Evaluations Meaningful”,  were made available to the FPPC and may be shared with faculty.

 

3.  HR is looking at the definition of “immediate family” for work related issues, with a report possible by December.

 

4.  Automated Leave Accrual System (ALAS) is recommended for consideration in documenting leave time.

 

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

 

1.  Family Friendly subcommittee will continue its work and perhaps meet with Dr. Capilouto and Cheryl Locke.  Focus will be on recruitment and retention.

 

2. Intellectual Property subcommittee will continue its work.

 

3.  Annual Evaluation subcommittee will continue its work.

4.  Handbook review teams-of-2 will continue their work.  Group 2, on Section 3, will need final recommendations on consulting guidelines from the Office of Provost before continuing with this section.

 

5.  Chair Walden will continue to communicate with the Provost’s office on maintenance of the online Handbook.

 

 

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

identification of pending items

 

All action items complete for October meeting.

 

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

 

Agenda

Draft Minutes

Family Friendly Subcommittee Report

Student Summary—Intellectual Property Rights

Report of the Committee on Handbook Issues and Archival Process

Senate PowerPoint Presentation –Faculty Evaluation Assessment Committee Report by Ms. Cheryl Locke

Senate PowerPoint presentation—UAB Graduate School by Dr. Bryan Noe

 

 

K.    Materials Distributed at Meeting:  

 

Agenda

Senate Handout ”Making Faculty Evaluations Meaningful” by Ms. Cheryl Locke

Policy Summaries for Publication Purposes

Updates to the Printed Version of the 2000 UAB Faculty Handbook and Policies

 

L.  Announcements:

 

Next Senate Meeting   (Great Hall A and B) December 12, 2006   

 

Next FPPC meeting   (Penthouse CR1) December 15, 2006

 

M.  Adjournment:

 

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

 

 

The minutes were prepared by Vice-Chair Madelyn Coar on December 6, 2006 with selected additions by Chair Carolyn Walden.